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- Herausgeber: John Wiley & Sons
- Kategorie: Bildung
- Sprache: Englisch
Improve student enrollment outcomes and meet institutional goals through the effective management of student enrollments. Published with the American Association for Collegiate Registrars and Admissions Officers (AACRAO), the Handbook of Strategic Enrollment Management is the comprehensive text on the policies, strategies, practices that shape postsecondary enrollments. This volume combines relevant theories and research, with applied chapters on the management of offices such as admissions, financial aid, and the registrar to provide a comprehensive guide to the complex world of Strategic Enrollment Management (SEM). SEM focuses on achieving enrollment goals, and sustaining institutional revenue and serving the needs of students. It provides insights into the ways SEM is practiced across four-year institutions, community colleges, and professional schools. More than just an enhanced approach to admissions and financial aid, SEM examines the student's entire educational cycle. From entry through graduation, this volume helps SEM professionals and graduate students interested in enrollment management to anticipate change and balancing the goals of revenue, access, diversity, and prestige. The Handbook of Strategic Enrollment Management: * Provides an overview of the thinking of leading practitioners that comprise SEM organizations, including marketing, recruitment, and admissions; tuition pricing; financial aid; the registrar's role, academic advising; and, retention * Includes up-to-date research on current issues in SEM including college choice, financial aid, student persistence, and the effective use of technology * Guides readers creating strategic enrollment organizations that fit the unique history, culture, and policy context of your campus Strategic enrollment management has become one of the most important administrative areas in postsecondary education, and it is being adopted in countries around the globe. The Handbook of Strategic Enrollment Management is for anyone in enrollment management, admissions, financial aid, registration and records, orientation, marketing, and institutional research who wish to enhance the health and vitality of his or her institution. It is also an excellent text for graduate programs in higher education and student affairs.
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Handbook of Strategic Enrollment Management
Don Hossler
Bob Bontrager
and Associates
Cover Design: Lauryn Tom Cover Art: © iStockphoto/22926881 John Schuh, Consulting Editor Copyright © 2015 by American Association of Collegiate Registrars and Admissions Officers. All rights reserved.
Published by Jossey-Bass A Wiley Brand One Montgomery Street, Suite 1200, San Francisco, CA 94104-4594—www.wiley.com
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Library of Congress Cataloging-in-Publication Data
Library of Congress Cataloging-in-Publication Data has been applied for and is on file with the Library of Congress. ISBN 978-1-118-81948-7 (cloth); ISBN 978-1-118-81953-1 (ebk.); ISBN 978-1-118-81940-1 (ebk.)
FIRST EDITION
The Jossey-Bass Higher and Adult Education Series
CONTENTS
Preface
About the Editors and Contributors
About AACRAO
PART ONE: SETTING THE CONTEXT
CHAPTER 1 Origins of Strategic Enrollment Management
Defining Strategic Enrollment Management
A Brief History of Strategic Enrollment Management
Strategic Enrolment Management: A Structural Framework
The Future of Strategic Enrollment Management
References
CHAPTER 2 Understanding the Context
The Role of Postsecondary Sectors, Markets, and Public Policy
The Changing Characteristics of Students
Implications for Strategic Enrollment Managers
References
CHAPTER 3 Successful Strategic Enrollment Management Organizations
Organizational Structures and Relationships
SEM Functions
SEM Research
Organizing for Student Retention and Success
Conclusions
References
PART TWO: CHOICE, MARKETS, AND ADMISSIONS
CHAPTER 4 Understanding Student College Choice
College Choice Theories
College Choice Factors
College Choice by Race/Ethnicity
Nontraditional Students
Timing of College Choice
Implications for Institutional Policies and Practices
References
CHAPTER 5 Markets and Market Niches
Finding Context
Zemsky's Foundational Work
Defining Market Structures and Position
Implications for Alpha College
Putting the “S” in Strategic Enrollment Management
Conclusion
References
CHAPTER 6 Admissions and Recruitment Marketing
What Is Marketing?
Marketing as an Exchange Process
The University as a Service Institution
The Importance and Role of Customer Satisfaction in the Recruitment Process
Marketing Is Everyone's Responsibility
A Word About Market Research
Creating Marketing Strategy: The Seven P's of Enrollment and Admission Efforts
Conclusion
References
CHAPTER 7 Understanding Transfer and Articulation
Transfer Student Research
Student Swirl and Transfer Patterns
Creating a Transfer Culture
Conclusion
References
CHAPTER 8 How Admission Decisions Get Made
Philosophy and Mission in Student Selection
Philosophical Bases for Admissions Decision-Making
Outside the Lines: Special Considerations and Claims on Admission Spaces
Equity, Fairness, and the Place of Race as a Consideration
How Decisions Get Made: Selection Processes
The Role and Effect of College Admission Plans in Selection
Toward the Future: Noncognitive Factors and twenty-first Century Skills
The National Attainment Agenda, Transfer Admission, and the Swirling Student
Conclusion
References
PART THREE: PRICING AND FINANCIAL AID
CHAPTER 9 Economic Perspectives on Pricing and What It Means for SEM
Context
Basics of Supply and Demand
Practical Considerations: Demand and Supply in Multiple Pricing Contexts
Elasticities
Practical Considerations: Pricing Responsiveness and Revenue Impacts
Consumer Choice Theory
Practical Considerations: Pricing and Student Resources
Marginalism
Practical Considerations: Pricing and Decision-Making
Conclusion
Endnotes
References
CHAPTER 10 Understanding Financial Aid and Its Effects on Student Enrollments and Institutional Finance
Conceptual Framework
Sources of Aid
Financial Aid Policy
Conclusion
References
CHAPTER 11 Using Campus-Based Financial Aid Strategically
Different Approaches to Financial Aid
Definitions of Need
Packaging of Institutional Gift Aid
How Is Availability of Aid Communicated to Prospective Applicants?
Understanding Enrollment Behavior
Econometric Modeling
Using Models in Enrollment Analysis
Conclusion
References
CHAPTER 12 Budgets, Aid, and Enrollments
The Business Model of Higher Education
Budgets and Costs in Higher Education
The Changing Model of Higher Education Finance
The Role of SEM in Supporting Institutional and Student Success
References
PART FOUR: STUDENT RETENTION, PERSISTENCE, AND SUCCESS
References
CHAPTER 13 New Context for Retention and Persistence
The Historical Roots of Institutional Retention
Institutional Success Versus Student Success
What Is Missing in the Persistence and Completion Literature
Developing and Using New Metrics with More Comprehensive Data
What Should Institutional Researchers and Enrollment Managers Be Doing Differently?
Conclusion
References
CHAPTER 14 Models of Student Retention and Persistence
Definitions of Terms
Theory and Practice
Examples of Theory to Practice Approaches
Recommendations for Selecting Student Success Models
Conclusion
References
CHAPTER 15 Students at Risk in Residential and Commuter Colleges and Universities
Profile of Students at Risk for Departure from Four-Year Commuter Colleges and Universities
Assumptions and Recommendations for the Continuous Vigilance of At-Risk Students in Four-Year Commuter Colleges and Universities
Profile of Students at Risk for Departure from Four-Year Residential Colleges and Universities
Assumptions and Recommendations for the Continuous Vigilance of At-Risk Students in Residential Colleges and Universities
Conclusion
References
CHAPTER 16 The Persistence of Students of Color
Statistics on the Graduation Rates of Students of Color
Theories of Minority Student Departure
Factors Related to the Retention of Students of Color
Recommendations for Enrollment Managers
References
CHAPTER 17 Nontraditional Students and Student Persistence
Multiple Identifiers of Nontraditionality
How Many Nontraditional Students Are There?
Persistence and Graduation Outcomes for Traditional versus Nontraditional Students
Why Focus on Nontraditional Students?
Conclusions and Principles of Practice: How Enrollment Managers Can Promote Nontraditional Student Persistence
Conclusion
References
CHAPTER 18 The Role of the Institution in Increasing College Student Persistence
The College Board Study on Student Retention: Two National Surveys
Conceptual Frameworks
Conclusions and Implications of the College Board Studies
Findings from the IPAS Implementation Studies
Conclusion
References
Note
PART FIVE: THE IMPORTANT BACK ROOM
CHAPTER 19 Delivering Effective Admissions Operations
Organizational Structure
Staffing Opportunities
Space Management
Policy and Procedures
Technology and the Admissions Office
Communications
Assessment
Beyond the Admissions Office
Conclusion
References
CHAPTER 20 The Registrar of the Future
Do We Even Need a Registrar?
Registrars' SEM Expertise
The Registrar's Legal Role
Knowledge Management and Leadership
Conclusion
References
CHAPTER 21 The Role of Financial Aid Operations in Fostering Student and Institutional Success
Financial Aid Operations and SEM
The Importance of Operational Effectiveness
Operational Concepts
Campus-Wide Collaboration and Partnerships
Using Data to Measure Financial Aid Operations
Student Service
Staff Deployment and Training
Special Issues with Student Information
Technology
Conclusion
References
CHAPTER 22 The Role of Technology in Supporting SEM
History
Context
Technology and a SEM Environment Scan
Effective Technology Requires Self-Assessment
Successful Selection and Implementation of Technology
Administrative Structures
Conclusion
References
PART SIX: DATA, POLICY, AND STRUCTURES
CHAPTER 23 Campus-Based SEM Research
SEM Research Structure
Case Study: Iowa State University's Enrollment Research Team
Conclusion
References
CHAPTER 24 Tracking SEM Policy Trends
History of the Federal Role in Higher Education
Race-Based Admissions in the Courts
National Education Commissions
Tracking SEM-Related Policy Trends
The Role of States
Moving Forward
Conclusion
References
CHAPTER 25 Strategic Thinking Enrollment Organizations
Understanding the Resource-Based View
In Practice: Identifying an Organization's Resources
Competitive Resources Outside of SEM Organizations
Allocating Attention in the SEM Organization
Leveraging an Entrepreneurial Orientation
In Practice: Measuring Entrepreneurial Orientation in the Admissions Office
Inside the Strategic-Thinking SEM Unit
Conclusion
References
CHAPTER 26 Emerging SEM Organizations for Graduate and International Students
The Emergence of SEM Organizations in Graduate and Professional Education
Emerging Graduate and Professional SEM Organizations
International Student Growth and SEM Organizations
Rankings Impact on International Student Choice
SEM Organizations for International Students
Changes to Expand Global Enrollments: Focus on English Instruction
Partnerships to Develop Stronger Student Pipelines and Affiliations
Need to Manage Recruiting Agencies and Commission-Based Services
Conclusion
References
PART SEVEN: PUTTING THE PIECES TOGETHER
CHAPTER 27 Strategic Enrollment Planning
Strategic Planning and Change Management
The Nature of SEM Planning
A SEM Planning Model
Conclusion
References
CHAPTER 28 Trends in Strategic Enrollment Management
Demographic Changes and Their Effects on Institutions
Tuition Costs, Financial Aid, and Student Debt
Affirmative Action and Access for Whom?
Growing Government Regulation
Increased Competition
Changes, Changes, and the Evolution of SEM Organizations
And, of Course, Money, Money, Money
Conclusion
References
CHAPTER 29 Ethics and Strategic Enrollment Management
Synopsis of Previous Literature
Present and Future Issues
Case Studies and Opportunities for Reflection
Conclusion and Implications
Questions for Reflection
References
CHAPTER 30 Summing Up: The Present and Future Tense for SEM
Present Tense
The Future Tense
References
Name Index
Subject Index
Advert
End User License Agreement
List of Tables
Chapter 2
Table 2.1
Table 2.2
Table 2.3
Table 2.4
Chapter 7
Table 7.1
Chapter 10
Table 10.1
Table 10.2
Table 10.3
Chapter 11
Table 11.1
Chapter 12
Table 12.1
Table 12.2
Table 12.3
Table 12.4
Chapter 13
Table 13.1
Table 13.2
Table 13.3
Chapter 14
Table 14.1
Chapter 15
Table 15.1
Table 15.2
Chapter 16
Table 16.1
Table 16.2
Chapter 18
Table 18.1
Chapter 23
Table 23.1
Table 23.2
Chapter 26
Table 26.1
List of Illustrations
Chapter 5
Figure 5.1 Cumulative distribution of selected enrollment demand metrics by sector
Figure 5.2 Cumulative distribution of selected finance metrics by sector
Figure 5.3 Six-year graduation rates by market position sextiles: public and private non-profit institutions
Figure 5.4 Selected finance and affordability measures by position sextile: private non-profit institutions
Figure 5.5 Selected enrollment measures by position sextile: private non-profit institutions
Figure 5.6 Selected finance and affordability measures by position sextile: public institutions
Figure 5.7 Selected enrollment measures by position sextile: public institutions
Figure 5.8 Distribution of public and private non-profit four-year institutions by change in market position, 2003 to 2012
Chapter 6
Figure 6.1 The brand triangle
Chapter 7
Figure 7.1 Two-year/four-year partnership continuum
Chapter 9
Figure 9.1 Basic distinction between a change in
quantity demanded
and a change in
demand
for higher education
Figure 9.2 Graphical illustration of the relationship between total tuition, revenues, and elasticity
Figure 9.3 Graphical relationship of higher education consumption with substitutes and complements
Figure 9.4 The role of subsidies in Strategic Enrollment Management
Chapter 10
Figure 10.1 Proportion of total aid by type
Figure 10.2 Grant aid from all sources as proportion of total aid, 1971–2013
Figure 10.3 Average institutional grant aid per FTE student at four-year public institutions
Figure 10.4 Average institutional grant aid per FTE student at four-year private, non-profit institutions
Chapter 11
Figure 11.1 Need-grant scatter—need-blind, meet-full-need, fall 2013
Figure 11.2 Need-grant scatter, differentially packaged grant aid, fall 2013
Figure 11.3 First-year yields
Chapter 16
Figure 16.1 Six-year graduation rates of first-time, full-time degree seeking undergraduates by race/ethnicity and cohort
Chapter 18
Figure 18.1 Policy levers for student success
Figure 18.2 Community college orientation offerings, displayed by enrollment size
1
Figure 18.3 Community colleges' practices for cultural and racial diversity, displayed by enrollment size
Chapter 19
Figure 19.1 Admissions leadership team
Figure 19.2 Members of the leadership unit
Figure 19.3 Blended community college model
Chapter 20
Figure 20.1 Registrar leadership connections
Chapter 21
Figure 21.1 Interactions of student/parent backgrounds and financial aid operations
Figure 21.2 Federal calculation of eligibility for need-based aid
Figure 21.3 Student perspective on costs and aid
Chapter 22
Figure 22.1 Technology in the student lifecycle
Chapter 23
Figure 23.1 New direct from high school, new transfer, undergraduate, and total enrollment, 1999–2013
Figure 23.2 Resident NDHS enrollment and annual percentage change in resident tuition
Figure 23.3 Public and private Iowa high school graduate (actual and projected) by ethnic group and percent of multicultural high school graduates, 1999–2020
Figure 23.4 Budgeted real general fund state appropriations and tuition and fee revenue, 1965–2013 (adjusted to 2013 constant dollars)
Chapter 26
Figure 26.1 Employment value of earning graduate and professional degrees
Chapter 27
Figure 27.1 SEM Organizational Framework
Figure 27.2 SEM Process Framework
Figure 27.3 SEM Planning Framework
Guide
Cover
Table of Contents
Preface
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PREFACE
Don Hossler and Bob Bontrager
The field of Strategic Enrollment Management (SEM) is arguably the newest major administrative function to emerge at the senior levels of college and university administration. The confluence of competition for students, competition for the prestige associated with college rankings such as the “Best Colleges” rankings published by US News & World Report, as well as concerns about retention and graduation rates, and growing investments in campus-based institutional aid to achieve enrollment goals, have resulted in the growing importance of new organizations created with titles such as Enrollment Services, Enrollment Management, Enrollment Management and Student Affairs, and so on. Since the 1970s, there has been an exponential increase in research on the topics of student college choice, student retention, and the effects of financial aid on student enrollment behavior.
Part of this evolutionary process has been the naming of this new enterprise. As originally conceived, facing a projected decrease in the number of high school graduates in the mid-1970s, forward-thinking college admissions officers coined the term “enrollment management” to describe a new approach to maintaining the number of new students they enrolled as demand decreased. Early on, the “managing” of enrollments involved examining demographic data, segmenting target groups of students, and ramping up marketing efforts to prospective students in new, more intensive ways. Through the 1980s, enrollment management grew to include other enrollment service functions that proved critical to attracting students, such as financial aid, registration, student records, and fee payment. It grew conceptually as well to focus not just on the number of new students enrolled, but also retention and graduation rates, creating direct ties between institutions' academic and enrollment management efforts. With this comprehensive view of enrollment came more sophisticated financial modeling that linked recruitment and retention rates with institutional revenues. By the late 1980s, the scope of enrollment management had grown into a major strategic component of institutional operations; hence the emergence of the term “Strategic Enrollment Management.” It is this comprehensive, advanced understanding of original enrollment management thinking that forms the basis of this book.
As SEM has emerged and grown, what has been lacking is a comprehensive sourcebook on this important administrative function within postsecondary education. Several books and reports have been published on this topic—see, for example, Enrollment Management: An IntegratedApproach (1984), Creating Effective Enrollment Management Systems (1986), TheStrategic Management of College Enrollments (1990), Strategic Enrollment Management: Transforming Higher Education (2012), SEM in Canada: Promoting Student and Institutional Success in Canadian Colleges and Universities (2011), The Strategic Management of College Enrollments (1990), Enrollment Management for the 21st Century: Delivering Institutional Goals, Accountability, and Fiscal Responsibility (1999), and A Practical Guide to Strategic Enrollment Management Planning in Higher Education (2007). None of these publications, however, attempts to provide a comprehensive treatment of relevant research that can inform SEM practices and a thoughtful discussion of the intersection of the economics and finance of higher education and SEM, and none attempts to delineate the leading strategies and administrative functions that define effective SEM organizations. This volume expressly intends to address that void.
Jossey-Bass Publishers, part of the Wiley brand of publications, has a long tradition of publishing extensive handbooks on administrative functions in colleges and universities. Jossey-Bass has already published handbooks in the field of student affairs—The Handbook of Student Affairs Administration (3rd Edition, 2009), and Student Services: A Handbook for the Profession (5th Edition, 2010). In addition, Wiley has similarly published a compendium on institutional research entitled The Handbook of Institutional Research (2012). With the publishing of this book, Handbook of Strategic Enrollment Management, Jossey-Bass has added a new volume to its collection of comprehensive source books on the field of higher education.
We hope that this book will be judged useful by the worlds of both practice and research. In this seven-part volume, thirty chapters focus heavily on relevant research, on topics ranging from student college choice, to higher education finance, to considerations regarding how offices such as the registrar or financial aid contribute to SEM. We seek to examine both the what and the why of SEM. Some practitioners in the field of Strategic Enrollment Management fail to recognize the importance of how research (the why) can inform current practices and provide insights into future directions of the field.
Postsecondary educational institutions find themselves in an era of evidenced-based decision-making. Senior campus policy makers are being asked to demonstrate that they are using research and data to make the best decisions for their institutions. Thus, the increasingly large body of research on topics ranging from the mobility patterns for transfer students, to studies of the effects of campus-based financial aid on access and retention, to research on how colleges organize themselves to increase graduation rates provide a foundation for evidenced-based decision-making. Successful SEM organizations, however, rely not only on evidenced-based decision-making, but they also require successful planning processes, and they need business practices in offices such as admissions, financial aid, and registration and records that use technology to make timely decisions, to support student enrollment patterns, to facilitate access to a range of majors with a myriad of prerequisites, and to identify students whose course-taking patterns might suggest that they are at risk of not graduating. Senior enrollment officers need access to published research, as well as to campus-based SEM-oriented research, in addition to insights into leading practices in SEM organizations that can bolster their requests for resources, the enrollment plans that they implement, and/or the need to reorganize structures within SEM units.
This handbook comprises seven parts and thirty chapters. The seven parts cover the following topical areas.
Part I provides a brief history of the field of Strategic Enrollment Management, as well as an overview of the factors that have shaped the structure of SEM organizations. This is important background, especially for aspiring enrollment managers and other senior campus administrators including provosts, CFOs, student affairs staff, and the president. Having a sense of the history and current structure of SEM units can help inform their thinking of the best ways to structure their Strategic Enrollment Management organization and provides a perspective on what they can expect of SEM units.
In Part II we take a close look at college admissions and recruitment from multiple perspectives. It begins with a research-based examination of what we know about the factors that influence students' enrollment decisions. This is an important contextual chapter that informs and/or influences all of the activities of the remaining chapters in Part II. Other chapters discuss the structure of postsecondary markets in the United States, how institutions market themselves to recruit new students, what enrollment managers should know about transfer students and articulation policies, and how institutions with different missions decide who they will admit.
Moving from admissions and recruitment, Part III takes a closer look at the connections between higher education finance and SEM, including topics of tuition pricing and the economics of using campus-based aid to achieve enrollment goals. These areas have become some of the most important underpinnings of SEM. Indeed, we would argue that a deep understanding of the intersection between higher education finance, tuition pricing, and campus-based financial aid has become one of the most important areas of expertise for senior enrollment professionals. Chapter 11 closely examines the analytical approaches SEM organizations employ to maximize the impact of campus-based aid on achieving institutional enrollment goals.
Part IV moves on to the topic of student retention, persistence, and graduation. Along with college admissions, the topic of student retention and graduation has received a great deal of attention from both researchers and practitioners. This body of literature is so robust that we have organized it around the following themes: theoretical models of student persistence, an overview of the new public policy agenda that considers both retention and persistence as separate outcomes along with graduation, a review of research on traditional age students and the implications for SEM organizations, an overview of what we know about enhancing persistence among students of color, and separate chapters on research on the retention of nontraditional students and students in need of remediation. Part IV ends with a discussion of an understudied area: What do we know about what institutions are doing to enhance student persis-tence and graduation?
In Part V, we look at an important element of any successful SEM organization: what takes place in the back offices in units such as admissions, financial aid, and the registrar, and the closely associated role of technology. The chapters in Part V are more practice-based than research-based and address functional issues that often are an afterthought in SEM planning, when in fact they are critical to improving recruitment and retention rates. We sought out some of the leading practitioners to provide input on these key areas, and they have delivered thoughtful analyses of intentional structures they have employed.
Part VI addresses several of the strategic areas of SEM, beginning with a discussion of the research structures and data required for effective SEM practices. Chapter 24 links campus-based SEM efforts with policy issues at the state and national levels, recognizing that the achievement of public policy goals ultimately relies on changes at the institutional level. We close this part of the book with two chapters that focus on strategic thinking and planning, offering thoughts and guideposts for transitioning institutions to become more SEM-oriented.
In the final part of this volume, we consider new organizational models for SEM. In Chapter 27, we look at SEM issues and structures for the recruitment of international students and SEM organizations for graduate and professional schools. This is followed by chapters on current trends in SEM and another discussing ethics. We close the final chapter with a summary of the most important topics covered in this volume and recommendations for the future of SEM efforts.
In summary, Handbook of Strategic Enrollment Management provides the most complete treatment of SEM that has been attempted. It can be used to help improve the planning and future directions of SEM organizations, and it can help guide future research on various topics related to postsecondary access and success, better to understand the range of postsecondary institutions and to help enhance the health and vitality of colleges and universities.
ABOUT THE EDITORS AND CONTRIBUTORS
Matt Birnbaum is an associate professor, chair of the Department of Leadership, Policy and Development: Higher Education and P-12 Education at the University of Northern Colorado. He teaches courses on enrollment management, law, public policy, and research design.
Bob Bontrager is Senior Director of Consulting and Strategic Enrollment Management Initiatives for AACRAO and is Editor in Chief of Wiley's SEM Quarterly journal. He has written and presented in more than a dozen countries on Strategic Enrollment Management and related topics.
John M. Braxton is a professor of education in Higher Education Leadership at Peabody College, Vanderbilt University. His research centers on the college student experience in general and college student persistence in particular.
Stephen H. Brooks holds a PhD in economics and is the founding president of SHBrooks. He specializes in enrollment management and is one of the nation's foremost experts in applying econometric models to predict and analyze student enrollment.
Guilbert Brown is Vice President for Finance and Administration at Edinboro University of Pennsylvania, serving previously in business officer roles at both public and private universities. He has written and presented internationally on budget models and integrating academic, enrollment, and budget planning.
Marc M. Camille is the Vice President for Enrollment Management and Communications at Loyola University Maryland. He has presented frequently at AMA's Symposium for the Marketing of Higher Education and AACRAO's Strategic Enrollment Management Conference.
Emily Chung is the Program Director for the USC Center for Enrollment Research, Policy, and Practice at the University of Southern California. She is currently a doctoral student at the USC Rossier School of Education, specializing in higher education administration.
Bruce Clemetsen is Vice President for Student Affairs at Linn-Benton Community College. He has practiced, written, presented, and consulted extensively on Strategic Enrollment Management, student transfer, and institutional partnerships.
Jennifer DeHaemers is Associate Vice Chancellor for Student Affairs and Enrollment Management at the University of Missouri – Kansas City. She has practiced, written, and presented in the areas of Strategic Enrollment Management at two- and four-year institutions.
Afet Dundar is Associate Director of the National Student Clearinghouse Research Center. She plays a leading role in producing the Research Center's Signature Report series of national reports on student access and success and helps to develop the center's research agenda.
Lee Furbeck is the Director of Undergraduate Admissions and Student Transition at Cleveland State University and directs AACRAO's Transfer Conference. She has written and presented extensively on transfer-related topics and student access and equity.
Brent A. Gage is the Associate Provost for Enrollment Management at the University of Alabama at Birmingham (UAB). He is an expert in transforming enrollment management processes.
Tom Green is the Director of Technology Solutions and a Managing Consultant at the AACRAO. He has practiced and published on SEM in the United States and abroad for nearly thirty years.
Jacob P. K. Gross is an assistant professor of Higher Education Administration at the University of Louisville. He works on education policy, particularly policies pertaining to financial aid and finance. His work focuses on educational access and equity for underrepresented students.
Jay W. Goff is Vice President of Enrollment and Retention Management at Saint Louis University. He an author and presenter on Strategic Enrollment Management and has served in advisory roles for ACT, AACRAO's SEM Conference, and the National Student Clearinghouse.
Harold V. Hartley III is Senior Vice President of the Council of Independent Colleges, where he has lead responsibility for CIC's Presidents Institute. He provides leadership for CIC's research and assessment initiatives.
Tom Hayes is chair and professor of Marketing at Xavier University, where he also served as the Director of Institutional Advancement. He has received both CASE's Crystal Apple and Alice Beeman awards for outstanding work in the area of marketing of higher education.
Adam J. Herman is a doctoral student in Higher Education and Student Affairs at Indiana University in Bloomington. His research interests include admissions, marketing, and strategic planning.
Amy S. Hirschy, PhD, is an assistant professor at the University of Louisville. Her research interests focus on theories of college student persistence, organizations, and college student development to identify institutional factors that promote and hinder student learning and success.
Don Hossler is the former Vice-Chancellor of Enrollment Services and currently serves as a professor of higher education at Indiana University Bloomington. He has conducted research and written on college choice, enrollment management, student persistence, and financial aid.
Mary Hutchens is a doctoral candidate at Vanderbilt University, studying Higher Education Leadership and Policy. Her research interests focus on enrollment management and nontraditional students.
Willis A. Jones is an assistant professor of higher education at the University of Kentucky. His research examines various areas related to the study of higher education, including intercollegiate athletic policy, institutional diversity, college student retention, and university prestige.
David Kalsbeek is the Senior Vice President for Enrollment Management and Marketing at DePaul University in Illinois. He has written extensively and given more than 100 presentations and consulted widely on issues related to Strategic Enrollment Management.
Wendy Kilgore is Director of Research and Managing Consultant for the AACRAO. She has more than fifteen years of experience as a higher education administrator and consultant in the United States and Canada.
Jerry Lucido is the Executive Director of the Center for Enrollment Research, Policy, and Practice. He has undertaken research to design and execute effective and principled college admission and enrollment management.
Dawn Lyken-Segosebe is a doctoral candidate in the Higher Education Leadership and Policy Studies program at Vanderbilt University. Her research focuses on faculty (codes of conduct, scholarship, and interaction with students) and the college outcomes of commuter students.
Alicia Moore is Dean of Student and Enrollment Services for Central Oregon Community College. She has presented and written extensively on community colleges, Strategic Enrollment Management, admissions and registrar practices, process redesign, and diversity.
Michelle Mott is Associate Director of Government Relations and Communications at the AACRAO. She also serves as editor of and contributor to the AACRAO Transcript e-newsletter.
Eunkyoung Park is an associate research fellow at Korean Educational Development Institute (KEDI). Her research interests include college choice, higher education access and success, quantitative research methods, community colleges, and equity.
Mike Reilly joined AACRAO as Executive Director on June 1, 2012. Prior to coming to AACRAO he served as the Executive Director for the Council of Presidents, an association of the six public baccalaureate degree granting institutions in Washington state.
Michele Sandlin is a Managing Consultant for AACRAO. She has written and presented frequently in the areas of holistic admissions, admissions operations, student transfer, and international admissions.
Dave Sauter is University Registrar at his alma mater, Miami University, having served in similar capacities at two other institutions during a thirty-year career. His contributions to the registrar profession include several AACRAO publications and numerous presentations on a range of topics.
Gabriel Serna is an assistant professor at the University of Northern Colorado. His research interests lie in the areas of higher education economics and finance, enrollment management, and applied econometrics and research design.
Howard Shanken is a Senior Consultant with AACRAO Consulting. He has reviewed policies and processes at a broad spectrum of institutions, including national, international, public, and private universities and colleges.
Douglas T. Shapiro is Executive Research Director at the National Student Clearinghouse. He has fifteen years of experience in research with student-level data at the institutional, state, and national levels.
Monique L. Snowden is the Vice President for Academic and Enrollment Services at Fielding Graduate University. She is a frequent presenter and has conducted research on Strategic Enrollment Management.
Vasti Torres is Dean of the College of Education at the University of South Florida in Tampa. She has worked on community college initiatives including Achieving the Dream, Rural Community College Initiative, and Building Engagement and Attainment for Minority Students.
Darin Wohlgemuth is the Director of Enrollment Research at Iowa State University and leads the university's Enrollment and Research team. He previously served as Director of Budget Research and Analysis in the Provost's office. He contributes often to the SEM profession as an author and presenter.
Mary Ziskin is an assistant professor of educational leadership at the University of Dayton. She conducts research on the enrollment pathways of adult learners and working college students, stratification in postsecondary educational opportunity, and critical research methodologies.
Brian Zucker is the founding director of Human Capital Research Corporation, a higher education research consultancy based in Evanston, Illinois. For nearly three decades, he has served as an economist and policy analyst to industry, government, and the non-profit sector.
ABOUT AACRAO
The American Association of Collegiate Registrars and Admissions Officers, founded in 1910, is a nonprofit, voluntary, professional association of more than 11,000 higher education administrators who represent more than 2,600 institutions and agencies in the United States and in forty countries around the world. From its offices in Washington, DC, AACRAO initiates, interprets, and implements policies and practices for the global educational community. This is accomplished by identifying and promoting standards and leading practices in strategic enrollment management, student services, instructional management, and deployment of information technology. Among its many publications and periodicals, AACRAO produces the SEM Quarterly journal published by the Wiley Online Library.
American Association of Collegiate Registrars and Admissions Officers
One Dupont Circle, NW, Suite 520
Washington, DC 20036–1135
Tel: (202) 293–9161
Fax: (202) 872–8857
www.aacrao.org
For a complete listing of AACRAO publications, visit www.aacrao.org/publications.
PART ONESETTING THE CONTEXT
Part I provides an introduction to Strategic Enrollment Management. Chapter 1 defines SEM and offers a brief history of its emergence and evolution. The chapter discusses several definitions of SEM that collectively point both to organizational structures and research that inform SEM policies and practices. Drawing upon discussions of public management's theory of newmanagerialism, which focuses on the growing use of for-profit business practices in non-profit and public organizations such as postsecondary educational institutions, this chapter helps to frame the rise of SEM in a wider context. It also examines how the combination of demographic trends, public policy shifts, and the emergence of the “Best Colleges” rankings published by US News & World Report, plus a growing focus on institutional prestige, has contributed to the attention SEM has garnered from public policy makers and critics of postsecondary education practices.
Chapter 2 more closely examines how public policy shifts toward viewing postsecondary education as a private good has resulted in both public and private postsecondary institutions competing for students in a market model. This, in turn, has resulted in colleges and universities focusing more attention and resources on their ability to attract a sufficient number of tuition-paying students. This chapter also looks at how the changing demographics of traditional-aged students are altering the competitive landscape faced by all postsecondary sectors.
Chapter 3 considers the structure of SEM organizations. The authors examine the variety of university executives to whom senior enrollment officers report and the importance of their ability to work effectively with all senior members of the president's cabinet, particularly the chief financial officer (CFO). The discussion moves on to the importance of campus-based, enrollment-related research and a strong technology infrastructure. Administrative units such as admissions, financial aid, orientation, and others often included within SEM organizations are discussed. The authors also note the dearth of research on the efficacy of different organizational structures for SEM units. This is because success is often dependent upon a complex array of factors that are based on institutional culture, institutional wealth, and the location of the campus, for example. Nevertheless, Chapter 3 helps to establish a common understanding of SEM units.
CHAPTER 1Origins of Strategic Enrollment Management
Don Hossler
This chapter presents a brief historical overview of the factors that led to the rise of Strategic Enrollment Management (SEM). This chapter is not intended to be a comprehensive history, but instead provides a context for the chapters that follow, which offer a comprehensive overview of the organizational structures, processes, types of research, and strategies that underpin the concept of SEM. This chapter examines the historical roots of SEM and discusses why demography, governmental trends toward the privatization of postsecondary education, the role of rankings, and institutional isomorphism (the tendency of organizations to mimic the structure of similar organizations) (DiMaggio & Powell, 1983) have created a context in which SEM will likely not only remain a fixture in postsecondary education, but will grow in its importance among colleges and universities.
Complete histories have been written on the rise of SEM (for example, Henderson, 2001; Hossler, 2011). Indeed, SEM has not only emerged as an important managerial function in the United States but also in other parts of the globe as well. The global trends toward the privatization of tertiary education, as well as globalization, international rankings of colleges and universities, and demographic trends in many industrialized nations are making SEM an increasingly common organizational concept in other nation states.
Before providing a historical overview of emergence of SEM, we offer a brief introduction to SEM to set the stage for this chapter. One important caveat is warranted in this introduction: Although some chapters in this handbook may refer to for-profit sector postsecondary institutions as part of the competitive forces that influence the enrollment strategies of non-profit colleges and universities, this volume does not provide an overview of SEM activities and strategies in the for-profit sector. To date, too little is known about the strategies, policies, and practices of the for-profit sector to be included in this book.
Strategic Enrollment Management is perhaps best described by Lee Bolman and Terrence Deal (1991), as a structural framework that can be simultaneously considered as an organizational structure, as a set of processes, and as organizational policies. In this context, SEM is simultaneously a set of processes and policies associated with the recruitment and admission of college students, as well as the retention, academic success, and graduation of students enrolled in postsecondary education. It is also a managerial paradigm for organizations associated with these processes. Typically, SEM organizations include the offices of admissions, financial aid, registration and records, and an enrollment-related institutional research office. In addition, offices such as orientation, academic advising, the bursar, and sometimes offices associated with student affairs and/or institutional marketing can also be included in SEM organizations.
Bob Bontrager and Christine Kerlin (2004) posited that SEM comprises the following components:
Characteristics of the institution and the world around it
Institutional mission and priorities
Optimal enrollments (number, quality, diversity)
Student recruitment
Student fees and financial aid
Retention
Institutional marketing
Career counseling and development
Academic advising
Curricular and program development
Methods of program delivery
Quality of campus life and facilities
This chapter considers several definitions of SEM, followed by a brief history of its origins—the adoption of for-profit business strategies, demographic trends, and shifts in public policy provide a short historical account. In addition, theoretical frames that have been employed to explain the rise and use of SEM are examined. This chapter ends with a discussion of the future of SEM.
DEFINING STRATEGIC ENROLLMENT MANAGEMENT
A number of definitions for SEM have been advanced since the books and articles first started to appear on this organizational concept. Bontrager (2008) defined SEM as follows: “Strategic Enrollment Management is defined as a coordinated set of concepts and processes that enables fulfillment of institutional mission and students' educational goals” (p. 18). Another leading scholar and practitioner in the field, David Kalsbeek (2013), defined SEM as “A comprehensive approach to integrating all of the University's programs, practices, policies, and planning related to achieving the optimal recruitment, retention and graduation of students.”
Don Hossler and John Bean have proffered the following definition:
Enrollment management is both an organizational concept as well as a systematic set of activities designed to enable educational institutions to exert more influence over their student enrollments and total net tuition revenue derived from enrolled students. Organized by strategic planning and supported by institutional research, enrollment management activities concern student college choice, transition to college, student attrition and retention, and student outcomes. These processes are studied to guide institutional practices in the areas of new student recruitment and financial aid, student support services, curriculum development and other academic areas that affect enrollments, student persistence, and student outcomes from college (revised in 2001 from Hossler, Bean, & Associates, 1990, p. 5).
This discussion of components and definitions of SEM share a common focus on the systematic integration of the functions of admissions, the relationship between tuition and fees (pricing) and financial aid, and student retention, along with the use of research to inform institutional policies and practices. The importance of curriculum offerings and the quality of the student experience are also recurring themes that are emphasized for the role they play in attracting and retaining students.
A BRIEF HISTORY OF STRATEGIC ENROLLMENT MANAGEMENT
These definitions and the discussion of SEM emphasize the intentional role institutions can play in shaping the class and represent key elements of SEM. However, it bears noting that the issues that determine a student's decision to enroll or persist in a college or university (at the undergraduate or graduate level) are far too complex to manage; the real goals are to influence the student's decisions in an ethical manner (assuming that the institution was a good choice for the student in the first place).
This section sets the stage for a brief historical overview of the demographic, societal, institutional, and public policy factors that shaped the emergence of SEM. In successive chapters, the processes, policies, and organizational structures that have been outlined in this introduction will be examined in more detail.
The Impact of Demographic Trends
In the United States, the emergence of SEM can trace its origins to the mid-1970s. At that time a confluence of societal, demographic, and institutional factors created the context for the development of what has arguably become one of the most important administrative functions to emerge at senior levels of college and university administration since the rise of the senior development officer, which emerged in the 1950s (Lasher & Cook, 1996). Collectively, these trends created an institutional environment in which college and university administrators felt the necessity to be more intentional about attracting and retaining students. In addition to their consideration of the demographic and societal trends, campus-based administrators had reason to believe that they had the tools to be more effective in exerting more influence upon their enrollments and their ability to shape the class.
To set the stage for the convergence of these trends, it is important to remember that even in the 1950s when the GI Bill had resulted in a dramatic increase in postsecondary participation rates, the foundation for a more competitive admission recruitment environment among postsecondary institutions was being built. The growth of community colleges during the 1950s and 1960s, along with the growth in enrollment at four-year public institutions—especially what we now call regional public institutions—had started to place competitive pressures on private colleges that were small, less selective, and less visible—what Alexander Astin and Calvin Lee (1972) called “the invisible colleges.” It is important that we not underestimate the impact of the expansion of the postsecondary education system during this time period in the United States (a period that many educational scholars and observers describe as the Golden Age of Higher Education), as the number of traditional age high school students declined. Even in 1966, Alden Thresher, in his influential book, College Admissions and the Public Interest, reported that many private colleges and universities had found themselves needing to market the institution and recruit students actively in order to maintain enrollment—and the pressures on institutions to maintain their enrollments only intensified. In addition to increasing competition because of the growing number of postsecondary institutions, by the mid-1970s, colleges and universities had additional reasons to focus on competing with each other: They were preparing for a predicted decrease of traditional age college students estimated to be as high as 42 percent (Hossler, 1986). Not surprisingly, increasing competition for a declining pool of traditional age students resulted in campus policy makers placing more emphasis upon the recruitment and retention of students.
The competitive environment that colleges confronted in the 1970s and 1980s were not the only factors that provided the impetus for the emergence of enrollment management. The attitudes of public policy makers toward postsecondary education were also shifting, not just in the United States but around the globe. Historically, the United States has been an outlier; in many countries, postsecondary education had been viewed primarily as a public good and thus it was free, entirely funded by national, state, and/or regional governments. Unlike much of the rest of the world, the United States had a mixed funding model, whereby students and their families paid tuition, even at most public institutions. However, among public sector institutions the public good argument had been the rationale for relatively high levels of state subsidies to most public two- and four-year institutions. The fact that college graduates made more money, which enabled them to pay higher taxes; that they were more likely to create new businesses and jobs, to vote, to be involved in community service organizations; and that they were less likely to be unemployed or incarcerated (Bowen, 1980) had resulted in a public policy perspectives that emphasized the societal benefits of expanded postsecondary education opportunities. This was the underlying premise of relatively high levels of support in most states for their public colleges and universities, which helped to keep tuition rates low.
The Emergence of Enrollment/Strategic Enrollment Management
In the United States, the term, and perhaps the concept, of a comprehensive enrollment management system first emerged when Jack Maguire (1976) used the term “enrollment management” to describe his efforts to attract and retain students at Boston College. One of the first times the term formally appeared in public domain literature was in a 1981 College Board Review article by Leonard Kreutner and Eric Godfrey (1981) that describes a matrix approach to managing enrollments developed at California State University at Long Beach. Since these early publications, a spate of books, book chapters, monographs, and articles have been published on the topic of enrollment management. However, as a process and set of strategies, SEM, as we have suggested in the first section of this chapter, had been developing for many years. What made the enrollment management concept new when it first appeared was not demographic trends, public policy shifts, the development of new marketing techniques, or new retention strategies; rather, it was the organizational integration of functions such as academic advising, admissions, financial aid, and orientation into a comprehensive institutional approach designed to enable college and university administrators to exert greater influence over the factors that shape their enrollments.
Subsequent to Maguire's coining of the term “enrollment management,” professional meetings and additional books and monographs on enrollment management began to appear. Hossler, in a relatively short period of time, authored or co-authored three books on enrollment management including Enrollment Management: An IntegratedApproach (1984), Creating Effective Enrollment ManagementSystems (1986), and Managing College Enrollments (1990). In addition, Frank Kemerer, Victor Baldridge, and Kenneth Green (1982) authored Strategies for Effective Enrollment Management. In 1984, Ray Muston published a monograph entitled Marketing and EnrollmentManagement in StateUniversities. Somewhat later, Michael Dolence (1991, 1996, 1998) also published some influential books and book chapters on SEM.
In addition to these early works, in the 1980s the College Board and Loyola University of Chicago sponsored the first national conferences on enrollment management. Attendance at these conferences was not robust, as the concept was still embryonic. Even so, several core principles were crystallizing that remain key underpinnings of SEM. These include a marketing orientation toward admissions recruitment, an understanding that student retention is as important a part of enrollment efforts as student recruitment, a realization that campus-based financial aid could be used in a systematic fashion to achieve multiple enrollment goals and that SEM depends heavily upon empirical research and data analysis to guide its efforts, and finally an understanding that SEM is a process that has organizational implications and often requires structural change in how various university functions are integrated and organized around efforts to enroll and retain a student body with a desired set of characteristics.
In 1991, the American Association of College Registrars and Admissions Officers (AACRAO) held the first annual Strategic Enrollment Management Conference, and by 2012, this annual conference drew 727 registrants from 300 institutions in nine countries, including Canada, Korea, Mexico, and Saudi Arabia. Although attendees at the early conferences were mostly from tuition-dependent, private, not-for-profit colleges and universities, the attendance now includes flagship and regional public universities, two-year institutions, and a growing international representation. Senior university officers with enrollment management titles and responsibilities are now commonplace. Quickly, the term “enrollment management” became replaced by Strategic Enrollment Management. Terms like these are now common throughout both scholarly and professional publications in the field of higher education. Graduate courses and degrees in enrollment management are included in higher education curricula.
Changing Public Policy Priorities
A confluence of factors, including a recession in the United States but also in other developed regions of the world, as well as the growing costs of healthcare services, K–12 education, pension benefits, and other government-funded programs, resulted in declining support for public tertiary education. In the United States, reductions in state and local governments funding between 1987 and 2012 resulted in a reduction of $2,600 of state support per student enrolled after adjusting for inflation (Landy, 2013). In addition, in other nation states such as the United Kingdom or China, there was a push toward massification, the expansion of tertiary education, and public policy makers around the globe found that they could no longer afford to provide tertiary education at no cost to the students or their families. Countries ranging from the United Kingdom, to Russia, to China started charging tuition as they moved toward a cost-sharing model for funding postsecondary education (Johnstone & Marcucci, 2010). Public policy makers across the continents started looking for a politically acceptable rationale for declining state support (and rising tuition at public institutions) and emphasized the private benefits of postsecondary education (higher wages, better jobs, more job security, and so on). In addition, neo-liberalism was taking hold in the United States and in many other countries. As a result, public policy makers began to extol the virtues of the market and competition as a way to create better and more efficient publically funded enterprises. Public institutions of higher education were not immune to these trends. Public institutions were expected to compete for faculty, for research dollars, and for students. Thus, colleges and universities, including public institutions, began to recruit students—and their tuition dollars—more actively as a way of recovering revenue lost from government appropriations. Though many state policy makers have decried the rise in college tuition prices, in most instances these increases can be tracked back to declines in state funding (Fethke, 2012).
Theoretical Perspectives on Enrollment Management
Finally, the emergence of enrollment management can be viewed from the lens of three theoretical perspectives drawn from the fields of sociology and public management. We touch briefly on these theoretical perspectives.
