Paperless Processing – Case Study 5
University of Essex
25 March 2010
Following agreement at the UCAS Change User Group (CUG) that a series of case studies demonstrating progress with paperless processing would be published on the SPA website, Joanne Tallentire, Deputy Director (Admissions), and Rob Mossop, Analyst Programmer, have provided a case study on the paperless admissions system implemented recently at Essex. Thanks are extended to Joanne and Rob for their work on this important area.
Admissions recording system in use / In-house admissions and student records systemsVolume of applications dealt with without paper / >15,000
Are all courses covered by paperless system? / All UCAS courses
Do the above include competitive and less competitive courses? / Yes
Is any printed record used? / The selection process is carried out entirely online. Interview report forms, together with UCAS form equivalents are printed for interviewers. Some processes are still paper-based, e.g. fee status assessments. All paper-based records are scanned into the Electronic Applicant File on completion of the process.
Are courses involving interviews included in the paperless system? / Yes
What additional support (development time, staff, funds) are required? / Specialist programming resource, based in the MIS section, approx 0.8 FTE
Is there buy-in/ support for the development from senior management? / Yes, the Vice-Chancellor is fully committed to the development and addressed admissions selectors at the launch event at the beginning of the academic year.
Has any quantitative statistical analysis of improved turnaround been produced? / Not yet, this is planned for the second cycle, i.e. October 2011 entry.
The Electronic Student Files Project
The University started work on the development of an Electronic Student File in the Registry in 2007. The first stage of the project was to develop an Electronic Applicant File (EAF) in Admissions, focusing initially on undergraduate (UG) applicants. The EAF system has been in operation since the beginning of the 2010 admissions cycle in October 2009. Electronic files for UG applicants whose places are confirmed in summer 2010 will be ‘handed over’ to the Registry from August 2010 onwards and will form the first tranche of Electronic Student Files. Work has now started on the project specification for the development of electronic applicant files for PGT applicants.
The University operates a highly centralised administration. Admissions is part of Communications & External Relations and the Registry is a part of the Academic Section. Both teams manage the delivery of centralised services from the University’s main campus in Colchester, but a number of functions are carried out at the University’s other campuses in Southend and Loughton.
Some key objectives of the project are shared between Admissions and Registry, namely:
§ efficiency gains, through effective use of resources, particularly office space and staff time involved in paper handling, filing, archiving etc;
§ increased effectiveness, by providing anytime, anywhere access to applicant/student files via the internet. This is particularly important for managing administration in a multi-campus environment;
§ environmental benefits accruing from much reduced use of paper and printing;
§ improved records management, by reducing duplication of paper records, and introducing standards for archiving and automated destruction of relevant records.
An additional objective for Admissions was to increase turnaround times from application to offer and to develop specific functionality in the EAF system to allow for more systematic monitoring of admissions processes.
Technology
The University has in-house Admissions and Student Records systems. Data is stored in Microsoft SQL Server 2008 and front line systems are developed on top of Uniface 8. Electronic applicant/student files are developed on top of Microsoft Sharepoint 2007, which draws data from relevant in-house databases (MS SQL 2008) and writes back to them in specific circumstances. Sharepoint delivers all content through a web browser, the current standard being Internet Explorer 8. All development has taken place in-house and is supported by a programmer with specialist Microsoft Sharepoint expertise based in Information Systems Services.
The Electronic Applicant File
The EAF has three main elements:
§ it is a document repository, i.e. a replacement for the paper file previously created for each UCAS applicant;
§ it is an online applicant viewer;
§ it provides workflow functionality to manage particular admissions processes.
Workflows currently available in the EAF allow the University to:
§ pass the file to academic admissions selectors to capture a decision and return the file to central Admissions;
§ support the interview process for a number of departments which routinely interview all UK applicants;
§ refer applicants who declare a disability or other relevant information to Student Support for assessment.
The EAF system draws data both from UCAS direct and from the University’s UG Admissions system. Individual EAFs are created at the point when they are imported from UCAS into the databases driving the UG Admissions system.
Managing Selection and Interviews
New applicants appear on a list of unprocessed applications, which is filtered automatically by UCAS code in order to assign the applicant to the relevant UG Admissions Adviser. The Adviser carries out a number of routine checks and then creates an electronic Decision Review Form (DRF), which is sent to the academic Admissions Selector’s Tasks List. The Selector reviews the applicant’s UCAS information online by accessing their individual EAF and then records the admissions decision in the DRF, at which point the workflow returns it to the Adviser’s list of processed applicants. The Adviser also has a list of applications under consideration to keep track of which Selector is dealing with which applicant. Both the Adviser and Selector can annotate the DRF with relevant information, e.g. the Adviser may provide advice on interpreting an unusual qualification and the Selector may make notes that could be relevant at Confirmation if the applicant is a ‘near miss’. The Selector can raise a request for additional discussion with the Adviser through the DRF. The DRF also provides a clickable link through to the University’s UG Admissions qualifications guidance. This includes information about the equivalence of different qualifications which Selectors may see less frequently.
Colour coding is used routinely in the EAF lists for Advisers and Selectors. This is a particularly important feature of the Selector Tasks List, in which applicants waiting for a selection decision are coloured green, amber or red to indicate how many days have passed since the DRF was sent to the Selector. The colour coding supports the University’s objective to turn Selector decisions around within five days.
Admissions Advisers continue to make relevant transactions on the UG Admissions system, which communicates direct with UCAS. The Selector’s decision to make an offer is captured within the EAF, but is also recorded formally on the UG Admissions system for transfer to UCAS. Communications with applicants, e.g. offer letters, are produced from the UG Admissions system, but all such outputs are ‘filed’ as electronic documents (eDocs) on the EAF in order to generate a comprehensive document repository that is the equivalent of the previous paper file.
Selector decisions include: make an offer - unconditional or conditional, unsuccessful and interview. Selecting the interview option on the DRF initiates a second workflow and relevant applicants then appear on a list of applicants to be interviewed. This is used by the Interview & Visit Day Co-ordinator to organise invitations to interviews and the preparation of material for interviewers. Interview Report Forms (IRFs) and a UCAS form equivalent are printed from the EAF system and distributed to interviewers in advance of each interview day. Completed IRFs are returned to Admissions for scanning after interview days: the form itself is turned into an eDoc in the relevant EAF. Some parts of the IRF are Optical Mark Recognition (OMR)-readable, and once the IRF is scanned, the applicant automatically appears on the relevant Adviser’s ‘processed by selector list’ for the Adviser to record the selection decision on the UG Admissions system and communicate the decision to the applicant.
Use of Paper
The EAF system provides a comprehensive electronic document repository for each individual applicant. Some admissions processes, such as fee status assessments and the ‘under 18s’ procedure, have remained paper-based in the first year of operation. However, on completion of any paper-based process the relevant documents are scanned into the EAF to ensure that it is comprehensive. Any documents received in electronic format from applicants or international agents are captured in the individual EAF by means of an electronic document uploader designed specifically for the EAF. Hard copy documents, such as certificates and transcripts, are scanned into the EAF.
The University is currently finalising the EAF system functionality required to support Confirmation. Given the volume of work and time pressures during Confirmation, a hard copy Confirmation Decision Form (CDF) will be produced for each applicant. This will be printed from the EAF system and will be used to check an applicant’s results against the offer made, and to record the decision made at confirmation. In addition to the results received at Confirmation, the form will include previous qualifications and any notes made by the Selector on the DRF at the time the offer was made. All decisions at Confirmation are signed off by a member of the UG Admissions team, and their signatures will be captured for the record when the CDF is scanned back into the EAF system. An OMR-readable section is being built into the CDF to enable systematic recording which identifies whether an applicant met the offer level or was accepted as a ‘near miss’ in Confirmation. This data will be written back to the UG Admissions system and will be used to inform admissions policy review and developments, e.g. to review current standard offer levels and the ratio of offers to be made in relation to places available.
Opportunities for Development
The development of reports to monitor turnaround times by course and Selector is already planned for implementation in the next admissions cycle, for October 2011 entry. Other opportunities for development have been identified and are at various stages of planning, including:
§ Integration with the recently implemented Customer Relationship Management (CRM) system for enquirers and applicants, specifically the development of facilities to enable applicants to book Visit and Interview Days from a list of available dates;
§ The publication of eDocs to applicants via the University’s myEssex applicant portal. (This is already done routinely for postgraduate applicants).
Some issues
§ Health and Safety. An assessment was carried by the University’s Occupational Health Adviser approximately two months after the EAF system was launched. Adjustments to workstations and working practices were recommended for individual Admissions Advisers. Specialist software that triggers an automated reminder to Advisers to take breaks at regular intervals has been loaded onto their PCs. On the whole, Advisers are happy using the new system. No specific assessments have been undertaken for academic Admissions Selectors.
§ Culture change. A small number of Selectors expressed concern before the launch of the EAF, but the move to the new system has been extremely smooth. A representative group of Selectors was consulted prior to implementation, and enhancement requests have been responded to as rapidly as possible to ensure that Selectors’ needs are being met. For example, a ‘print view’ was implemented within the EAF, providing Selectors with a UCAS form equivalent that can be viewed online. A launch event was held to demonstrate the system before it went live and hands-on training was provided for all Selectors.
§ Technology failure. Central server capacity was enhanced significantly to ensure that the EAF system was highly responsive. Some issues with system performance were experienced early in the implementation but these have been addressed to users’ satisfaction. A facility has been implemented to print UCAS form equivalents in bulk in case a system ‘go slow’ causes serious problems, but this has not been used to date.
§ IT support. The EAF system relies on specialist in-house programming expertise, which is currently vested in a single individual. This generates a high degree of dependence on an individual member of staff and is currently being addressed by training another programmer.
§ Changes to working relationships. There is much less face-to-face contact between Advisers and Selectors than in the past. Advisers are able to work with less disturbance but some regret the reduced interaction with academic colleagues.
§ Data protection. Before the introduction of the EAF system Selectors were asked not to take applicant files off-campus. Now they have access via the internet anytime and anywhere, albeit via a secure interface that requires their University login and password. An EAF-specific data protection policy is in development to ensure that personal data is managed appropriately and in accordance with data protection legislation.
SPA is very keen to hear from HEIs on this matter and volunteers to provide case studies would be extremely welcome – either from those of you who have already implemented a paperless/ paperlite system or from those of you who are experiencing any particular difficulties with this significant change. We do not underestimate the scale of this change for HEIs and hope that in the sharing of experiences and good practice it will become less of a challenge. Please contact Annie Doyle, SPA Senior Project Officer.