Faculty Policies & Procedures – FPPC Meeting

Date:  December 15, 2006

Location: Penthouse CR1

Time: 7:30 – 9:30 a.m.

 

Attendance:

 

Members Present: Ms. Carolyn Walden (Chair), Dr. Eli Capilouto, Dr. Madelyn Coar (Vice-Chair), Dr. Joan Grant, Dr. Donna Handley, Dr. Jeanne Hutchison, Dr. Philip Musa, Dr. Eduardo Neiva, Mr. Tim Pennycuff, Dr. Loucrecia Collins, Dr. Om Srivastava, Dr. Uday Vaidya, Dr. John Waterbor, Dr. Claire Peel, Dr. Janice Patterson, Dr. Mark Lockhart, Dr. Kathleen Berecek

 

Alternates Present:  

 

Members Absent With Notice:  Dr. Pete Anderson, Ms. Audrey Harris

 

Members Absent Without Notice:  

 

Ex-Officio Members Present: Mr. Ed. Kennedy (Legal Counsel), Dr. Pat Greenup (Past Chair); HR 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 November 17, 2006 FPPC Meeting Minutes:  

 

The minutes were adopted as distributed without corrections or additions.

 

C. Chair Report: by Chair Carolyn Walden

 

Chair Walden welcomed Dr. Claire Peel, newly appointed Interim Associate Provost for Faculty Development and Faculty Affairs. She attended the Senate Executive Committee meetings, Senate meeting, Intellectual Ownership subcommittee, and Family Friendly subcommittee meetings. She reported that the Copyright Education Working Group formed in January 2006 is working to address issues involved with copyright policy, education and resources for the university. The Working Group is charged with providing the University community with information about copyright law and to provide web-based resources on copyright laws.

 

Chair Walden announced that the copyright summary is complete and on the website for policy summaries. Generally these are used in brochures and student publications. The Chair is working with the Office of the Provost to assist archival issues for printing the year end copies of the Handbook. The 2006 version with updates should be placed in both libraries. The Chair is still waiting to hear from Human Resources about consistent definitions for immediate family. The Holiday Policy for part-time faculty and expanding the immediate family to niece and nephew for nepotism are on hold until the FPPC hears from Human Resources.

 

 D. Senate Report: by Pat Greenup

 

Chair Greenup summarized the Standing Committee Reports given, and discussed the Open Forum section.  Senators and alternates present were asked by Chair Joe March to note issues of concern for their units.  These were identified to the group, and submitted to Chair March.  Feedback and/or other issues may be submitted to march@uab.edu.

 

E. Old Business

 

1.  Subcommittees:

 

Intellectual Property-Student Seminars:  by Kathleen Berecek

            The subcommittee recommends the following:

-         a summary of the copyright policy be in all student guides and handbooks;

-         a link to the full policy be added to these guides and handbooks;

-         access to all research data be made available to mentors and collaborators, and once the data is submitted for publication, available to all

-         The Dr. Sarah Volmer project and tapes on proper conduct in the laboratory  be made available to all; Dr. Volmer has indicated she will enlarge the scope of the course beyond the research laboratory;

-         Ask the graduate school to require grad students to add this course to their required pre-graduation check-list.

 

Chair Walden noted that Dr. Noe, Dean of the Graduate School, has suggested that such a recommendation for this course from the FPPC and the Senate would be appreciated.

 

Discussion of some implications of these issues followed:

-         Who owns funded research?  Unfunded research?  Dr. Capilouto stated that funded projects have specific language about ownership, and that foundations and federal regulations may have such language. 

-         Ed Kennedy said one must look to the copyright policy because it is often subject to interpretation which categories apply.  The NIH also gives a statement of ownership for its funded projects.  He also suggested discussing security and monitoring with IT for improvements.  Kris Findley noted that there are many independent IT departments, and that data back-up policies are not consistent.

-         Dr. Capilouto stressed that much policy and procedure exists that can be brought to bear now to prevent problems with loss of data.  He also suggested that all data be requested at the completion of a student’s thesis work.

-         Pat Greenup suggested that the subcommittee look at the Academic Misconduct policies which may cover issues such as non-compliance with other policies.

-         Dr. Berecek suggested recommending that every department have some course on the “responsible conduct of research”. 

-         Chair Walden noted that Dr. Noe has a limited grant to develop such a course.  She stated that the FPPC wants to suggest such a course be mandated for all undergraduate and graduate students, and Dr. Capilouto agreed.

-         Dr. Donna Handley noted that Dr. Volmer’s program/tape would be good for new faculty development.  Dr. Peel agreed.

 

Dr. Berecek and the subcommittee will submit a draft of recommendations at the next FPPC meeting.

 

Annual Evaluation Subcommittee:

 

The subcommittee prepared a report (see attached) incorporating suggestions from the report to the Senate by Cheryl Locke. 

 

FPPC Sub-committee on

Annual Faculty Evaluations

Wednesday, November 29, 2006, 11:30 am

335 Ullman Building

 

Present:            Donna Handley, Chair  Om Srivastava

                        Uday Vaidya                            Kathleen Berecek

 

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

 

CURRENT VERSION in HANDBOOK

 

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.

 

 

REVISED VERSION

 

2.6.3.7  Annual Faculty Evaluations

 

The purpose of faculty evaluations is to serve as a mechanism to measure and enhance faculty members’ professional development and productivity, and assist each faculty member in achieving his/her professional goals.  The department chair or division director (School of Medicine only) is responsible for conducting an annual, written evaluation of all regular faculty (non-tenure earning, non-tenured, tenure-earning and tenured) and providing feedback concerning faculty performance. 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.

 

The annual faculty evaluation process helps to emphasize the link between the evaluation and merit increases, promotion, and tenure. Further, the process should include the following guiding principles:

·        The department chair has ultimate responsibility for conducting faculty evaluations.

·        The process should conform to approved and written guidelines for promotion and tenure in each school and/or academic department.

·        The process should be clearly defined and communicated to faculty members.

·        Evaluations should be in writing, although verbal feedback and communication is recommended to discuss the evaluation.

·        Faculty members and the department chair should annually establish and monitor goals.

·        Reviews should be completed in a timely manner.

 

Faculty member rights in the annual evaluation process shall include the following guidelines:

·        A copy of the written evaluation is to be provided to the faculty member, and placed in the faculty member’s department activity file.

·        Every faculty member has access to his/her department activity file.

·        The faculty member has the right to read and discuss the evaluation and the right to provide feedback to the department chair regarding the evaluation.

 

 

Discussion followed concerning:

-         Stating that the department chair or division director is responsible   

for a written evaluation. There was consensus that they should be. Dr. Capilouto indicated in the School of Medicine there are very large departments which may make it difficult for one person to do the actual written evaluation.

-         Including in the 2.6.3.7 revision the overall scope of the evaluation from

the original language;

-         In the new section on Faculty member rights, include “written feedback which

will be added to the faculty member’s department activity file”;

-         What procedure, if any, should be indicated if a faculty member is unhappy

with the outcome of the annual evaluation?

 

The subcommittee will consider the suggestions made, and look into school handbooks, and provide a draft for the next meeting.

 

 

Family Friendly subcommittee: (See attached report)

FPPC Sub-committee on

Family Friendly Policies

Friday, December 1, 2006, 7:30-9:30 am

Administration Bldg. Room 374

 

 

Present:            Madelyn Coar, Chair                Carolyn Walden, FPPC Chair

                        Philip Musa                              Donna Handley

                        Joan Grant                                Rose Scripa

                        Pat Greenup                

 

 

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

 

 

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

      Extension of Tenure-earning Period:

 

     UAB recognizes that faculty 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 include:

 

-         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 and dean or library director of their unit.  If approved at the unit level, such requests require final approval of the Provost.  If denied at the unit level, the faculty member may request a review by 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.  Given the nature of such initiating circumstances, all requests should be processed by administrators in a timely manner.  Approved extensions will be for one year unless the faculty member requests one semester instead (or quarter for the affected schools).  The tenure-earning period may be extended no more than two times.  The combined total extension of the tenure-earning period may not exceed two years.  

 

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.”

 

 

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

      sentence, add the following paragraphs:

 

     However, 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 include:

 

-         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.  Approved reductions in job time status will be for one year unless the faculty member requests one semester instead (or quarter for the affected schools).   The combined total time in regular part-time status may not exceed two years.  Interested faculty must present a request in writing to the appropriate chair and dean or library director of their unit.  If approved at the unit level, such requests require final approval of the Provost.  If denied at the unit level, the faculty member may request a review by the Provost.  The action of the Provost shall be communicated in writing to the faculty member and shall specify the termination date of the part-time status period, and, in the event the request is denied, shall specify the grounds for the denial.  Given the nature of such initiating circumstances, all requests should be processed by administrators in a timely manner. 

 

 

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

       paragraph:

 

      A non- tenure-earning faculty member may 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 include:

 

 

-         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.  Interested faculty must present a request in writing to the appropriate chair and dean or library director of their unit.  If approved at the unit level, such requests require final approval of the Provost.   If denied at the unit level, the faculty member may request a review by the Provost.  The action of the Provost shall be communicated in writing to the faculty member and shall specify the termination date of the part-time status period, and, in the event the request is denied, shall specify the grounds for the denial.  Given the nature of such initiating circumstances, all requests should be processed by administrators in a timely manner.  Approved job time reductions will be for one year unless the faculty member requests one semester instead (or quarter for the affected schools).  The combined total time in part-time status may not exceed two years.  The faculty member will resume full-time duties under the terms of the contract in effect before the reduction to regular part-time.

 

 

IV. 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.

 

 

V.  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 I above.)

 

            Discussion of the subcommittee report included the following comments:

-         Dr. Capilouto asked that the Family Medical Leave be used as a guide, that

adequate documentation be provided to justify the request, and that no extension be granted in the final year prior to review for tenure (see 2.6.6.4) but a request for part-time could be considered.

-         Dr. Capilouto noted that the last paragraph of current 2.6.6.4 gives a

cumulative total extension of one year.  The subcommittee needs to consider this inconsistency with the proposed policy.

-         The revisions to section 2.3.2 for non-tenured faculty were discussed,

especially with regard to the contract status of these positions, and whether extension or renegotiation of existing contracts is necessary.  Input followed from several FPPC members, Dr. Capilouto and Ed Kennedy, to further clarify the intent and the ramifications of the proposed revisions.

 

Dr. Capilouto offered to work with the subcommittee to refine the language and further develop these revisions.   A draft will be presented at the next FPPC meeting.

 

2.  Year 1 of the Handbook Review Cycle

No report.

           

F.  New Business:

 

1.  FPPC Election Process

 

Chair Walden noted that there will be elections for FPPC members from five units: Lister Hill Library, Mervyn H. Sterne Library, School of Engineering, School of Natural Sciences and Mathematics, School of Nursing. The current members are to encourage faculty to submit their names for nomination for the committee. Nomination forms should be completed by February 23, 2007. 

 

2.  Consulting Guidelines

 

The guidelines need to be completed to help with revisions for Section 3.  Chair Walden will get information to Dr. Peel for follow-up.

           

 

 G._Presentation of Informational Items:

 

1.  Copyright SUMMARY for Student Handbooks and Catalogs

 

2.  Link to Copyright Policy in Faculty Handbook

It was noted that as of today, there is no link to the policy.

 

3.  Changes for In-State Travel Policy. Policy now in Provost Office. Approval should occur soon.

 

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

 

1.  Annual Evaluation subcommittee will continue its work.

 

2.  Intellectual Property subcommittee will continue its work.

 

3.  Family Friendly subcommittee will work with Dr. Peel, Dr. Capilouto, and the version drafted with HR input to provide a draft acceptable to all. 

 

4.  Handbook review teams-of-2 will continue their work.   

 

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 are Complete or on-going from November meeting.

  

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

 

Draft Agenda

Draft Minutes

Family Friendly Subcommittee Report

Annual Evaluations Subcommittee Report

Copyright Summary

 

K.    Materials Distributed at Meeting:  

 

Revised calendar

 

L.  Announcements:

 

Next Senate Meeting   (Great Hall A and B) January 9, 2007, 7:30 – 9:30 a.m. 

Next FPPC meeting   (Penthouse CR1) January 26, 2007, 7:30-9:30 a.m.

 

M.  Adjournment:

 

The meeting was adjourned at 9:30 am by Chair Carolyn Walden.

 

The minutes were prepared by Vice-Chair Madelyn Coar on Dec. 20, 2006, with selected additions by Chair Carolyn Walden January 24, 2007.