ࡱ> NPIJKLM'` *{bjbj 2*s>>>>>>>4r,"r UTTTTTTT$Vh*YBT>T>>T   >>T T  3>>c Mv5T0 U-6l[l[,ccl[>wn# dCPTT Urrrrrrrrr>>>>>>  In Spring 2009, the Committee on Educational Policies and Planning (CEPP) and Curriculum Committee (CC) formed a joint Enrollment Cap Subcommittee consisting of Bob Turner, Chair (CEPP ), Kyle Nichols (CEPP), Pat Fehling (CC), Mimi Hellman (CC), Paty Rubio (Dean of Facultys Office; ex officio). The joint subcommittee was formed in response to CCs concern about departments asking for waivers and exceptions from the 2000 cap guidelines, and CEPPs concerns about maintaining excellent academic programs in light of current budgetary shortfalls expanding into 2015. The subcommittee was charged (see Appendix A) with the following tasks and responsibilities: Determine the state of enrollment caps across the college and propose appropriate revisions to the existing CEPP/CC enrollment cap guidelines Study the 1999 reconfiguration plan (agreement); identify departments exempted from the existing CEPP/CC enrollment guidelines Research internal and external (peer and aspirant groups) enrollment cap procedures and practices Develop a revised set of CEPP/CC enrollment cap guidelines Offer a recommendation to CEPP and CC regarding procedural issues related to the revised guidelines. Define the responsibilities and duties of the Dean of Facultys office, CEPP and CC in the implementation of the revised guidelines ϳԹ is addressing our current budget shortfalls by encouraging optimal enrollment levels and reducing the number of non-tenure track faculty. ϳԹ is not alone in adopting this strategy. A survey of private baccalaureate institutions in the Chronicle of Higher Education (May 29, 2009, A1, A30) reported that enrollments had increased by 5.3%. The VPAAs informal survey of 15 peer and aspirant institutions revealed that almost all are reducing the number of non-tenure track faculty and sabbatical replacements (Susan Kress, Academic Affairs: Budget Priorities And Planning Memo for Academic Staff, May 3, 2009). The inevitable result is enrollment pressure. For the Fall 2010 semester, we will offer 16 fewer lower level (100 and 200) courses and 149 fewer seats as a result of reductions in non-tenure track faculty. The number of courses will decrease again in 2011 with the anticipated reduction in the number of non-tenure track faculty. Although a number of colleges, including Wheaton and Carleton, are addressing enrollment pressures by increasing the teaching load of faculty from 2-3 to 3-3, the Enrollment Cap Subcommittee believes that we can address our enrollment pressures by adopting diverse strategies premised on creativity and shared responsibility and sacrifice among the faculty without compromising academic integrity. In our judgment, ϳԹ should adopt an incremental, gradualist, and pragmatic strategy for addressing the enrollment pressures. Increasing caps was not a foregone conclusion of our committee. Rather, the issue of enrollment cap policies was approached with three priorities: minimizing inequities in students academic experience; minimizing inequities among disciplines, departments and instructors; increasing institutional flexibility in our usage of human resources and facilities. Specific Recommendations and Findings Departmental Innovation and Citizenship There is considerable variation among and within departments and programs from the current college guidelines for caps (Registrars data, see Figures 1-3 in Appendix B). The variations are based primarily on safety, equipment and space considerations (labs, studio, computer, etc), professional/accreditation requirements, and writing intensive pedagogy. The complexity of these issues, as revealed by our survey of departmental and program chairs about the rationales for their cap levels (see Appendix C for the complete survey results), has convinced us that there is no one size fits all policy with regard to increasing institutional flexibility in light of budgetary shortfalls. We do not believe we or the Administration can or should second guess departments or programs pedagogical and disciplinary judgments about appropriate cap levels. However, we believe that departments and programs need to think creatively about how they can contribute to addressing ϳԹs enrollment pressures and to reconsider their need for contingent faculty. Specifically, departments and programs should: Identify areas where increased flexibility could be obtained. For example, in our survey of department chairs, one professor suggested that the enrollment cap of 15 could be raised to 18 without dire consequences. Spread the teaching responsibilities more broadly across the department by being more deliberate in scheduling classes. Increasing caps for a popular 200 level class might decrease enrollment in a less popular 200 level class in the same department, thus causing inequities for both the professor and the students in the over-enrolled class. Scheduling popular classes at unpopular times and less popular classes at popular times may redress the problem. Review the requirement structure for the major and the minor to eliminate non-essential requirements. Some departments and programs may want to consider whether the presence of a minor places undue enrollment pressures on its program. Psychology, the second largest major at ϳԹ, has never had a minor for this reason, although it permits Education Studies majors to obtain a concentration. Limit students to 2 minors in order to decrease enrollment pressures on required courses in highly enrolled departments. Consider increasing the number of major requirement credits students can transfer from study abroad. Determine, particularly in the Natural Sciences, art or performance classes, the possibility of increasing the number of students without jeopardizing their safety. A modest increase in lab size would contribute significantly to projected seat shortages in the natural sciences. The Dean of the Faculty and Accountability The Dean of the Faculty needs to ensure accountability to minimize inequities among disciplines, departments, and instructors. Increasing enrollment pressures presents a classic tragedy of the commons. Departments with lower caps contribute to higher enrollment in departments with higher caps, and thus inequities among departments and programs. The DOF should utilize Divisional Roundtables among the arts, social sciences, pre-professional and natural sciences to foster discussion among comparable departments/programs about how they propose to increase capacity without unduly sacrificing students educational experience and to minimize inequities within departments. The Registrar should develop an annual survey for department chairs and program directors of the total number of seats offered by each department and program at the 100/200/300 level, the number of seats used at the 100/200/300 level, and any discrepancies within each level. This data would be available for use in departmental and program self-studies as well as in requests for contingent faculty. The DOF should annually review this information in the Divisional Roundtables. Identify classes that have consistently low enrollments and strongly encourage Chairs and Directors to schedule them in more desirable time slots. Closely inspect department and programs maximum caps to investigate issues of equity and the feasibility of maximum caps. The DOF should closely review the maximum cap and enrollments on a line by line basis to assess whether caps are as constrained by space and equipment as chairs and directors suggest. When maximum cap levels for the same class fluctuate from semester to semester, there are different cap levels for similar classes, or actual enrollments regularly exceed cap levels, the DOF should initiate a conversation about maximum cap levels. Narrow the Cap Range by Raising the Minimum, but Keeping the Maximum The subcommittee recommends maintaining the maximum cap for 100, 200 and 300 level classes. However, we recommend raising the minimum or floor for caps as specified below. At present, departments and programs are free to set their own cap levels within CC guidelines. Some departments have chosen the lower levels for pedagogical reasons (We choose the lower end of the range in each instance, because we require a good deal of writing in all our classes.) This freedom has led to inequities which the 2000 CEPP-CC Committee recommended to avoid: the ranges in class size should not be so large as to generate inequities across departments. The wide range in cap levels promotes inequities among departments. Departments and programs that choose the lowest end of the range have a lighter workload than those with caps at the higher levels. At the 100 level among the social sciences, for example, GO and HI set the caps at 35; AN, SO, SW at 32; and EC and ES at 25. At the 200 level, the caps vary between 25-30, and at the 300 level between 15-20. By narrowing the range for 100 and 200 level classes, we are minimizing inequities among disciplines, departments and instructors related to varied enrollment cap policies and numbers. The 2000 CEPP Curriculum Committee on enrollment caps had originally proposed caps of 35 for 100 level classes and 30 for 200 level classes. Moreover, the CEPP-CC Committee Statement on Maximum Caps said that In the interests of efficient use of teaching resources, the joint committees recommend that departments observe caps at the upper level of the ranges where possible (3/27/00). We believe that the modest changes that follow should be temporary and be revisited in 3 years: Existing College Guidelines32-3827-3318-23 Proposed College Guidelines35-3829-3319-23 Increase in Minimums+3+2+1 These modest increases in the minimum floor will potentially significantly reduce enrollment pressures. For example, a department that currently offers 10 100 level courses at a cap of 32 and 5 200 level classes at a cap of 25 would be able to contribute 50 more seats. Some departments closely manage enrollments in multiple sections to even enrollments across sections and prevent higher enrollment in classes at more popular times (afternoon versus morning). As long as the department or program commits to the new floor, the Registrars office is willing to work with the department chair or program director to manage individual cases to ensure equity in enrollments within a department. Retain the Existing Case by Case System of Enrollment Cap Management The current system of enrollment cap management by representatives of the DOF, Registrar, Curriculum Committee, and Department Chairs established by the 2000 CEPP-CC Committee should be retained. Ann Henderson surveyed a number of our peer and aspirant colleges about their enrollment cap procedures and practices, modes and methods of enrollment cap management, means by which institutions grant exceptions and why exemptions are granted (See Appendix D for the complete findings). All describe the procedures and process as very complex and none has a set policy. Rather, problem areas are identified by the Registrar and addressed in consultation with a Dean and department chairs on a case by case basis. Although we recommend retaining the existing system of enrollment cap management, the narrower the cap range will streamline the process. Maintain the Existing Exemptions on Maximum Cap Levels Our survey of peer and aspirant colleges revealed that ϳԹ is very similar to these institutions in granting exemptions or special status to 1st year programs, writing requirements, courses with space limits, labs, and upper level seminars. Our system of exemptions means that a majority of our 100 and 200 level courses are below the maximum cap levels (See Appendix B). We support maintaining these categories of exemptions, although we although we recognize that there may be room for adjustments in a number of areas. Eliminate Over-Enrolling in Credits at Registration The Registrar reduced the number of credits students can sign up for during registration from 22 to 18. This change should be made permanent. By preventing students from over-enrolling in classes at registration and later dropping them, these changes will increase the number of students who can enroll in their preferred classes and reduce enrollment pressures. Eliminate the Honors Forum Exemption on Class Size Currently, classes that are designated as Honors Forum are permitted to have lower cap levels than their regular counterpart. We believe that the lower cap levels for HF classes should be eliminated to minimize inequities in students academic experience and among instructors. Use Teaching Center Study Group to Spur Pedagogical Innovation We have heard from individual faculty that larger classes will undermine discussion and increase the grading on written assignments. We share their concerns that higher enrollments potentially reduce the intellectual and pedagogical freedom of professors and compromise student learning. However, there are also innovative pedagogical strategies that can enable student engagement and productive assessment in larger classes, and we encourage the formation of a TCSG Teaching Network to facilitate the diffusion of best practices in these areas. Procedural Issues for Implementing these Recommendations The recommendations should be communicated to the Faculty via the Department Chairs and Program Directors meeting in September 2009. The proposed new minimums for class size do not need to be voted on by the faculty. The 2000 CEPP-CC Committee charged with setting enrollment caps post reconfiguration concluded that their proposal does not have to be voted on by the faculty because it is administrative policy. To the extent that it is educational policy, the committee believes it falls within the limits of decisions delegated to CEPP and Curriculum committee (Minutes March 22, 2000 Meeting). Appendices Given the complexity and potentially controversial nature of the subject matter, we have chosen to include much of our quantitative and qualitative data on enrollments and caps. Charge from CEPP/CC to the Subcommittee Registrars Data on the Distribution of Classes by Level and Cap Levels Empirical Analysis of Enrollment Pressure Survey of Peer and Aspirant College enrollment cap procedures and practices Appendix A Charge from CEPP/CC to the Subcommittee Committee on Educational Policies and Planning (CEPP) and Curriculum Committee (CC) Enrollment Cap Subcommittee Membership: Kyle Nichols, CEPP Bob Turner, CEPP (Chair) Pat Fehling, CC Mimi Hellman, CC Paty Rubio, Dean of Facultys Office (ex officio) Timeline: Report due May 1, 2009 Note: Raising or lowering course enrollment caps are not foregone outcomes of this process. Historical Context: The CEPP/CC enrollment cap guidelines (implemented in March, 2000) were not voted on by the faculty. The subcommittee is charged with the following tasks and responsibilities: Determine the state of enrollment caps across the college and propose appropriate revisions to the existing CEPP/CC enrollment cap guidelines in order to: a) understand how human resources and facilities can be maximized to increase institutional flexibility; b) minimize inequities in students academic experience; c) minimize inequities among disciplines, departments and instructors related to varied enrollment cap policies and numbers; and d) determine acceptable reasons for departments and courses to be granted exceptions to established enrollment cap guidelines. Study the 1999 reconfiguration plan (agreement); identify departments exempted from the existing CEPP/CC enrollment guidelines; and, if possible,describe the nature and rationales for such exemptions. Research internal and external (peer and aspirant groups) enrollment cap procedures and practices, modes and methods of enrollment cap management and means by which institutions grant exceptions and exemptions based, for example, on rationales provided by certain disciplines or departments. Develop a revised set of CEPP/CC enrollment cap guidelines that take into account the following issues/concerns raised in CCs letter to CEPP and the Dean of Facultys office regarding enrollment caps: Departments have been granted exemptions from the cap guidelines at the time of or before reconfiguration. The precise nature of such agreements is not known. Please refer to the CCs minutes for more information. Departments offer a variety of reasons for certain courses to be granted an exemption from the cap enrollment guidelines. Pedagogical reasons (i.e., type of teaching, nature of the required interaction between students and instructor, nature of assignments and their subsequent assessment and unique student learning objectives) top this list. Departments may attempt to balance course loads because of enrollment pressures at different levels in the curriculum. For example, a department may consistently over-enroll certain courses or a certain set of courses (i.e., 200 level major requirements) and thus may feel justified lowering the cap for other courses taught at a certain level or by certain instructors. Offer a recommendation to the Chairs of CEPP and CC regarding procedural issues related to the revised guidelines. For example, should the guidelines be voted on by the faculty? How should the guidelines be communicated to faculty? Define the responsibilities and duties of the Dean of Facultys office, CEPP and CC in the implementation of the revised guidelines. The CC chair notes the following concurrent contextual factors that have implications for the new enrollment cap guidelines: The Curriculum Committee believes that this charge is important at this time given that: Course enrollments have a profound impact on student learning, the academic experience of the ϳԹ student body including faculty-student interactions, and academic standards established in the classroom, Increasing number of faculty are incorporating active learning pedagogies and field-based experiences which require smaller class sizes. Further, new faculty are being trained extensively in these pedagogies and expect to be able to apply this training in the classroom. The Curriculum Committee needs a set of guidelines that will facilitate its ability to make fair and equitable judgments regarding course caps. Enrollment cap guidelines should reduce ambiguity with respect to exceptions and exemptions (from enrollment cap guidelines) granted to departments and/or courses. ϳԹ has experienced a significant increase in the number of interdisciplinary programs and cross-listed courses. Enrollment cap policy is potentially one means by which to increase students ability to enroll in cross-listed courses. Given that the existing guidelines have been in place for almost ten years, the guidelines should be reviewed to account for the dramatic changes in academic programming that have taken place at ϳԹ. ϳԹ is facing an economic crisis under which monies and resources are seriously constrained. Appendix B Below is the total number of classes at the 100, 200, and 300 level taught in the past 6 years by their official cap level. The figures were created by the Registrars Office. A significant percentage of the 100 and 200 level classes are below the official cap levels of 32-38 for 100 level classes and 27-33 for 200 level classes. For example, the most prevalent cap levels at the 100 level are 15, 34, 19, and 14. The lower cap levels are because of the current exemptions such as writing intensive (17), Scribner Seminar (15), foreign language (18-20), and labs in the natural sciences. 100 Level Classes  200 level classes  All 300 level classes  Appendix C Empirical Analysis of Enrollment Pressure Trying to estimate the location and extent of enrollment pressure is complex. The tables below show the number of sections or classes, seats available, seats used, and percent of available seats used for the fall semester for lower division courses in the fall semester for the previous four semesters from 2006-09 (source: Registrar). According to Ann Henderson, the ideal percent of available seats used (% used) is 75%, because once the 80% usage is passed, students start having a difficult time getting into classes and retention rates drop. There are two trends worth noting which make trying to estimate enrollment pressures or seat shortages difficult. First, the number of sections and seats offered by departments varies by year. For example, in 2007, Economics offered 16 sections and 422 seats. In 2009, it is offering 13 sections and 320 seats. Second, there are significant variations among departments in the number and percent of seats used. Usage rates are a function, in part, of the number of seats offered and cap levels. For example, in American Studies, the % of seats used dropped from 83.5% from 69.4% from 2007-2008 even though the number of students in American Studies classes increased from 116 to 170 because it offered 8 classes instead of 5. Departments with lower cap levels will have higher % used rates. ANALYSIS OF FALL LOWER DIVISION COURSESDEPT06 Sect06 Seats06 Used% Used07 Sect07 Seats07 Used% Used08 Sect08 Seats08 Used% Used09 Sect09 Seats09 Used% UsedAM41209075.0%513911683.5%824517069.4%51240.0%AH920818890.4%1223622494.9%920016582.5%81720.0%AN719918794.0%927524589.1%821716375.1%61720.0%AR3367656583.6%3164550378.0%3163151181.0%326550.0%AS0000.0%0000.0%0000.0%000.0%BI1425620780.9%1320817684.6%1524022593.8%142240.0%CH622418180.8%1024321086.4%3025022690.4%102240.0%CL41106054.5%51309170.0%61808848.9%51300.0%CS4603456.7%4804353.8%3643351.6%3640.0%DA1338832784.3%1746334875.2%1745635878.5%154050.0%EC1231630897.5%1642230371.8%1435233194.0%133200.0%ED819513368.2%1024012050.0%820012160.5%82000.0%EN5398480882.1%5191480888.4%4785076189.5%478720.0%ES3727198.6%3725880.6%3726995.8%51140.0%EX1115713586.0%1217113377.8%1115612076.9%161760.0%FL4898864064.8%4895065368.7%4896666969.3%5010190.0%GE812811489.1%914612887.7%712010285.0%71120.0%GO1235428079.1%1029225186.0%1340028872.0%113450.0%HI1546026557.6%1445533072.5%1337030281.6%113400.0%IA13537105.7%13542120.0%2695478.3%1350.0%LS2/ID1251040.0%0000.0%5170950.0%51740.0%LW3774963.6%1302376.7%1272385.2%000.0%MA1539023961.3%1334023268.2%1333224373.2%143500.0%MB1846541789.7%1949348197.6%2052745386.0%205150.0%MU817512571.4%919114475.4%919617790.3%122640.0%NS4644468.8%4646398.4%4645179.7%5910.0%PH618714979.7%618411462.0%618613974.7%72040.0%PS1850241983.5%1747141888.7%1644640891.5%174810.0%PY61189479.7%61027573.5%47071101.4%91630.0%RE617816492.1%617114383.6%618612667.7%61860.0%SO924417973.4%820519193.2%1025823289.9%92440.0%SSP/LS146639639100.0%47641649101.2%4765862194.4%477050.0%SW3797797.5%3816985.2%513611483.8%3760.0%TH1733525877.0%2046330666.1%1542733478.2%163950.0%TX2524790.4%3645281.3%3600.0%WS3824352.4%2553970.9%1302273.3%2550.0%Total4289490753679.4%4439659777680.5%4589815791780.7%442966600.0%FALL UPPER DIVISION COURSESDEPT06 Sect06 Seats06 Used% Used07 Sect07 Seats07 Used% Used08 Sect08 Seats08 Used% Used09 Sect09 Seats09 Used% UsedAM4725475.0%4724866.7%2362569.4%5900.0%AH61025452.9%4634673.0%5866474.4%4690.0%AN35459109.3%5775267.5%4685682.4%4680.0%AR/AT1117413979.9%1319415177.8%1320715675.4%111740.0%BI61348059.7%81446847.2%61286349.2%71640.0%CH3644671.9%5924953.3%4766382.9%4960.0%CL3602338.3%240717.5%3603456.7%2400.0%CS2401435.0%2401537.5%1201155.0%2400.0%DA1938018348.2%1530015852.7%1734522464.9%163300.0%EC5858296.5%690100111.1%81209780.8%71050.0%ED3756890.7%3654772.3%3753850.7%3750.0%EN1731023174.5%1729524884.1%1628624485.3%183200.0%ES2453986.7%115746.7%2403280.0%1240.0%EX4554480.0%4654975.4%3553869.1%4850.0%FL1020513867.3%81909047.4%1126512747.9%81900.0%GE116850.0%1201050.0%2341235.3%1160.0%GO815814893.7%816113785.1%1122419988.8%91600.0%HI71358865.2%51007777.0%4857588.2%61150.0%ID0000.0%1271244.4%11818100.0%1260.0%LA115426.7%1151066.7%115640.0%1150.0%MA54545100.0%4705680.0%4703651.4%4700.0%MB1844438286.0%1741433280.2%1844039289.1%163890.0%MC/CS0000.0%0000.0%0000.0%0.0%MU4686088.2%4705375.7%4665481.8%4680.0%PH3452964.4%4705071.4%2351748.6%4700.0%PS1426722283.1%1324521889.0%1019117792.7%163000.0%PY110220.0%3301446.7%2201050.0%2200.0%RE/PR2353188.6%1201260.0%2402152.5%2400.0%SO5726488.9%5746891.9%6947984.0%5870.0%SW4725272.2%3544481.5%3544379.6%3540.0%TH6985859.2%71167564.7%820411757.4%92270.0%WS120735.0%120840.0%120735.0%1200.0%Total1783355245473.1%1753248231171.2%1773477253572.9%180354700.0% Appendix D Survey of Peer and Aspirant Colleges about their Enrollment Cap Procedures Below are the results of the survey of 24 peer and aspirant colleges about their procedures for how they set their enrollment caps and manage enrollment pressures. (Results of HEDS Survey)Peer Max Cap PoliciesInstitutionCommentsClaremont McKenna CollegeNo set policy; practice is complexFairfield UniversityChairs/Dean control limits; add sections rather than increase max caps Furman UniversityNo set policy; departments control limits; dean/reg negotiateHampshire100 level - 23 with writing at 16 and others lower if space is a factor; 200 level = 25; 300 level = 15-25; team taught 100 level = 35-40Illinois CollegeCaps set to match the facility (labs=24) or to accommodate pedagogy; Eng Comp = 17; Public Speaking = 22; Lower level FL = 25; Dean may overfill; recent workload reconfiguration; projections for seats required to meet demand in gen ed courses done by Reg;possible to limit # of majorsPomonaNo set policy; junior faculty limited to 35/class max; depts forecastRhodesFY Comp = 15; required Humanities = 17 - these are "understandings" rather than policies. Otherwise depts set their own caps and Assoc Dean monitors demand/availabilitySewaneeWriting intensive courses limited to 15; 09-10 - target enrollment caps set by IR/Reg for 100 level classesStetsonDepartments make their own decisions; IR provides projections when neededSt Olaf Guidelines for class size managed by Provost/Reg; 18/30-48/60+ ranges; exceptions thru assoc.dean; see policy statementWashington & LeeDepts forecast and control limits; lectures=25; seminars=15; ind projects = 10;Whitman CollegeNo set policy; individual faculty members control limits; problem areas identified by Reg/DeanPeer/Aspirant Institutions:BowdoinPolicy part of Faculty Handbook -- see attached; By level -- FYS=16; 50-50-35ColgateUnderstandings for max caps at each level, but no policy; variations across departmentsConnecticut CollegeIntro survey=40; intermediate = 30; seminars = 15; Depts submit requests for exceptions to Academic and Admin Procedures CommDickinsonCaps determined by le3vel and pedagogy: 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