- the (original) faculty member in question (Dr. Thomas Petee);
- a faculty member who had previously questioned departmental Independent Study practices (Dr. Jim Gundlach);
- students, both athletes and non-athletes;
- academic advisors and athletic academic counselors;
- College
of Liberal Arts
administrator
As of August 31, 2006, 48 student-athletes, in 9 different sports, and 7 non-athlete students were interviewed. For all students, athletes and non-athletes, transcripts and course registration processes were reviewed. Additional interviews were added as needed.
During the course of student interviews, some new questions arose about Independent Study courses in the Adult Education program, within the Department of Educational Foundations, Leadership and Technology, in the
In all, 64 individuals were interviewed. Several of the individuals were interviewed more than one time, due to follow-up questions.
This report is structured to first, provide data and policy that is specific to Sociology/ Criminology (SOCY/ CRIM). Second, it provides data and policy specific to Adult Education (ADED). Third, it offers direct answers to the following questions:
- Were grades given for little or no work?
- Were all students treated similarly?
- Are the identified issues widespread?
- Are there policies to deal with any problems that are identified?
Finally, the report offers findings and recommendations.
It is important to note that to the extent any information received by the committee raised athletic compliance issues, those issues are the subject of an on-going Athletics Department inquiry. This Independent Study/ Directed Readings Investigation Report does not provide any details which would negatively impact that inquiry. Additionally, this public report cannot provide details wherein personally identifiable information about any specific students can be inferred, thereby violating Family Educational Rights and Privacy Act guidelines.
Sociology/ Criminology Data and Policy
Sociology and Criminology are academic programs within a combined Department of Sociology, Anthropology, Criminology and Social Work, located in the
Table 1- Petee course sections
Term
Count of Sections
Spring 2003
11
Summer 2003
18
Fall 2003
12
Spring 2004
14
Summer 2004
17
Fall 2004
18
Spring 2005
17
Summer 2005
8
Fall 2005
7
Spring 2006
8
Summer 2006
7
Fall 2006
4
These course sections include Sociology, Criminology and Statistics courses, along with occasional Political Science and Anthropology courses, at both the undergraduate and graduate levels taught by Dr. Petee. The course sections include:
· “traditional” courses with regular meeting times
· “traditional” courses which are regularly offered but which were offered in an independent study (TBA) format (i.e. few, if any, meeting times)
· courses identified as Independent Study and/or Directed Readings which met in an independent study format (i.e. few, if any, meeting times)
Prior to August 2006, there were no university or college prohibitions against opening Directed Readings or Independent Study courses, or additional sections of a course. Additional course sections may only be opened with Department Chair/ Head permission.
The guidelines which regulate the taking of these courses are specific to the classes. They detail how many such classes a student can take for credit. For example, for SOCY 4960 Directed Reading in Sociology the course description in the AU Bulletin indicates:
Junior standing and departmental approval. An independent reading program under supervision, to allow pursuit of specific interests in sociology not covered in other course offerings. Course may be repeated for a maximum of 6 credit hours.
For CRIM 4960 Directed Readings in Criminology the AU Bulletin states:
Junior standing. Independent reading course under the supervision of a faculty member from the Criminology and Criminal Justice Program. Course may be repeated for a maximum of 6 credit hours.
Opening additional course sections of a regularly scheduled class may, at times, be needed to permit a student to complete the course in order to graduate or because the student could not meet at the regularly scheduled time for the class. However, it is not a common practice and should not usually be permitted. As Interim Department Chair, Dr. Petee had the authority to open additional sections.
In most semesters, 1or 2 courses were Dr. Petee’s expected teaching load.
Table 2 builds upon the data of table 1 and identifies the number of course sections taught by Dr. Petee, total enrollment and number of scholarship athletes within that enrollment.
Table 2- Petee course sections, enrollment, athletes
Term
Count of Sections
Total Enrollment
Scholarship Athletes
% of Scholarship Athletes Enrolled
Spring 2003
10 (1)
52
8
15%
Summer 2003
18
84
26
31%
Fall 2003
12
49
13
26%
Spring 2004
13 (1)
67
18
27%
Summer 2004
17
142
24
17%
Fall 2004
18
271
31
11%
Spring 2005
17
233
50
21%
Summer 2005
8
73
14
19%
Fall 2005
5 (2)
98
15
15%
Spring 2006
8
62
9
15%
Summer 2006
7
50
7
14%
Fall 2006
2 (2)
100
8
8%
Totals
1281
223
Average 17%
* Numbers in parentheses are additional courses with no enrollment.
Table 3 provides Dr. Petee’s grading breakdown, for all students and athletes, and the departmental grading breakdown (including Sociology, Criminology, Anthropology and Social Work), for all students and athletes (as a comparator). Based upon these data, Dr. Petee gives higher grades to his non-athlete students than to his athlete students. However, Dr. Petee’s grades for all students (non-athletes and athletes) are higher than most, but not all, other faculty members’ grades in the department. It is worth noting that there is no University policy on how a faculty member’s grades should be distributed. Many factors contribute to an individual faculty member’s grade distribution.
Table 3 - Grades: T. Petee, Jan. 2003-May 2006
A
B
C
D
F
IN
OTHER
TOTAL
GRADESPetee- All Students
52.8%
37.8%
8.0%
0.1%
0.6%
0.5%
0.1%
984
Petee- Athletes
48.0%
40.5%
8.0%
0.5%
0.5%
2.5%
0.0%
200
Other SOCY – All Students
34.8%
34.7%
19.4%
5.9%
5.1%
0.1%
0.1%
20779
Other SOCY – Athletes
20.4%
34.1%
27.6%
11.4%
5.9%
0.4%
0.1%
988
In examining the grade distribution in Dr. Petee’s courses, the committee also looked into grades of “Incomplete” and grade changes. Of 24 grades of “Incomplete” given by Dr. Petee between Spring 2003 and Spring 2006, 67% were given to student athletes. It is worth noting that the AU Bulletin states that
An IN may be assigned at the discretion of the instructor if the student is passing but has not completed all assigned work or taken all scheduled examinations.
If not cleared within six months of the date the IN was awarded, regardless of the residence status of the student, the IN becomes an F.
In reviewing a WebCT grade sheet from one of Dr. Petee’s classes some students who had not been making progress in his courses were given a grade of IN. Dr. Petee indicated that he was not aware of the university’s policy regarding the assignment of IN grades. It should be noted that university policy states that a grade of IN is calculated as a grade of F for the purpose of computing a grade point average and is converted to a grade of F after six (6) months.
Dr. Petee processed approximately 55 grade changes for students between January 2003 and Spring 2006. This number of grade changes is higher than the average rate for the Department of Sociology, Anthropology, Criminology and Social Work of 22 grade changes per faculty member during this time period. As noted later in this report, his failure to keep complete records made it difficult to determine the necessity for this number of grade changes.
Qualitative Data (Interview) Findings- Sociology/Criminology
Dr. Petee provided copies of course syllabi which identified class expectations, readings, and assignments. He also provided grading books, but he did not maintain grades for all classes in the grade books provided. Additionally, he did not record grade changes in the grade books. Dr. Petee’ s lack of course records for some classes violates
Dr. Gundlach was initially unwilling to share his data or methodology with the Investigation Committee. On August 1, 2006, Dr. Gundlach did share his research process, but did not provide any documentation. He also presented his view of the situation including an oral chronology of events. After discussing the situation, Dr. Gundlach stated that he is not aware of preferential treatment for student athletes from Dr. Petee but rather his primary concern was the proliferation of Independent Study/ Directed
In Spring 2005, Dr. Gundlach brought his concerns about a proliferation of Independent Study/ Directed
In interviews with student- athletes and non student- athletes in Dr. Petee’s Independent Study/ Directed Readings/ TBA classes, all identified the same work expectations (reading one or two books and completing a term paper, approximately 15 pages long) and all indicated that they were expected to work on their own, with no class meeting times. If they had questions or needed help they emailed him or went to his office. The academic transcript of each student interviewed was reviewed to determine when they took a course with Dr. Petee.
Adult Education Data and Policy
A review of Independent Study practices in the Adult Education program was spurred by the number of interviewed students who had taken Independent Study courses in ADED as well as CRIM/SOCY, and who confused details about the courses in the two programs. The instructor of record for these Adult Education classes was Dr. J. Witte.
Table 5 provides the count of course sections offered by Dr. J. Witte between Spring 2003 and Fall 2006.
Table 5- J. Witte course sections
Term
Count of Sections
Spring 2003
20
Summer 2003
18
Fall 2003
19
Spring 2004
19
Summer 2004
19
Fall 2004
18
Spring 2005
18
Summer 2005
19
Fall 2005
21
Spring 2006
22
Summer 2006
19
Fall 2006
20
These Adult Education course sections include:
· “traditional” courses with regular meeting times
· courses identified as Independent Study and/or Directed Readings which met in an independent study format (i.e. few, if any, meeting times)
· Internship, Practicum, and Work Experience courses, which met in an independent work arrangement
Table 6 builds upon the data of table 5 and identifies the number of course sections taught by Dr. J. Witte, total enrollment and number of scholarship athletes within that enrollment.
Table 6- J. Witte course sections, enrollment, athletes
Term
Count of Sections
Total Enrollment
Scholarship Athletes
% of Scholarship Athletes Enrolled
Spring 2003
13(7)
111
19
17%
Summer 2003
13(5)
73
13
18%
Fall 2003
15(4)
153
41
27%
Spring 2004
14(5)
127
27
21%
Summer 2004
15(4)
100
20
20%
Fall 2004
13(5)
129
20
16%
Spring 2005
16(2)
118
14
12%
Summer 2005
15(4)
136
31
23%
Fall 2005
18(3)
214
58
27%
Spring 2006
20(2)
194
50
26%
Summer 2006
16(3)
123
38
31%
Fall 2006
12(8)
81
21
26%
Totals
1559
352
Average 23%
* Numbers in parentheses are additional courses with no enrollment.
Table 7 provides Dr. J. Witte’s grading breakdown for all students and athletes, the grading breakdown for other Adult Education faculty, and the grade distribution for all students and athletes by other Educational Foundations, Leadership and Technology faculty (as a comparator). The “other” grades for Dr. J. Witte are high because he teaches a large number of classes on a Pass/Fail (S/U) basis.
Table 7- Grades: J. Witte, Jan. 2003- May 2006
A
B
C
D
F
IN
OTHER
TOTAL
GRADESWitte- All Students
66.3%
3.3%
1.2%
0.0%
0.9%
0.4%
27.9%
670
Witte- Athletes
58.7%
6.8%
1.5%
0.0%
1.5%
0.8%
30.7%
264
Other ADED – All Students
90.6%
4.9%
2.3%
0.2%
1.9%
0.1%
0.0%
926
Other ADED – Athletes
71.4%
13.0%
11.0%
0.6%
3.9%
0.0%
0.0%
154
Other EFLT – All Students
80.6%
14.5%
2.9%
0.4%
1.5%
0.1%
0.0%
3183
Other EFLT - Athletes
72.9%
12.8%
10.1%
0.5%
3.7%
0.0%
0.0%
188
Because Independent Study courses were a focus of this investigation it is worth noting the Adult Education policy for Independent Study. The policy for Adult Education 4900 Directed Independent Study course is identified in the AU Bulletin:
Departmental approval. Independent study directed toward desired objectives. Includes evaluation at regular intervals by professor and student. Course may be repeated for a maximum of 6 credit hours.
Qualitative Data (Interview) Findings- Adult Education
Dr. J. Witte indicates that he has attempted to work with all students to accommodate their learning objectives.
The students interviewed indicated that they were required to meet with Dr. J. Witte at the start of the semester to receive their syllabus. They also had 2 or 3 meetings with Dr. J. Witte during the semester. Typically, they had to complete a written assignment and had to take some sort of exams to determine what sort of learner they are. One student gave the example of taking the Meyers-Briggs personality trait test.
Dr. J. Witte provided a class roster for one course with assignments identified. Many students interviewed indicated that Dr. J. Witte was always accessible when needed. Some students indicated that they made a point of going to his office at regular intervals (at least 1 time per month) to ask questions.
Investigation Questions & Answers
Question #1- Were grades given in Independent Study courses for little or no work?
In general, students were provided a syllabus and had a defined course objective and work product required for the Sociology, Criminology and Adult Education Independent Study/ Directed
In a small number of cases, students in both SOCY/CRIM and ADED did not do the required work and did receive grades. These appear to be due to the faculty members’ careless record-keeping.
Question #2- Were all students treated similarly?
All students were afforded the same opportunity to participate in Sociology, Criminology and Adult Education Independent Study/ Directed
Question #3- Are the identified issues widespread?
A review of all Independent Study course offerings and enrollment, in all departments, at
Question #4- Are there policies to deal with the problems that are identified?
In general, most faculty regulate the number of Independent Study courses that they offer. There are policy limitations on students for the maximum number of Independent Study credit hours that a student may take.
In the situation of opening “traditional” courses in an independent study (TBA) format generally only a Department Chair/Head has this authority. So, it is not common but needs further regulation.
On August 10, 2006,
Findings
Two overarching findings, and seven sub-findings, emerged from the interviews and student transcript review:
1) Both faculty members, Dr. Petee and Dr. Witte, had too many students in too many course sections, which led to their inability to accurately keep track of the students.
1.1) These faculty members were unable or unwilling to accurately record student progress and work, thereby erroneously giving grades to a small number of students for no work.
1.2) These faculty did not keep track of which courses were repeatable and what the maximum permissible credit hours per course, and some students exceeded the permitted amount.
1.3) These faculty members actually enrolled some students in OASIS erroneously in some of their courses contributing to the problems noted above. (This was verified through the identification of their Operator ID numbers.)
2) Both faculty members, Dr. Petee and Dr. Witte, lacked effective oversight from a higher level administrative unit (Dean’s office for Dr. Petee and Department Head and/or Dean’s Office for Dr. Witte).
2.1) Higher level administrators should have asked about how many sections each of these faculty members were offering.
2.2) Higher level administrators should have asked about why these faculty were offering course sections that did not meet the
2.3) Higher level administrators should have asked why course sections of classes being offered by other faculty members were allowed to be offered (the case with Dr. Petee).
2.4) Turnover in the Dean’s Offices in the Colleges of Liberal Arts and Education provided the opportunity for this lack of oversight.
Recommendations
The committee finds that Dr. Petee and Dr. J. Witte demonstrated poor judgment leading to a diminution of the academic integrity of
The committee endorses and/or recommends the following:
1) The committee endorses the August 10, 2006, implementation of a university-wide policy limiting the total number of students which a faculty member is allowed to supervise for Independent Study/ Directed Readings.
2) The committee endorses the August 10, 2006, change in leadership for the Department of Sociology, Anthropology, Criminology and Social Work and the program in Adult Education in the Department of Educational Foundations, Leadership and Technology.
3) The committee recommends that duplicate course sections being offered independently (TBA) must be approved by the Dean. The Department Chair/Head or program Chair should not have sole authority.
4) The committee recommends that the grade of IN only be allowed when 60% or more of the course work has been completed. The professor should be required to verify on a newly developed “Incomplete Form” the percentage of the coursework completed.
5) The committee recommends that faculty, academic advisors, and athletic counselors regularly review their student’s records to assure that no students register for non-repeatable courses.
6) The committee recommends that a mechanism be developed to ensure that inquiries into academic irregularities are reported to appropriate administrators and appropriately followed up on and the results communicated to Deans.
Appendices
Appendix 1- Faculty Retention of Student Materials (policies)
Appendix 2- Directed
Appendix 3- Minimum Class Size Policy
Appendix 1- Faculty Retention of Student Materials (policies)
Excerpts from the General Records Schedule for Alabama Universities
Table Table of Contents|
1. Admitting/Expelling Students3. Advising and Assisting Students.......................................................
4. Enforcing Laws.......................................................................
5. Evaluating Performance and Conferring Credentials....................................
6. Conducting Research..................................................................
7. Administering Internal Operations.....................................................
Conveying Knowledge
2.01 COURSE AND CURRICULUM RECORDS. These records include programs of instruction approval files, class/course schedules, university catalogs/bulletins, and proposals and justifications for new courses and changes to courses.
RECORDS OF APPROVED CLASSES: PERMANENT.
Records of classes not approved: Retain for useful life.
2.02 Lesson Plans/Syllabi. These records are created to document what the teacher expects of
the students and to outline assignments and due dates. Retain for life of appeals process.
2.03 Internship Records. These records document activities of interns as part of class
curriculum. Retain for life of appeals process.
2.04 Master Copy of Exams. These records are the master copy of every exam given in the
conduct of a class in the curriculum of the university. Retain for life of appeals process.
2.05 Documentation of Grades and Attendance (Instructor's Copy) These records include
class rolls, grade books, graded exams, papers, student e-mail, and other student work. Retain for life of appeals process.
2.06 Records of Supplemental Learning Centers. These records document the activities of supplemental learning centers, which some universities establish to assist in the learning process through tutoring in specific subject matter or skills. These records do not include records of libraries/learning centers.
Retain 3 years.
Evaluating Performance and Conferring Credentials.
5.01 College/Department Student Academic Files and Grade and Course Credit Records.
These records document individual students in individual college and department offices and include grade change documentation, advanced credit posting authorizations, and student teaching program and certification records.
Retain 5 years.
5.02 GRADE SHEETS SUBMITTED BY INSTRUCTORS/CLASS LISTS. These
records document the grades given by an instructor to the members of a particular class. PERMANENT.
5.03 GRADE STATISTICS. These reports are created to provide statistical information on
student grade point or quality point averages. PERMANENT.
5.04 GRADUATION LISTS. These records are lists of individuals who have successfully completed the degree requirements and have been graduated from the university. Note: This list may be part of the Board of Trustees minutes.
PERMANENT.
5.05 INDIVIDUAL STUDENT ACADEMIC RECORDS. These records consist of the official student record of an individual student for his/her period of enrollment at a university and include all academic documentation for an individual student, including transcripts, narrative evaluations, competency assessments, and academic action.
Continuing Education Records not required to produce a transcript: Retain for 5 years after date of last attendance.
OTHER INDIVIDUAL STUDENT ACADEMIC RECORDS (includes continuing education records that are required to produce a transcript and Individual Student Transfer Evaluations): PERMANENT.
5.06 Continuing Education Program Files. These records consist of continuing education
program files documenting students enrolled in continuing educational classes. Retain 5 years.
5.07 Changes of Course (Drop/add). These records document the student's change of
courses. Retain 1 year.
5.08 Comprehensive Examination Records. These records document a student's grades on
comprehensive exams. Retain 5 years.
5.09 Transfer Equivalents Files (Articulation). These records document the process for transferring credit from other institutions of higher education accepted by a university.
Individual Student Transfer Evaluations: File with individual student academic records.
Other: Retain for useful life.
5.10 Graduation Authorizations. These records document graduation authorizations to
verify degree requirements. Retain 5 years after date of student's last attendance.
5.11 Graduation Applications. These records document the application for graduation. Retain 1 year after date of student's last attendance.
Directed Readings Policy and Form
Posted: August 11, 2006Directed Studies Definition and Policy
This policy has been recommended to the interim president by the provost and formally adopted by the President on August 10, 2006
Definition of Directed
Directed readings courses allow in-depth study of a particular subject by a student who is well into her or his major and, in extraordinary circumstances, accommodate scheduling issues when no other remedy is available.
Directed readings courses should not normally be used as replacements for required courses or as a solution to routine scheduling problems.
Purpose of Policy
The university is committed to maintaining the highest level of academic quality and integrity in the instructional process.
This policy is designed to bolster both quality and academic integrity by ensuring that the academic quality of directed readings courses is materially equivalent to the academic quality of other courses, regardless of format or mode of delivery.
Eligibility
To be eligible to take a directed readings course a student must be at junior level or above, and the course must be taken for credit toward the student’s major or minor; exceptions may be approved as follows:
Exceptions concerning junior standing or higher, or concerning credit toward the student’s major or minor, must be approved by the instructor and the offering department head/chair (or dean, if the instructor serves as department head/chair or associate dean), and by the dean of the college in which student is enrolled, if different from the offering college.
A student must have the approval of her/his dean and the provost to take more than 9 hours of directed readings coursework for credit over the course of her/his degree program.
Approval to Teach Course
A standard "Approval for Independent Study / Directed Readings" form available through the Office of the Provost web page will specify the necessary approvals and serve as the vehicle for obtaining them. Except as permitted by deadline variations within the “Registration and Scheduling” provisions of the university’s “Academic Policies,” all necessary approvals must be obtained by the tenth class day of the semester (or fifth class day of the summer semester) in order for the course to be taken for credit toward a degree.
The form for course approval serves in the nature of a contract in which the student and the instructor affirm their understandings concerning:
a. the objective of the course; b. the nature of the teaching-learning process and the proposed schedule of meetings; c. the proposed work products; and d. the criteria that will be used to assess the work product and the grade options that will be available.
Information on points a through d above should be presented through a syllabus that is attached to the form for approval.
Academic Standards
The documentation consisting of the approval form and accompanying material must comply with the course description approved by the University Curriculum Committee, and must reflect essentially the same standards of academic quality expected of all courses regardless of format or mode of delivery.
An instructor wishing to offer directed studies coursework to more than three students in any given semester must receive written approval from the department head/chair (or dean, if the instructor serves as department head/chair or associate dean) no later than the tenth class day of the semester (fifth day of summer semester).
The instructor, department head/chair, and dean affirm through their signatures on the approval form that the amount and level of credit to be awarded for the course is materially equivalent to the amount and level of credit awarded for comparable course work, regardless of format or mode of delivery.
Appendix 3- Minimum Class Size Policy
Minimum Class Size Guidelines
The following guidelines are to be used in establishing minimum class size:
Lower division undergraduate classes
1000-200015 registrants
Upper division undergraduate/professional classes
3000-500012 registrants
Graduate level classes
6000-70008 registrants
Doctoral level classes
8000 level5 registrants
Continuation of a course or section with fewer than the number of students specified above as of the second class day will require review and approval of the dean of the college or school responsible for the course.