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

1. Transforming Higher Education Student Integrated Services (THESIS)CondensedSummary Report Presented to the UMS Functional Staff June 15, 2005

2. The work performed by the THESIS team is supported by University of Maine System’s (UMS) Strategic Plan Strategic Direction 7 - Centralize the System’s business/administrative functions, where appropriate, in order to leverage resources and increase effectiveness of service throughout the System. GOALSThe Strategy #7 Committee’s 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. • APPROACHESIn 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 student’s 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 today’s 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 * 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. Step 4 Step 3 Step 2 Step 1 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. Step 5 Step 6 Step 7 AdmissionsDraft Mid-Level TO-BE Process Location Map (Cont.) Review Applicant File Make Admissions Decision Notify Applicant 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 • Provide and maintain tools to support Universities (C) • Generate appropriate decision letter including enclosures (denies include information on internal referral service) (C) • Follow-up, ongoing communications with new admits (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. Step 10 Step 11 Step 9 Step 8 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 • 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) • Send letter of withdrawal to non responders • Process non-responders based on university-defined rules (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 AdmissionsProcess 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 • Advising’s 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

12. AdvisingDraft Mid-Level TO-BE Process Map STEP 2 STEP 4 STEP 1 STEP 3 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 • Determine a particular student’s 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 • 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. 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

14. To-Be AdvisingProcess 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 today’s 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) • Assumes local university capability and responsibility for determining registration appointment rules. (U) • Registration intervention for exceptions (e.g. overrides, prerequisites, withdrawals / cancellations) (U) • Self Register (S) • Enter Grades (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) • 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. • 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) • 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 President’s 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

19. 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 applicant’s 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 university’s 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 applicant’s 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) • Process loan mechanically or manually (C) • Notify student (C) • Manage EFT process (C) • Reconcile issues and problems (C) • Conduct mandatory entrance interviews (electronically or in person) (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 “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/February 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

45. Best Practices - Processing Center

46. Best Practices – University System Models

47. Best Practices - University System Models

48. Best Practices - University One-Stops

49. Best Practices for University One-Stops

50. Best Practices - Summary • UMS is breaking ground in designing a transparent center serving seven distinct institutions • Best practices research revealed great success with campus-based One-Stops, supported by robust web-based services, and considerable technological support to keep all services operating and in synch • While the core goal is improved service to students, employees are more satisfied with the opportunity for job enrichment, cross training and potentially an improved work atmosphere • The UMS design is a symbiotic approach: • The Center cannot function at its highest efficiency without the support of the universities in redesigning their processes, and moving to a One-Stop model. • University-specific student services will be greatly enhanced if the Center can efficiently and effectively manage web-based services and provide technology tools for university staff to provide personal, interactive service at the One-Stops at the universities.