Development of the Enterprise Architecture as Phase 1 for a National Post-School Education & Training Central Application Service

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1 Development of the Enterprise Architecture as Phase 1 for a National Post-School Education & Training Central Application Service PwC Higher Education Conference 31 August 2015

2 Outline Project Approach and Progress to date Enterprise Architecture Overview Service Model Definition Service Model Overview, Principles and Value Chain Service Model Components Target Market Service Partners Central Programme Data Store User Fees and Funding Application Handling and Processing Selection and Acceptance Scenarios Application and Information Technology Components Institutional Mechanisms and Entity Options Way Forward

3 PROJECT APPROACH AND PROGRESS TO DATE 04/09/2015 3

4 Project Objectives and Approach Development of a fully comprehensive enterprise architecture and implementation plan for a seamless national Post-School Education & Training Central Application Service (PSET CAS). Ensure that all aspects pertaining to a fully functional and internationally competitive central applications service have been considered Take account that the CAS is envisaged to be a statutory body 1. PMO 3. Service Model 4.1 Gover nance 9. Project Management & QA 4.2 SOPs 4.3 ICT 4.4 HRM 2. Enterprise Architecture Review 5.1 Advocacy 5.2 Stakeholder Management 5.3 Monitoring & Evaluation 6. Implementation Plan 7. Cost Estimates 8. Consolidated Enterprise Architecture 04/09/2015 4

5 Service Model Definition Process The Service Model and concepts set out in this document have been consulted and workshopped as follows : Internal Project Team 6 May 2015 Initial concepts Various individual stakeholder engagements KZN CAO Site Visit 5 May 2015 NSFAS 8 May 2015 Department of Labour 16 May 2015 Various University Admissions Offices Service Model Working Group 7 July 2015 Technical Working Group 9 July 2015 CAS Advisory Committee 16 July 2015 USA Registrars Forum 28 July 2015 CAS Steering Committee 30 July 2015 The contents have been updated with suggestions and comments received Service Model has been approved for submission to the Minister 04/09/2015 5

6 ENTERPRISE ARCHITECTURE OVERVIEW 04/09/2015 6

Definitions Gartner Group: Enterprise architecture is the process of translating business vision and strategy into effective enterprise change by creating, communicating, and improving the key

7 Definitions Gartner Group: Enterprise architecture is the process of translating business vision and strategy into effective enterprise change by creating, communicating, and improving the key principles and models that describe the enterprise s future state and enable its evolution. Learning Strategies: Enterprise Architecture translates the concept or vision for a future business or organisation into a design document that defines how the business should operate, be structured and supported with technology and processes Key Principles: Keep it simple Establish a based line for the establishment of the proposed entity 04/09/2015 7

8 Typical Components Strategy & Business Objectives / Drivers Business Model / Service Model Value Chain / Conceptual Design Operating Model / Operating Schedule / Business Rules Governance Model / Policy Framework (usually only for public organisations) Process Model (differing levels depending on whether existing or new business) ICT architecture (Data / Applications / Integration / Physical) Organisation Structure / Job Profiles Performance Indicators 04/09/2015 8

9 SERVICE MODEL OVERVIEW PRINCIPLES AND VALUE CHAIN 04/09/2015 9

10 Perceived Stakeholder Expectations Academic Funding Government : DHET Institutions Applicants Improve access to PSET opportunities Information for Planning and Steering Visibility of application data Applicants HEMIS data requirements Efficient allocation of funding to students Avoidance of duplicate funding Retain admissions autonomy To select appropriate applicants Simplicity Real time information Accurate Complete Meets requirements Funding available to students Selection of students with funding Access to funding status and process Simplicity Ease of access One application Advice Low cost Access to PSET opportunities Residential housing application Access to funding (NSFAS and Other) Early assessment of eligibility and where possible commitment to funding 04/09/

11 Key Principles for a CAS Service Model Policy and legislative matters are the responsibility of the DHET inter-branch steering committee DHET should be responsible for ensuring the appropriate compliance with the implementation of the CAS Participation should be compulsory for all applications (not voluntary participation by institutions) Focus is strictly applications handling not admissions Target market is Entering undergraduates into PSET (refer detail below) A single point for information and access into the PSET, similar to CACH The final objective is one application, one fee with an affordable application fee Integrated application for Study, Learnerships, Apprenticeships, Scholarships, Student housing and Funding Funding from Both NSFAS and other sources including funding from Intuitions 04/09/

12 Key Principles for a CAS Service Model (2) Visibility of selection and offering by institution Accommodate full cycle service from application through status changes to confirmed offer and acceptance Resolve or substantially address the multiple acceptances and registration uncertainty A single database of all applications and applicants Seamless transfer of data between CAS, institutions and applicants Receive feedback data of walk-in students especially/specifically at skills centres and community colleges to close the loop Once an institution selects a student, communication should be directly between institution and applicant with CAS assistance if required The CAS should be self-funding 04/09/

13 Service Model - Value Chain Policy & Legislation Programme Definition Outreach & Training Application Handling Interface with Institutions NSFAS Funding Integration Clearing House & Application Closing Reporting Monitoring & Evaluation CDS/NCAP integration Two-way Communication with Applicants Receive & Process Application Application Handling Receive & Match Application Fee Receive & Process Supporting Docs Receive & Process Change of Mind Interface with Institutions Analysis Of Needs Requirement Send Data to Institutions Receive Data from Institutions Online Applications Portal 04/09/

14 Generic High Level Service Model Service Partners DBE A p p l i c a n t s Department of Higher Education and Training Policy & Legislation National Public Entity Central Application Service Contact Centre Outreach and Distribution Cloud Based Hosted Central Database Qualifications & Programmes Dept of Home Affairs Board Central Application Service Outreach and Distribution SARS DBE IEB CIE 04/09/ Outreach and Distribution Programme Definition Application Handling Outreach & Training Clearing House Reporting & Monitoring Interface & integration DAFF DoD DoH DoL Universities SETAs TVETs Community Colleges Private Colleges Career Development NSFAS NSF Other Funders NLRD/SAQA NGOs 14

15 Functional Decomposition Policy, Legislation and Compliance Distributed services Outreach Promotion Training Distribution Centralised Services Application handling factory (Receiving, processing) Payment processing and reconciliation Database management and integration Clearing house Monitoring and reporting Self Service Programme submission and data management 04/09/

16 SERVICE MODEL COMPONENTS 04/09/

17 Target Market All entering undergraduates - applications for entering undergraduates into Post School Education and Training to programmes leading to NQF-approved qualifications from PSET institutions that applicant has not previously attended The main aim is School leavers from Grade 9 to Grade 12 Entering undergraduates into PSET Adult learners Foreign students To ensure all school leavers get access to all the possible opportunities To enable DHET to effectively plan to match supply and demand in PSET Applications will be for Programmes as specified by individual institutions Institutions can enrol or admit at a more detailed level Target market specifically excludes Returning students and re-commencement of previously registered programmes Post graduate students Unregistered courses and short courses not linked to NQF Programmes that do not lead to NQF-approved qualifications Transfers between institutions Conversion to another course within same institution 04/09/

18 Services Promotion Apply Now, targeted activations, promoting advise on courses and opportunities available in the PSET system Advice Support for career and education advice Applications Receive and submit applications Communicate With applicants and institutions / partners Referrals Refer applicants that are unsuccessful to other institutions / opportunities Clearing house POPI compliance applicants must give limited permission Career counseling Registration Receive information regarding registrations Information Reporting and data 04/09/

19 Service Partners All institutions offering PSET opportunities Universities Public Applications Private Applications and Registration TVET Colleges Public and Private Applications and referrals Community Colleges Applications Referrals and Registration Other Colleges Applications (Nursing, Agriculture, SAPS) SETAs Interface between applicants and employers Skills Centres and Programmes Registrations and referrals DHET and all users of PSET information for planning and sector management Financiers and funding agencies including NSFAS Career development services 04/09/

20 Central Programme Data Store There are multiple users of Programme Data CAS CHE Career Development / NCAP NLRD Significant value can be created for institutions by creating a self-service / self-maintained data store for all programme data Data store must include all information including requirements Data should be supplied by institutions but verified by DHET 04/09/

21 User Fees and Funding CAS can and should be self-funding Application becomes a valid application when payment is received Application submitted but not paid should be visible to institutions to enable them to select and pay on behalf of applicant Fee should be levied for change of mind application (one free change of mind) No fee payable in case of referral Walk-ins must pay application fee on registration Registrars Forum Recommendations Single fee for one or more applications Higher fee for non-sadc applications Fee for change of mind Incentivise online applications 04/09/

22 Current Application Form Data Entities An analysis of the current application forms used by Universities shows 102 distinct data entities in use across 17 different institutions analysed (an entity can contain multiple fields, e.g. a postal address entity would have 3 address lines, a town name and a postal code) Of these 30 entities are used by 10 or more institutions, a further 17 by 5 or more institutions and the balance by fewer than 5 institutions Some of the latter entities could be consolidated into entities used more commonly For instance, while most institutions require personal information of one parent or guardian, a few institutions require separate personal information for Mother, Father and Guardian The number of data entities on the application form could be standardised and consolidated, probably to no more than 50 to 60 entities, possibly less if institutions can be convinced to gather institution-specific entities on registration of confirmed applicants. The number of entities to be completed by applicants can be reduced further on online applications where the requirement for certain entities could be reduced depending on conditions (e.g. family income information is required only if funding is required) Need to cater for HEMIS reporting requirements 04/09/

23 Application Flow Stage 1 Application Handling Com Com Com Mailed App & Add Docs/CoM ed Apps & Add Docs/CoM Online App & Add Docs/CoM Walk-in/Call for assistance/com Scan App & Add Docs OCR / Capture App & Add Docs Call Centre / Assisted App Submit App QA & Screen Viability of App Funding Eligible? Confirm Payment Walk-in Application Natl ID NSFAS Eligible Service Easypay / Bank / Card DBE/ IEB SAQA 04/09/2015 NLRD 23

24 Online Application Process (1 of 2) 1. Register / Login 2. Start new application / Prompt to choose existing application (view only if application closed) 3. Capture application information Biographical information Demographical information Educational results to date Programme information (multiple programmes allowed, indicating residence requirements for each selected programme) Funding requirements and information Additional information, as required for specific programme and/or funding selections Attach supporting documents, as required by programme and/or funding selections 4. Submit application (when complete) 04/09/

25 Online Application Process (2 of 2) 5. Quality Assurance / Screening External databases are referenced to obtain external information for the application, including National ID, DBE/IEB, SAQA NLRD Applications are reviewed for quality, possibly on a sample basis Applications are reviewed for completeness and where incomplete for a defined period trigger communication to the applicant Applications are screened for viability, and where considered nonviable, trigger a counselling process that could trigger the applicant to initiate a Change of Mind 6. NSFAS Funding Eligibility 7. Alternative Funding Eligibility, e.g. Top-up Funding, Institutional Bursary, etc. 8. Payment Confirmation 9. Proceed to Stage 2 of Application Flow 04/09/

26 Application Flow Stage 2 Key Principles The interface between CAS and institutions should be based on a number of key principles: The CAS will perform no function whatsoever in terms of selection or admissions and will only act directly on specifications and instructions from institutions Complete applications received which meet specified programme requirements should immediately be submitted to individual institutions Institutions will be provided the option to either receive all applications received or all applications that meet requirements Individual institutions will only see the applications made to their specific institution and the status of applications made to other institutions Institutions will not have access to detailed information relating to the other institutions applied for or in fact the order in which applications have been submitted 04/09/

27 Application Flow Stage 2 Key Principles The interface between CAS and institutions should be based on a number of principles: Multiple applications for different programmes to a single institution will need to carry the order of preference for the various programmes applied for Institutions will benefit significantly from the funding integration to NSFAS and potentially other funding agencies by receiving confirmation of funding eligibility or even provisional funding subject to academic acceptance at approved institutions. Offers made by institutions may have expiry dates as selected by institution Institutions applied for as well as the status of each application should be visible Institutions should be able to identify where individual applicants to that institution have received provisional acceptance or confirmed acceptance at another institution or any other status change Applicants can accept more than one offer from an institution, but this will be visible in the system 04/09/

28 Application Flow Stage 2 Application Management Programme Application Pending Offer Wait Listed Regret Application Withdrawn Offer Declined Offer Taken Up Offer Withdrawn Offer Cancelled 04/09/

29 Application Flow Stage 2 Selections / Offers Upon receipt of an application, the institution will then conduct its selection processes which could include further tests, interviews and/or other requirements and ultimately revert its decision as either A Pending status, meaning that a decision is pending further tests, interviews and/or other requirements A Regret decision, meaning that the application was not successful An Offer decision, meaning that an offer of acceptance is made to the applicant. The Offer can be either Provisional, meaning that the offer is subject to achieving grade 12 examination results; or Non-conditional, meaning that the offer is firm and has no conditions Institutions should also be able to Wait-list applicants for possible future acceptance Aim should be to close-out applications as soon as possible Funding and application should be tied together 04/09/

30 Application Flow Stage 2 Offer Acceptance Once an offer is made to an applicant, the applicant can Decline the offer, enabling the institution to make an offer to an alternative applicant Take Up the offer The applicant can also withdraw the application before an institution makes a decision The institution can also Withdraw the offer if The offer has Expired Other offers have been taken up by the applicant In instances of multiple acceptances (refer scenarios below): There is visibility of multiple acceptances There could be a cut-off date for multiple acceptances when the acceptance should be reduced to only one 04/09/

31 Application Flow Stage 2 Updates & Monitoring Throughout this period of interfaces with institutions, the CAS will: Update applicant and programme application statuses visible to institutions with information such as Funding approval granted to applicant and/or specific programme applications Offers accepted by applicant Monitor open programme applications, and if programme applications have been Regretted, immediately trigger a process to encourage the applicant to perform a Change of Mind, or counsel the applicant or, eventually, manage the applicant through the Clearing House Monitor open programme applications, and notify / escalate to institutions if decisions are not made. These notifications / escalations will be based on exception rules, such as: Open applications where other decisions have been made for the same programme Open applications where no decisions have been made for the programme 04/09/

32 Multiple Offer and Acceptances Objective is to resolve the issues caused by Multiple offers remaining open and limiting offering of places to other applicants Applicants accepting multiple offers Applicant priority of choice invisible to competing institutions, but choices in an institution visible to that institution Offer acceptance Scenarios : Option 1 : Visibility All offer status updates immediately visible including confirmed acceptance of offer by Applicant Options 2 : Applications and offers in applicants order of preference If offer from a higher selected ranking is rejected, the system moves to follow ranking Option 3 : Only one acceptance allowed Acceptance by an applicant automatically rejects other offers Option 4 : Offers with expiry dates Institutions to determine the expiry dates An offer not accepted before expiry is effectively withdrawn Firm recommendation = Combination of Options 1 and 4 with an optional Deposit requirement 04/09/

33 Current Scenario Status Quo Institution Programme Offer status Applicant response Deposit Registration Institution 1 Programme A Rejected Institution 1 Programme B Provisional Offer Registered Institution 1 Programme C Provisional Offer Institution 2 Programme A Rejected Institution 2 Programme B Provisional Offer No Show Institution 3 Programme A Provisional Offer No Show Institution 4 Programme A Rejected Institution 5 Programme A Provisional Offer No Show 04/09/

34 Scenario 1 : Visibility All offer status updates immediately visible including confirmed acceptance of offer by Applicant Scenario 1 : Visibility Institution Programme Offer status Applicant response Deposit Registration Institution 1 Programme A Rejected No response Institution 1 Programme B Provisional Offer Accepted Paid Registered Institution 1 Programme C Provisional Offer No response Institution 2 Programme A Rejected No response Institution 2 Programme B Provisional Offer Accepted Outstanding Institution 3 Programme A Provisional Offer Accepted Outstanding Institution 4 Programme A Rejected No response Institution 5 Programme A Provisional Offer No response 04/09/

35 Scenario 2 : Applications and offers in applicants order of preference If offer from a higher selected ranking is rejected, the system moves to follow ranking Scenario 2 : Applicants order of Preference Institution Programme Offer status Applicant response Deposit Registration Institution 1 Programme A Rejected Move to application 2 Institution 1 Programme B Provisional Offer Accepted Paid Registered Institution 1 Institution 2 Institution 2 Institution 3 Institution 4 Institution 5 Programme C Programme A Programme B Programme A Programme A Programme A 04/09/

36 Scenario 3 : Only one acceptance allowed Acceptance by an applicant automatically rejects other offers Scenario 3 : Only one acceptance allowed Institution Programme Offer status Applicant response Deposit Registration Institution 1 Programme A Rejected No response Institution 1 Programme B Provisional Offer Accepted Paid Registered Institution 1 Programme C Provisional Offer CAS Notification that offer can be withdrawn Institution 2 Programme A Rejected CAS Notification that offer can be withdrawn Institution 2 Programme B Provisional Offer CAS Notification that offer can be withdrawn Institution 3 Programme A Provisional Offer CAS Notification that offer can be withdrawn Institution 4 Programme A Rejected CAS Notification that offer can be withdrawn Institution 5 Programme A Provisional Offer CAS Notification that offer can be withdrawn 04/09/

37 Scenario 4 : Offers with expiry dates Institutions to determine the expiry dates An offer not accepted before expiry is effectively withdrawn Scenario 4 : Offers with Expiry Dates Institution Programme Offer status Applicant response Deposit Registration Institution 1 Programme A Rejected No response Institution 1 Programme B Provisional Offer Accepted Paid Registered Institution 1 Programme C Provisional Offer No response Institution 2 Programme A Rejected No response Institution 2 Programme B Provisional Offer Accepted Offer expires and is withdrawn Institution 3 Programme A Provisional Offer Accepted Offer expires and is withdrawn Institution 4 Programme A Rejected No response Institution 5 Programme A Provisional Offer No response Offer expires and is withdrawn 04/09/

38 APPLICATION AND INFORMATION TECHNOLOGY ARCHITECTURE 04/09/

39 Technology Components already in KZN CAO Web F/E Mobile F/E CAS F/E Institution F/E Reporting platform Old CACH Content Manager Scanning Functionality Document Manager CDS DBE CAS Application & Workflow Engine Integration Layer NSFAS CAS Finance SMS/ Service User Directory ITS Contact centre Easypay SETA Information System NCAP IEB NSF Peoplesoft Career Sites SAQA NLRD Other Funding Open W/service Bank 04/09/ Flat File

40 INSTITUTIONAL MECHANISMS AND ENTITY OPTIONS 04/09/

41 Initial Options Considered Brownfields Greenfields Use existing Option 1 Establish in a New DHET Public Entity. Design and build new CAS entity based on Best Practice Option 2A Established in New or Existing DHET Public Entity with own capability to deliver services Option 2 Base CAS on existing capability (CAO and NSFAS) and institutional best practice Option 2B Established in New or Existing DHET Public Entity to procure services from suitable providers Option 2C Established in New or Existing DHET Public Entity with certain functions and procure certain services 04/09/

42 Option 1 & 2A CAS Public Entity under DHET Service Partners DBE A p p l i c a n t s Department of Higher Education and Training Policy & Legislation National Public Entity Central Application Service Single Point PSET Contact Centre Central Application Service Outreach and Distribution Cloud Based Hosted Central Database Qualifications & Programmes Dept of Home Affairs Board Outreach and Distribution SARS DBE IEB CIE 04/09/ Programme Definition Application Handling Clearing House Outreach and Distribution Outreach & Training Reporting & Monitoring Interface & integration DAFF DoD DoH DoL Universities SETAs TVETs Community Colleges Private Colleges Career Development NSFAS NSF Other Funders NLRD/SAQA NGOs 42

43 Option 2B Entity procures services A p p l i c a n t s Department of Higher Education and Training Policy & Legislation National Public Entity Central Application Service Cloud Based Hosted Central Database Qualifications & Programmes Central Applications Service Providers Single Point PSET Contact Centre Dept of Home Affairs Outreach and Distribution Central Application Service Outreach and Distribution Board Services Contract Board of SP SARS DBE IEB CIE 04/09/ Outreach and Distribution Programme Definition Application Handling Outreach & Training Clearing House Reporting & Monitoring Interface & integration Service Partners DBE DAFF DoD DoH DoL Universities SETAs TVETs Community Colleges Private Colleges Career Development NSFAS NSF Other Funders NLRD/SAQA NGOs 43

44 Option 2C Entity manages own as well as procures services A p p l i c a n t s Department of Higher Education and Training Policy & Legislation National Public Entity Central Application Service Cloud Based Hosted Central Database Qualifications & Programmes Central Applications Service Providers Programme Definition Clearing House Outreach and Distribution Outreach and Promotion Dept of Home Affairs Distribution Outreach and Distribution Board Central Application Service Single Point PSET Contact Centre Reporting & Monitoring Services Contract Training SARS DBE IEB CIE 04/09/ Outreach and Distribution Application Handling Training Interface & integration Service Partners DBE DAFF DoD DoH DoL Universities SETAs TVETs Community Colleges Private Colleges Career Development NSFAS NSF Other Funders NLRD/SAQA NGOs 44

45 WAY FORWARD 04/09/

46 Way Forward Ministerial submission has been prepared for approval of the Service Model Business and Operating Model in progress Further engagement with KZN CAO to take place International research to validate aspects of the service model Project completion targeted for December 2015 Further consultation to take place in Q Detailed design including systems specification expected in 2016 Target full operations for University Sector by March /09/

Thank you Learning Strategies Department of Higher Education Chris Elfick 0825548977 chris@learningstrat.

47 Thank you Learning Strategies Department of Higher Education Chris Elfick Dr Engela van Staaden Dr Marc Weber Chris Beukes

STUDENT CENTRED MODEL PCHET BRIEFING. 15 February 2017

STUDENT CENTRED MODEL PCHET BRIEFING 15 February 2017 1 EXECUTIVE SUMMARY Key Points External Engagements Completed VC s, Registrars, CFO, FAO, Student Relations and Institutions working groups Out-going