Transforming Higher Education Student Integrated Services (THESIS) Condensed Summary Report

1
Transforming Higher Education Student Integrated
Services (THESIS)Condensed Summary Report

• Presented to the UMS Functional Staff
• June 15, 2005

2
The work performed by the THESIS team is
supported by University of Maine Systems (UMS)
Strategic Plan
Strategic Direction 7 - Centralize the Systems
business/administrative functions, where
appropriate, in order to leverage resources and
increase effectiveness of service throughout the
System.

• GOALSThe Strategy 7 Committees goals, as
  outlined in the Strategic Plan, are to
• Support and enhance ERP infrastructures that
  will allow for greater centralization
• Coordinate information technology operations
  where appropriate
• Consolidate the systems for shared services
  (i.e., business services)
• Create a more coordinated approach to human
  resources and
• Directly coordinate some of the admissions and
  financial aid, bursar, and loan collections
  processing systems.
• APPROACHES In order to achieve these
  objectives, the Strategy 7 Committee should
  focus on three major areas
• System-wide Services assessing/centralizing
  services, where appropriate, in four major areas
  
• student administrative
• developing and maximizing the use of integrated
  technology systems
• business services
• human resource services
• Workforce Management retraining and
  re-deploying employees to higher priority
  positions within the workforce, attrition
  management, retirement incentives, and related
  programs
• Other areas may be identified as work
  progresses
• OUTCOMES
• In order to achieve the goals and objectives of
  implementation planning, it is necessary to
  employ an action-oriented and results-focused
  methodology for committee work. This methodology,
  called SMART, will lead to coherent, focused,
  effective outcomes. SMART is an acronym for the
  common characteristics of obtainable objectives.
  They are Specific, Measurable,
  Aggressive-Achievable-Agreed to, Reasonable, and
  Time-bound.

3
University of Maine System Vision for the
Transformation of Student Services

• Our vision is to deliver high quality, innovative
  and integrated student services throughout the
  University of Maine System that enhance the
  students total educational experience and
  lifelong relationship with the University.
• To achieve this vision we will
• Help students help themselves
• Deliver consistently high quality -- timely,
  accurate and courteous -- service at all times
• Remove campus and functional barriers to
  effectively meet student needs
• Design cost effective processes that are more
  efficient for students, staff and faculty
• Maximize the use of technology to deliver student
  services and
• Continually evaluate and improve our services.

4
The scope of this project will focus on UMS
Student Services Organization

• Those elements in the following functions that
  touch the student will be redesigned into a
  system wide organization that has three design
  principles improve service to the student
  customer, efficiency in processing back office
  processing, and deep subject matter expertise
• Admissions (including undergraduate excluding
  graduate, international, law school)
• Registration and Student Records
• Financial Aid
• Bursar
• Advising
• Loan collections Front Line student service at
  the University level (e.g. One Stop at the
  university, hybrid model, or todays structure)
• The organization being developed will focus on
  the integration of people, process, and
  technology
• Supports universities system wide
• Defines distinct roles and responsibilities,
  teams organized into an overall organization
• Implement effective initial and ongoing
  cross-training and communications for the new
  organization
• After the redesign phase, other phases of
  implementation may also benefit from the team
  members participating in the execution of the
  implementation plan

Back office processing processes and
transactions which support the delivery of
student services, but are transparent to the
student
5
The THESIS team examined the data gathering of
SSTP and validated our work with validation
workshops attended by students, faculty and staff
THESIS Validation Workshop Attendees
SSTP Interviews and Focus Group Attendees
University Faculty Students Staff
UMA 17 9 21
UMF 12 10 18
UMFK 17 15 39
UM 8 6 40
UMM 10 2 16
USM 5 8 23
UMPI 11 16 22
UC 13 15
Sub Total 80 79 194
Total - 353
Executives 15
Students 81
Staff 111
Total 207
Represented by all 7 universities
6
Draft To-Be Admissions Process

• The goal of this new design is to
• Facilitate a system-wide recruitment strategy for
  promoting the UMS to rising high school seniors
  and other eligible student groups, e.g. community
  college transfers, adult learners, workforce
  re-trainees
• Capture admissions data at the point of entry to
  allow for accurate and easily accessible
  admissions information
• Imaging of paper applications and supporting
  documents
• Greater emphasis on e-application
• Provide all students with an e-application option
  to significantly reduce the need for redundant
  applications Paper applications will still be
  supported
• The Center will provide support to the
  Universities in communicating with prospective
  students

7
AdmissionsDraft Mid-Level TO-BE Process Location
Map
Identify Prospective Students
Develop Recruitment Marketing Publications
Communicate With Prospective Students
Build Applicant File
UNIVERSITY

• Capability to process, image and perform data /
  document management of applications locally as
  needed (U)

• Develop system wide search strategy (UMS)
• Determine UMS target markets (UMS)
• Purchase university-specific lists (U)

• Establish complementary marketing strategies,
  branding and image for UMS (UMS)
• Develop UMS Publications (UMS)
• Develop university specific marketing strategy
  design elements (U)
• Develop university specific publications (U)

• Define University specific communications
  campaigns mailings, emails, telecounseling (U)
• Publish web campaigns (UMS)
• Communicate with university specific admissions
  prospects (e.g. out-of-state college fairs,
  workshops, high school visits) (U)
• University conducts local campaign (U)
• Represent UMS at targeted tertiary recruitment
  events (UMS)

CENTRAL

• Purchase agreed upon lists (C)

• Execute university specific campaigns mailings,
  emails, telecounseling (C)

• Build the applicant file (C)
• Process fees (C)
• Request/assemble required documents (C)
• Image all documents (C)

• U denotes University Staff, Faculty
  Department
• UMS denotes the Univ. of Maine System in
  collaboration with the Universities
• S denotes Students
• C denotes Central

8
AdmissionsDraft Mid-Level TO-BE Process Location
Map (Cont.)
Make Admissions Decision
Notify Applicant
Review Applicant File
UNIVERSITY

• Render decision on application (accept, deny,
  defer, hold for more information, redirect to an
  alternate major or UMS program or university) (U)
• Make merit scholarship decisions that are within
  the purview of the university admissions office.
  (U)

• Conduct, for accepted students post-admission
  communications and yield activities (U)
• Option to print acceptance letters locally (U)
• On-going yield activities (U)

• Run reports to look at applicant pool (U)
• Review application for admissions (U)

CENTRAL

• Generate appropriate decision letter including
  enclosures (denies include information on
  internal referral service) (C)
• Follow-up, ongoing communications with new admits
  (C)

• Provide and maintain tools to support
  Universities (C)

• U denotes University Staff, Faculty
  Department
• UMS denotes the Univ. of Maine System in
  collaboration with the Universities
• S denotes Students
• C denotes Central

9
AdmissionsDraft Mid-Level TO-BE Process Location
Map (Cont.)
Process Students Response to Decision
Prepare Files Matriculation and/or Deactivation
Generate Reports And Surveys
Ongoing Communications w/students
UNIVERSITY

• Review and approve/deny individual requests for
  deposit refunds and waivers (U)
• On-going yield activities (U)

• Generate University specific reports based on
  applicant pool (U)

• Ongoing communications with students, parents,
  counselors as necessary (U)

• Universities define
• criteria for communication with non-responders
  (U)

CENTRAL

• Send letter of withdrawal to non responders
• Process non-responders based on
  university-defined rules (C)

• Receive and document student decision (C)
• Generate letter of acknowledgement (C)
• Request and process final documents for
  matriculation (C)
• Generate and mail (EFT) deposit refunds (C)

• Generate UMS specific reports based on applicant
  pool (C)

• Ongoing communications as necessary (C)

• U denotes University Staff, Faculty
  Department
• UMS denotes the Univ. of Maine System in
  collaboration with the Universities
• S denotes Students
• C denotes Central

10
Draft To-Be Admissions Process Highlights

• Collaboration on centralized purchase of search
  lists will allow the costs to be shared, rather
  than borne solely, by each participating
  university
• Universities still retain option to purchase
  additional lists for specific recruitment
  campaigns.
• Electronic applicant files including imaged
  transcripts and other documents will be utilized
  Paper applications will continue to be available
• Marketing strategies, follow-up, admission
  decisions, recruiting opportunities and deposit
  refund/waivers are retained at the university
  level, thus maintaining autonomy and opportunity
  for unique university development
• Recruitment campaigns and communications with
  inquiries, applicants, and acceptances are
  conceptualized and drafted at the university
  level with data systems maintained centrally
• All other activities that maximize marketing
  impact will be performed at the university level
• Complementary marketing by the UMS, greatly
  expands the reach of the UMS (and subsequently,
  each university) beyond traditional market areas
• Process review focused on the undergraduate
  processes. Graduate and international processes
  require more investigation.

11
Draft To-Be Advising Process

• The goal of this new design is to
• Improve the Advising Process through touch points
  with technology
• PeopleSoft/Legacy
• Web-Portal
• E-portfolio
• Virtual Advising Centers
• Increase awareness that the Registration
  Authorization Number (RAN) is a prompt to
  facilitate advising meetings, not just a stamp
  in the process
• Emphasize the holistic nature of advising as
  opposed to meetings to simply select courses
• The teaching/learning relationship of advising
• Advisings critical role in retention through to
  graduation
• Improve advising relationships increase
  student/advisor satisfaction
• Greater access to improved technology will
  support advising as a face to face activity
• Address the disconnect between student and
  faculty expectations of advising

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AdvisingDraft Mid-Level TO-BE Process Map
STEP 1
STEP 2
STEP 3
STEP 4
Identify and educate Advisors
Assign Reassign Advisors
Conduct Orientation and/or Initial registration
Conduct Assessment of Student Skills Interests
UNIVERSITY

• Identify Advisors (U) list of eligible advisors
  available online
• Develop and organize training materials (U)
  access to online training materials
• Train advisors (U) degree audit tool,
  electronic student record

• Assign advisors to new degree candidates (U)
  online access to list of degree candidates and
  qualified advisors
• Assist students with changes to major/advisor (U)

• Prepare for and conduct multiple sessions (U)

• Coordinate assessment instruments (U) online
  access to assessment tools
• Determine assessment needs (U)
• Administer assessment update student record (U)
• Assist students/advisors with the interpretation
  of assessments, make referrals (U)
• Utilize e-portfolio to document assessment results

CENTRAL

• Coordinate access to assessment tools (c)

• Provide access to advising tools (e.g.
  appropriate level of PeopleSoft access) (C)
• Develop some advising training materials (e.g.
  electronic advising tools tutorial) (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

13
AdvisingDraft Mid-Level TO-BE Process Map (Cont.)
STEP 5
STEP 6
Conduct Ongoing Advising
Monitor Student Progress
UNIVERSITY

• Support accountability by monitoring student to
  advisor contact (U)
• Assist in resolving advisor/advisee conflicts (U)
• Conduct degree audits (U)
• Identify and report on at risk students (U)
• Plan and implement interventions
• Encourage participation in alternative academic
  experiences
• Facilitate post graduate advising
• Provide referrals
• Produce graduation certification
• Updated student record available online
• Utilize e-portfolio to document advising
  sessions, co-curricular activities, etc.

• Determine a particular students short-term
  needs, respond to what if scenarios (U primary)
  capture students visits online (security
  included)
• Assist students with course selection/registration
  (U)
• Face-to-face advising is valued and will be
  encouraged (U)
• Assist students/advisors in resolving
  registration problems (U)
• Facilitate student/advisor relationship-Teach
  students the importance of the advising
  relationship (U) student advising web page,
  university advising page
• Updated student record available online
• Utilize e-portfolio to document advising sessions

CENTRAL

• Responding to what if scenarios (C for multi
  campus students) capture students visits online
  (security included)
• Make referrals to campus advising when appropriate

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

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To-Be Advising Process Highlights

• Many of the highlights from other processes could
  be beneficial to Advising
• Consistent add/drop rules for universities
• Coordination and maintenance of the transfer
  credit matrix
• New on-line tools (e.g. PeopleSoft) will assist
  with the management of student records, class
  lists, grade books and advising
• Advising touch points with technology - on-line
  tools for advising can assist advisors and
  students
• An electronic portal that would take students to
  virtual advising centers will help us organize
  and disseminate important advising information
  for students
• An electronic portal for advising updates may
  facilitate initial and on-going advisor education
• E-portfolio can help advisors document student
  sessions, track student progress and help
  students document their experience
• Front Line student services at the University
  level (e.g. One-Stop Center, hybrid model, or
  todays structure, including advising services)
  may alleviate some advising pressure for both
  students and advisors by providing triage
• e.g. answering routine questions and referring to
  faculty advisors as needed, perhaps even making
  appointments for students with their faculty
  advisors

15
Draft To-Be Registration and Student Records
Process Design Goals

• The goal of the this new design is to
• Provide self-service benefits for students, staff
  and faculty through the use of personal portals
  which provide comprehensive access to tools and
  resources (PeopleSoft)
• Accurate and up-to-date information
• Improve efficiency
• Improve student services and satisfaction
• Reduce repetitive tasks for staff so that they
  can devote their time to higher quality
  interaction with students
• Create seamless processes that eliminate
  runaround and points of confusion
• One-stop service face-to-face or via phone, with
  expertise at both university and center
• Complexities should be invisible to student
• Encourage common registration policies across
  universities in order to gain efficiency and
  reduce confusion for students, staff and faculty

16
Registration and Student RecordsDraft Mid-Level
TO-BE Process Location Map
STEP 1
STEP 2
STEP 3
STEP 4
STEP 5
Build the Authorized Course File
Build Term Section File
Validate Student Readiness
Register Students
Grade Students
UNIVERSITY

• Authorized course file form approved by
  curriculum committee department (U)
• Review form for consistency (U)

• Roll previous like term enter data for the term
  section file (U)
• Build term section files. (U)
• Schedule classrooms (U)
• University will have the ability to perform on
  demand printing from web-based electronic class
  schedule (U)

• Registration intervention for exceptions (e.g.
  overrides, prerequisites, withdrawals /
  cancellations) (U)
• Self Register (S)

• Enter Grades (U)

• Assumes local university capability and
  responsibility for determining registration
  appointment rules. (U)

CENTRAL

• Publish electronic course schedules (C)
• Coordinate printing to facilitate economy and
  scale (C)
• Coordinate common publishing date for all
  Universities (C)

• Evaluate Preliminary Student File (C)
• Produce Distribute RANS(C)
• Determine Registration Appointments (C)
• Ongoing Maintenance (C)

• Notify faculty of grade entry deadline Window for
  entering initial semester grades has to be wide
  enough to accommodate late papers ( make-ups)
  from ITV sites (C)

• Technological tools for greater control, e.g.
  repeat course block/flag, enrollment block after
  two weeks, prerequisite block, limiting courses
  to eligible students, absolute hold enforcement,
  tracking cert students, building workflow.

• Build Course File (C)
• Notify all system transfer officers of changes
  (C)
• Notify degree auditors of changes (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

17
Registration and Student RecordsDraft Mid-Level
TO-BE Process Location Map (Cont.)
STEP 6
STEP 7
STEP 8
Process Academic Actions Iterative
Manage Academic Records
Graduate Students
UNIVERSITY

• Universities provide Academic Actions criteria to
  Center (U)
• University will make decisions regarding Academic
  Actions (U)
• Address probation, suspension and dismissal
  appeals (U)

• Student File Maintenance Change of Name, ID (U)
• Student File Maintenance Change of student
  address, phone number (S)
• Change Academic History grades (U)
• Change of Academic Status (U)
• Capability to distribute official unofficial
  transcripts (U)
• Capability to verify Enrollment (U)

• Universities will certify graduation requirements
  have been met. (U)
• University will provide input for Degree Audit
  information in a timely manner (U)
• Prepare Commencement Program (U)
• Prepare diploma (on an exception basis), if
  technology allows it (U)

CENTRAL

• Produce and distribute academic actions list (C)
• Process academic actions update student data
  file (C)
• Process Deans List Presidents List,
  Notifications Letters (C)

• Distribute official unofficial transcripts (C)
• Verify enrollment (C)
• Student file maintenance Change of student
  address, phone number (C)
• Change of academic status (C)

• Center will manage Degree Audit information for
  completeness and timeliness (C)
• Prepare distribute graduate certification
  material (C)
• Process and print diploma (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

18
Registration and Student RecordsDraft Mid-Level
TO-BE Process Location Map (Cont.)
STEP 9
STEP 10
Transfer Evaluations
Generate Reports Other activities
UNIVERSITY

• Equivalency information is determined at the
  University (U)
• Iterations for CLEP, AP (U)
• Transfer exceptions to rules (e.g. overriding of
  prerequisites)
• Notify students of transcript analysis (U)

• Outreach activities (U)
• Generate miscellaneous lists and reports (U)

CENTRAL

• Generate Various Reports (C)
• National Student Clearinghouse reporting
• Official UMS enrollment reports and summaries
• Common data set and various college surveys
• Miscellaneous lists and reports, e.g. departments
  want major lists, labels, etc.

• Equivalency matrix is maintained at the Center
  (C)
• Evaluate post external transcript information
  (C)
• Iterations for International transcripts, Prior
  Learning (C)
• Notify students of transcript analysis (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

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Draft To-Be Registration and Student Records
Overall Considerations

• Standardize language so that multiple summer
  sessions are part of a single summer semester
• Publish offerings sooner so students can have
  more advanced notice
• Recommend that common start dates and common
  add/drop period for Summer, Fall and Spring be
  used so that we can work toward the common
  application of common policies. We agree that
  this could be difficult to accomplish
• Develop two options to allow for winter terms and
  subsequent spring term start dates
• Non-matriculated students are supported by the
  same structures as matriculated students, with
  the exception of major-specific services
• An efficient process is required to handle
  exceptions to the degree audit and transfer
  processes

20
Draft To-Be Registration and Student Records
Process Highlights

• Student self-service tools will be improved and
  students will actively be encouraged to use them
  as their primary source of information
• Registration processes that touch the student and
  are performed centrally will still be able to be
  performed at the university level (for example
  transcript requests, enrollment verification and
  transfer evaluation).
• Students who seek direct University intervention
  will not be turned away.
• Consistent add drop rules and start dates for
  universities will simplify the registration
  process for students and faculty
• Develop two options to allow for winter terms and
  subsequent spring term start dates
• Determination of transfer credit equivalency will
  occur at the University level, and be forwarded
  to the Center for actual processing
• New online tools will assist with the management
  of student records, classlists, gradebooks and
  advising
• Creation of the final exam schedule when course
  file is created will support an efficient
  registration process

21
Draft To-Be Financial Aid Process

• The goal of the this new design is to
• Provide comprehensive, consistent, high-quality
  financial aid information and service to UMS
  students and parents
• Develop common financial aid procedures across
  UMS Universities while maintaining institutional
  autonomy and complying with all federal, state,
  UMS and University regulations and policies
• Create a holistic approach to financial aid
  advising at Universities

22
Financial Aid Draft TO-BE Mid-Level Process
Location Map
STEP 1
STEP 2
STEP 3
Install Regulations
Load ISIRs and Budget Elements
Request, Receive and Process Documents from
Applicants
UNIVERSITY

• Develop cost of attendance budget, specific to
  university, undergrad vs. grad, specific to major
  if differential tuition rates. (U)
• Create common, consistent application
  requirements (U)

• Enter receipt of each university applicants
  documents into Financier (U for walk-in)
• Scan and image documents for university viewing
  (U for walk-in)
• Verify and enter information from documents (U
  for walk-in)
• Manage incomplete information from students and
  parents. (U for walk-in)

CENTRAL

• Validate Software Upgrade (C)
• Perform Periodic upgrades (varies, multiple times
  a year), changes in regulations, minor changes
  (C)
• Perform Web DSIS maintenance required, year to
  year screen and language updates (C)
• Perform required IVR and OPTIX System maintenance
  (C)

• Research indirect costs for each universitys
  geographic location (C)
• Determine timeline for creation of requirements.
• Design information request forms (C)
• Load ISIRs on university files (C)
• Assign grouping code and identify edit problems
  (C)

• Initiate process to request documents from
  individual students from each university (C)
• Enter receipt of each university applicants
  documents into Financier (C)
• Scan and image documents for university viewing
  (C)
• Verify and enter information from documents (C)
• Manage incomplete information from students and
  parents. (C)
• Run process to verify and overlay data for each
  of the universities (C)
• Send individual university corrections records to
  feds (C) File, store all documents in a secure
  site, insuring accessibility for five years per
  federal regulations. (C)
• For each University, perform information
  management for all application documents both
  hardcopy and electronic. (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

23
Financial Aid Draft TO-BE Mid-Level Process
Location Map (Cont.)
STEP 4
STEP 5
Establish Award Parameters
Award (Initial and Adjustments) and Notify
Students
UNIVERSITY

• Determine the federal, state and institutional
  funds available (U)
• Create specific award formulas for various
  student populations (U)

• Manage ongoing exceptions (athletes, selected
  specific groups) (U)
• Receive and enter information from award letter
  and other sources (U)
• Adjust student record and/or award (U)
• Notify student via paper award letter or email
  (U)
• Determine applicants and build individual budgets
  based on summer enrollment credit hours and dates
  of enrollment. (U)
• Award based on university policies and available
  funding (U)
• Monitor enrollment and adjust awards as
  appropriate (U)

• CENTRAL
• Develop tools for software to simulate, establish
  and monitor award parameters.

• Submit program to award students and provide
  report to University. (C)
• Pull employee and dependent waiver eligibility
  from HR (C)
• Notify students via paper award letter or email
  (C)
• Receive and enter information from award letter
  and other sources (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

24
Financial Aid Draft TO-BE Mid-Level Process
Location Map (Cont.)
STEP 6
Process Loans and Perform Entrance and Exit
Interviews
UNIVERSITY

• University Financial Aid Staff assists in
  processing and has the same information as the
  Center staff in Direct, Stafford and Alternative
  Loans (U)
• Conduct mandatory entrance interviews
  (electronically or in person) (U)

• Perkins, Nursing, Institutional Loans
• Send award data file to loan processing center
  (see Collections To-Be for details). (C)
• Adjust awards at institutional level. (C)
• Direct Loans
• Run process to determine award amount and create
  MPN (C)
• Receive and manifest signed promissory notes (C)
• Load acknowledgements and report transactions to
  DOE (C)
• Notify student that loan has been processed (C)
• Stafford Loans
• Record loan application, requested amount, lender
  and type of loan (C)
• Run program to determine student loan eligibility
  or manually process (C)
• Manage exceptions (C)
• Certify and originate loans (C)
• Load acknowledgements into Financier (C)
• Notify student that loan has been processed (C)
• Manage EFT process (C)
• Reconcile issues/problems (C)
• Alternative Loans
• Record loan application, requested amt., lender
  and type of loan (C)

CENTRAL

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

25
Financial Aid Draft TO-BE Mid-Level Process
Location Map (Cont.)
STEP 7
STEP 8
STEP 9
STEP 10
Manage debt levels default rates
Manage and Award University and UMS Scholarships
Perform Satisfactory Academic Progress (SAP)
Process Withdrawals
UNIVERSITY

• Determine available funds (U)
• Advertise availability (U)
• Select notify applicants
• Post award adjust other financial aid if
  necessary (U)
• Communicate with donor, outside agency, etc. (U)
• For UMS scholarships, work with appropriate
  universities follow same steps (U)
• Reconcile accounts (U)
• Create reports
• Very manual process with very specific criteria
  for awarding and renewal. (U)

• Review SAP results to ensure sensitivity to
  differences in academic programs.(U)
• Retract aid if appropriate notify student (U)
• Receive, review act on appeals (U)
• Monitor conditional / probationary students (U)

• Adjust aid for students who withdraw or leave a
  university after add/drop period, semester basis.
  (U)
• Identify withdrawn students determine date of
  withdrawal
• Monitor timing of notification of withdrawals
• Perform R2T4 calculation adjust aid
• Notify student
• Monitor, collect /or refer to Dept of Ed (UMPI)
• Request return of loan funds by Business Office

• Provide student with actual debt level at
  graduation (U)
• Provide debt level counseling one-on-one for
  students (U)
• Collect default data, monitor rates, investigate
  impact to university, participate in loan default
  activities (U)

CENTRAL

• Maintain consistent, standardized SAP across
  Universities policy and program to monitor
  academic progress following federal regulations.
  (C)
• Generate report with SAP Results and updating
  Financier with results (C)

• Subject to legal FERPA issues, distribute a
  list of all withdrawn students to all
  Universities (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

26
Financial Aid Draft TO-BE Mid-Level Process
Location Map (Cont.)
STEP 11
STEP 12
STEP 13
Disburse Funds
Reporting Compliance
Manage Special Groups of Students
UNIVERSITY

• Perform Federally mandated annual processes. (U)
• FISAP
• Gather information identify applicant pool (U)
• Complete submit to Dept of Education (U)
• Respond to federal edits
• Participate in Audits / Program Reviews
• Comply with all federal, state institutional
  audits (U)
• Ad hoc reporting (U)
• Complete surveys, information requests, reports
  (U)

• Establish university protocol for awarding,
  monitoring tracking for special groups i.e.
  Merit (U)
• NCAA at UM
• Identify student athletes code in Financier and
  PeopleSoft
• Send receive athletic scholarship offers
  agreements (initial, renewal non-renewal)
• Input information onto NCAA software data base
• Calculate post scholarships monitor changes
• Determine eligibility for summer aid
• Coordinate scholarship appeals
• Simulate aid eligibility for recruits as
  requested by coaches

• Resolve disbursement exceptions (U)
• Perform scheduled and automated disbursement
  processes as necessary (U)

CENTRAL

• Perform scheduled and automated disbursement
  processes for each university. (C)
• Provide Exception Report and distribute to
  University Financial Aid. (C)

• Participate in Audits / Program Reviews
• Comply with all federal, state institutional
  audits (C)
• Ad hoc reporting (C)
• Complete surveys, information requests, reports
  (C)
• Provide Universities with reporting tools and
  data support

• Identity, verify code student population in
  Financier or PeopleSoft (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

27
Financial Aid Draft TO-BE Mid-Level Process
Location Map (Cont.)
STEP 14
STEP 15
Produce Informational Publications
Manage Funds (ongoing)
UNIVERSITY

• Provide fiscal oversight and reconciliation of
  funds at the university level. (U)
• Create new funds in Financier (U)
• Budget individual funds update fee codes (U)
• Monitor spending reconcile accounts (U)
• Close/freeze appropriate accounts (U)
• Establish new accounts in Financial System (U)
• Transmit receive data to/from appropriate
  funding source (U)

• University-specific brochures, flyers for a
  variety of populations. (U)
• Identify target audience assemble appropriate
  information (U)
• Create materials (U)
• Distribute materials (U)

CENTRAL

• Center may produce template language for some
  publications (C)
• University-specific brochures, flyers for a
  variety of populations. (C)
• Identify target audience assemble appropriate
  information (C)
• Create materials (C)
• Distribute materials (C)

• Request receive allocations/draw downs/checks
  Federal and State Accounts (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

28
Financial Aid Draft TO-BE Mid-Level Process
Location Map (Cont.)
STEP 16
STEP 17
Manage Student Employment and FWS
Advise and Counsel (ongoing
UNIVERSITY

• Advise on Financial Aid (U)

• Two categories of employment University and
  Federal funds. (U)
• Establish and classify eligible positions (U)
• Create Student wage scale (U)
• issue authorizations, receive and process
  authorizations (U)
• Create payroll record, some universities (payroll
  functions) (U)
• Monitor earnings and over earnings (U)
• Bill outside organizations (U)
• Maintain employer contracts and agreements (U)
• Orient new employees (U)
• Track student wages in federally mandated areas
  (U)
• Resolve employment issues / problems (U)

CENTRAL

• Provide University with Financial Aid information
  (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

29
Draft To-Be Financial Aid Process Highlights

• Development of common financial aid procedures
  across UMS Universities will simplify the
  financial aid process for students, parents,
  staff and University communities
• Central location for receipt of all documents
  eliminates the need for financial aid applicants
  to send duplicate copies to individual UMS
  Universities
• Automatic determination of eligibility for
  employee, dependent and graduate assistant
  tuition waivers
• Creation of a highly-trained, well-staffed Center
  location that can manage all common financial aid
  processes allowing University Financial Aid
  Offices to provide more holistic advising to
  students

30
Draft To-Be Bursar Process

• The goal of the this new design is to
• Better serve the student population through more
  innovative business processes
• Opening the Bursar processes to allow the
  students to interact and conduct university
  business real-time, anytime via web-based
  self-service
• Presentation of a UMS consolidated bill
• Implementing direct deposit and direct pay
  options for refunds and billing
• Reduce UMS and University costs by
• Streamlining processing and reduction of manual
  and paper-based steps
• Gaining efficiencies through staff cross-training
  and centralization
• Increase UMS and University revenues
• Implementing an in-house collections team at the
  Center
• Examining expansion of in-house payment plan
  options

31
BursarDraft TO-BE Mid-Level Process Location Map
STEP 1
STEP 2
STEP 3
STEP 4
Create Assessment Criteria
Import Assess Student Charges Credits
Apply Modifications to Initial Invoice
Produce Distribute Initial Term Invoice with
Supplemental Information
UNIVERSITY

• Populate tables and/or rules that drive the
  background calculations. (U)

• Review and apply Campus specific waivers e.g.
  Senior Citizen, High School Aspirations, outside
  scholarships, department credits. (U)

• Create the supplemental information to be
  included with initial invoice. (U)

CENTRAL

• Develop commonality of definitions of various
  fees from which everyone can choose to use some
  or all of them. (C)
• Maintain composite pieces and/or rules
  centrally. (C)

• Processing multiple programs in a sequential
  order to properly populate students accounts and
  university revenue accounts. (C)
• Process financial aid disbursements (C)

• Apply HR based (employee and dependent) waivers.
  (C)
• Apply State/System mandated waivers, e.g. Native
  American, Veterans Dependents, etc. (C)
• Apply Graduate assistantship waivers. (C)
• Coordinate outside scholarship information with
  Financial Aid processes (C)

• Process program to create/print invoice (C)
• Set production schedule in consultation w/
  universities all information must be submitted
  by x to enable a consolidated bill to be
  published by y.
• Encourage students to interact with the web (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

32
BursarDraft TO-BE Mid-Level Process Location Map
(Cont.)
STEP 5
STEP 6
STEP 7
STEP 8
Process Initial Invoices
Process Refunds
Account Maintenance
Subsequent Invoicing
UNIVERSITY

• Ability to receive and post student payments (U)
• Business Office staff will always be able to
  provide service to students (U)

• Process exceptions (U)
• Produce emergency/on demand refund checks (U)
• Review and Finalize Student Refund amounts (U)
• Hold credit at University discretion (U)

• Process State/System waiver adjustments (U)
• Process ongoing requests from students to hold
  credits on account (U)
• Business Office staff will always be able to
  provide service to students (U)

• 3rd Party Billings (U)
• Business Office staff will always be able to
  provide service to students, including on demand
  invoicing (U)

CENTRAL

• Receive and post student payments (C)
• Enrollment in payment plans (C)
• Coding accounts for exception payments (C)
• Updating billing addresses, refund disbursement
  locations (C)
• Process hold credits per student request (C)

• Run account reports to support University Refund
  Process and System Office Check Processes (C)
• Process hold credits per student request (C)

• Placement/removal of financial holds (C)
• Process ongoing requests from students to hold
  credits on account (C)
• Continual updating of financial aid disbursements
  and student loan revenues (C)
• Late payment fee processing (C)

• Electronic or paper notification of subsequent
  payment plan payments (C)
• 3rd party billings (C)
• EFT loan notifications (C)
• Miscellaneous charges (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

33
BursarDraft TO-BE Mid-Level Process Location Map
(Cont.)
STEP 9
STEP 10
STEP 11
STEP 12
Conduct Collection of Delinquent Student Accounts
(see To-BE Collections)
Required reporting
Other Student Services Business Office Functions
Financial Appeals
UNIVERSITY

• Special Payment Arrangements (current or
  non-current students) (U)
• Finalize/Approve recommended accounts for 3rd
  party collections (U)

• Execute and distribute audit reports (U)
• Execute and distribute NEBHE reports (U)
• Execute and distribute System/State/Agency
  program reports (U)

• Perform accounting processes (U)
• Perform banking processes (U)
• Outreach activities (U)
• Serving on multiple system/university committees
  (U)

• Perform financial appeals (e.g. late fee,
  retroactive tuition/fee adjustments, etc) (U)

CENTRAL

• Communication of pre-collection notifications to
  students (C)
• Recommend accounts for 3rd party collection (C)
• Execute and Distribute reports/information to 3rd
  party collection agencies (C)

• Review and correct invalid ID reports prior
  to1098T generation (C)

• Perform accounting processes (C)
• Perform banking processes (C)

• Perform Residency appeals (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

34
Draft To-Be Bursar Process Highlights

• A consolidated easy to understand bill
• Students will access the web for online payment
  and bills for all university charges
• The center may act as the primary point of
  contact for student payment and billing questions
• Students can also obtain information at their
  university and on a web site
• Direct deposit and direct payment will be offered
  and supported for all universities at the center

35
To Be Loan Processing and Receivable Management
Process

• The goal of the this new design is to
• To improve the collection process within the
  University of Maine system by establishing a
  centralized, internal collection office which
  will be responsible for
• Federal Perkins and Nursing Loan Program
  Management, Including adherence to Federal
  requirements for Due Diligence (includes Loan
  Collections, write off and/or assignment)
• Institutional Loan Program management
• Delinquent student accounts receivable
  collections and write off
• Miscellaneous Delinquent (non-student) receivable
  collections and write off.
• This may result in improved cash management via
  reduction of collection expense to 3rd party
  collection agencies for accounts receivable and
  may result in a funding source for centralized
  administrative operations.

36
Loan Processing and Receivable ManagementDraft
TO-BE Mid-Level Process Location Map
STEP 1
STEP 2
Create Pre- disbursement Requirements
Create Loan Record on Loan Servicing Contractor
UNIVERSITY

• Input from Financial Aid Process for determining
  eligibility for Perkins, Nursing, and
  Institutional Loans (U)
• Accept documents as necessary to facilitate loan
  processing (U)

CENTRAL

• Update job to create and print notes, determine
  print schedule (C)
• Produce Master Promissory and Promissory Notes
  (C)
• Mail Notes to students with webDSIS Perkins
  instructions (C)
• Receive signed Master Promissory and Promissory
  Notes via US Mail and enter into Financier (C)
• Receive and Review completed Perkins origination
  information electronically via WebDSIS and update
  Financier (C)
• Communication with student to resolve data
  exceptions and errors (C)
• Coordination and management of storage of student
  loan documentation (C)

• Create data file for initial Perkins, Nursing and
  Institution Loans and submit to Loan Servicing
  Contractor who input and start credit bureau
  reporting (as required by federal regulations)
  (C)
• Create updated data file with current borrowers
  information and send to Loan Servicing Contractor
• for Perkins, Nursing and Institution Loans (C)
• Communicate with Loan Servicing Contractor
• to resolve any data requirements or errors (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

37
Loan Processing and Receivable ManagementDraft
TO-BE Mid-Level Process Location Map(Cont.)
STEP 3
Due Diligence And Processing
UNIVERSITY

• Provide students with federally mandated exit
  interviews (U as necessary)
• Place holds on accounts for incomplete exits,
  update exit information and remove holds (U as
  necessary)
• Communications with student to ensure completion
  of exit interview (U as necessary)

CENTRAL

• Monitor enrollment update separation date (C)
• Process deferment, forbearance and cancellation
  forms (C)
• Arrange process special payment arrangements
  for institutional loans (C)
• Provide students with federally mandated exit
  interviews (C)
• Place holds on accounts for incomplete exits,
  update exit information and remove holds (C)
• Communications with student to ensure completion
  of exit interview (C)
• Perform federally required Due Diligence for
  Perkins and Nursing loans (C)
• Refund Overpayments via Check or Direct Deposit
  (C)
• Communications with Students to facilitate
  refunds of Overpayments (C)
• Perform accounting entry on University Books for
  refund (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

38
Loan Processing and Receivable ManagementDraft
TO-BE Mid-Level Process Location Map(Cont.)
STEP 4
Collections of Delinquent Accounts
UNIVERSITY

• Make decision to assign or not assign Perkins
  Loans US Department of Education, Nursing Loans
  US Department of Health and Human Services (U)
• University finalize/approve recommended accounts
  and loan receivables for 3rd party collections (U)

• Recommend accounts for 3rd party collections
  referral (C)
• Internal Monitoring, Collecting, Payment
  Processing, Information Management on delinquent
  student accounts and borrower delinquent loans
  receivable (C)
• Communications with students/borrowers regarding
  delinquent accounts and loans receivable for
  issue resolution and posting payments (C)
• Posting payments for delinquent student loans (C)
• Process deferment, forbearance and cancellation
  forms (C)
• Negotiate and process special payment
  arrangements for institutional loans (C)
• Place all delinquent accounts (Loan and Accounts
  Receivables) with outside collections agencies
  (C)
• Monitor accounts with collection agencies and
  resolve issues (C)
• Set parameters for delinquent Student accounts
  and loans receivable holds
• Set holds (C)
• Set parameters for submission of names to Maine
  Revenue Service Program (C)
• Submit delinquent student accounts and loans
  receivable information to Maine Revenue Service
  Program (C)
• Determine if funds received from the Maine
  Revenue Service program will be posted or
  refunded, post and refund funds (C)
• Communications with collection agencies of
  payments from offsets (C)
• Determine eligibility for assignment of Perkins
  Loans US Department of Education, Nursing Loans
  US Department of Health and Human Services (C)
• Prepare and submit assignment materials for
  permanent disability and defaulted loans (C)
• Communications with Loan Servicing Contractor and
  collections agencies regarding eligibility status
• Communications with students regarding
  eligibility status

CENTRAL

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

39
Loan Processing and Receivable ManagementDraft
TO-BE Mid-Level Process Location Map(Cont.)
STEP 5
STEP 6
Accounting And Reporting
Other Loans And Functions
UNIVERSITY

• Determine loans to be assigned to written off
  status (U)
• Complete Perkins and Nursing sections of FISAP
  (U)

• Process Emergency / Short Term Loans (U)
• Billing Emergency / Short Term Loans (U)

CENTRAL

• Reconcile Perkins, Institution and Nursing Loan
  accounts (C)
• Process Perkins, Institution and Nursing Loan
  loans and accounts receivable write offs and
  update records (C)
• Complete year end Perkins, Institution and
  Nursing Loan program reconciliation forms (C)
• Participate in University and UMS audit
  activities and program reviews (C)
• Project amount of Perkins and Nursing funds to be
  awarded (C)
• Projecting year end Perkins and Nursing loan
  programs cash on hand (C)
• Monitor Perkins and Nursing loan programs cash on
  hand (C)

• Collect Delinquent Emergency / Short Term Loans
  (C)
• Collection of Delinquent Non-Student Receivables
  (C)

• U denotes University Staff, Faculty
  Department
• S denotes Students
• C denotes Central

40
To-Be Loan Processing and Receivable Management
Process Highlights

• Establish a centralized, internal collection
  office which will be responsible for
• Federal Perkins and Nursing Loan Program
  Management, Including adherence to Federal
  requirements for Due Diligence (including Loan
  Collections, write off and/or assignment)
• Institutional Loan Program management
• Student accounts receivable collections and write
  off
• Miscellaneous delinquent (non-student) receivable
  collections and write off.

41
Benefits of the to-be processes

• Students, faculty and staff will benefit from
• Improved Processes and Efficiency Gains
• Clear processes and procedures
• More consistent processes and procedures across
  the system
• Improved Communications and Decision-Making
• Elimination of functional silos cross-trained
  and better informed staff
• Streamlined communications, data capture and
  processing of transactions across the system
• Defined ownership of roles and accountability for
  decisions
• Elimination of barriers among and between
  departments
• Elimination of barriers among and between
  universities
• Improved Access to Information
• Correct, up-to-date and readily available online
  student information
• Quick and easy access to answers to student,
  staff and faculty questions

42
Best Practice Universities examined and rationale
for examination
School Rationale for examination
California State University System University implementing PeopleSoft enterprise-wide
City University of New York System University
Minnesota Twin Cities Meets the guidelines for Society for College and University Planning (SCUP) best practice universities
Penn State Expert in deploying document management
South Dakota Board of Regents Similar structure to UMS in terms of size, scope governance
University of Cincinnati Well known for admissions/recruitment/retention innovations
University of Connecticut Successfully implemented PeopleSoft and a one-stop
University of Massachusetts Boston Implementing PeopleSoft in a multi-institutional environment with Lowell and Dartmouth campuses
We in the higher education community need to
"get over" our traditions, our histories, and our
many excuses for why we should try to replicate
each other's resources.... The times and the
conditions call for new models and innovative
means for facilitating collaboration .... "
Brian Hawkins, President of EDUCAUSE January/Febr
uary 2005 EDUCAUSE Review
43
Best Practice Process Redesign
Old Process New Process
Auto Transaction Self-Service/Web
Generalist
Specialist
UMS Processing Center
University One-Stops
University Functional Silos
44
Best Practices - Processing Center
Best Practice Design Principles Implications for UMS Redesign
Documents are received and processed at one location. A physical center with cross-functional staff handling multiple document types.
Back-office processing does not preclude, but rather enhances, front-end student service. A transparent, physical center exists to improve the in-person face-to-face service to students at the universities.
Cross-functionally trained employees level the workflow and volume throughout the year. Center staff must be cross-trained in multiple functional areas to gain efficiencies in processing and service.
Student service transactions are pushed to self-service, supported by robust web tools and an easily accessible help function when needed. Dedicated technical staff are needed to develop and support the tools.
45
Best Practices - Processing Center
Best Practice Design Principles Implications for UMS Redesign
Extensive use of document management/imaging reduces manual paper handling and ensures one central, secure repository for all critical documents. Document management/imaging system is absolutely necessary in the implementation of a central processing center.
Original official paper documents are properly destroyed after imaging and indexing are complete. Policies regarding records retention and destruction need to be revised to accommodate electronic storage of official records.
Enterprise software, such as PeopleSoft, provides the greatest return on investment when business processes are redesigned to be more uniform. The work of Project Enterprise and THESIS to unify UMS business processes supports this imperative.
Service is provided regardless of the software needed to process information. Center staff need to be trained to use multiple systems legacy and PeopleSoft in order to serve students effectively.
46
Best Practices University System Models
Best Practice Three System Models Implications for UMS redesign
South Dakota Board of Regents Enrollment Service Center (ESC) processes admission applications, financial aid verification, and student bills for seven universities in the system of higher education. Clear definition of legal authority of the Board as the holder of education records, with delegated authority to universities as custodians of student records allows for sharing of documents as needed. (required for imaging system) Original center had issues after deployment. New effort, called Electronic University Consortium (EUC), will rely more extensively on self-service, imaging, and alignment of policies across the universities to improve service. Staff were reassigned from campuses to create the center.
City University of New York (CUNY) University Application Processing Center founded in 1969. Open admission system for 17 schools. Today, handles all admissions application processing, F.A. document-ation, centralized transfer credit evaluation. Until last year, also produced all NYC Board of Ed transcripts for public schools. Does not handle graduate applications. Most efficient way to handle very large volume of transactions in this city-centric university system. Students contact the Office of Admission Services for document questions, not the center. Central training provided for all college staff
47
Best Practices - University System Models
Best Practice Three System Models Implications for UMS redesign
California State University The Common Management System (CMS) project, supports the deployment of PeopleSoft enterprise-wide for 23 university campuses. Started in 1998. Goals of CMS 1. Perform administrative functions with a common set of administrative "best practices" approaches. 2. Support administrative functions (initially human resources, financials, and student services) with a shared, common suite of Oracle/PeopleSoft applications software. 3. Operate the software suite at a shared data center. CMS is a technical shared center (think UNET Project Enterprise combined). It does not address student services at the transaction level. CMS provides baseline PeopleSoft technology and portal for each university to use when they are scheduled to deploy. A strong, central technology authority recognizes the strategic significance of technology to all university operations, while reducing costs due to redundant or inconsiste