Development of the Enterprise Architecture as Phase 1 for ... · Development of the Enterprise...

Development of the EnterpriseArchitecture as Phase 1 for a

National Post-School Education &Training Central Application Service

PwC Higher Education Conference31 August 2015

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

PROJECT APPROACH ANDPROGRESS TO DATE

04/09/2015 3

Project Objectives and Approach

• Development of a fully comprehensive enterprise architecture andimplementation plan for a seamless national Post-SchoolEducation & Training Central Application Service (PSET CAS).

• Ensure that all aspects pertaining to a fully functional andinternationally competitive central applications service have beenconsidered

• Take account that the CAS is envisaged to be a statutory body

04/09/2015 4

1.PMO

9.Project Management & QA

3.ServiceModel

4.1Governance

4.2SOPs

4.3ICT

4.4HRM

2. Enterprise Architecture Review

5.1Advocacy

5.2Stakeholder

Management

5.3Monitoring

& Evaluation

6.

Imp

lem

enta

tio

nP

lan

7.Cost

Estimates

8.

Co

nso

lidat

edEn

terp

rise

Arc

hit

ectu

re

Service Model Definition Process

• The Service Model and concepts set out in this document havebeen 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 commentsreceived

• Service Model has been approved for submission to the Minister

04/09/2015 5

ENTERPRISE ARCHITECTUREOVERVIEW

04/09/2015 6

Definitions

04/09/2015 7

• Gartner Group: “Enterprise architecture isthe process of translating business visionand strategy into effective enterprisechange by creating, communicating, andimproving the key principles and modelsthat describe the enterprise’s future stateand enable its evolution.”

• Learning Strategies: “EnterpriseArchitecture translates the concept orvision for a future business or organisationinto a design document that defines howthe business should operate, bestructured and supported with technologyand processes”

• Key Principles:– Keep it simple

– Establish a basedline for theestablishment ofthe proposedentity”

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 publicorganisations)

• Process Model (differing levels depending on whether existingor new business)

• ICT architecture (Data / Applications / Integration / Physical)

• Organisation Structure / Job Profiles

• Performance Indicators

04/09/2015 8

SERVICE MODEL OVERVIEWPRINCIPLES AND VALUE CHAIN

04/09/2015 9

Perceived Stakeholder Expectations

Government : DHET Institutions Applicants

Aca

de

mic

• Improve access to PSETopportunities

• Information for Planningand Steering

• Visibility of applicationdata

• Applicants HEMIS datarequirements

• Retain admissionsautonomy

• To select appropriateapplicants

• Simplicity• Real time information• Accurate• Complete• Meets requirements

• Simplicity• Ease of access• One application

• Advice• Low cost• Access to PSET

opportunities• Residential housing

application

Fun

din

g

• Efficient allocation offunding to students

• Avoidance of duplicatefunding

• Funding available tostudents

• Selection of studentswith funding

• Access to funding statusand process

• Access to funding(NSFAS and Other)

• Early assessment ofeligibility and wherepossible commitment tofunding

04/09/2015 10

Key Principles for a CAS Service Model

• Policy and legislative matters are the responsibility of the DHETinter-branch steering committee

• DHET should be responsible for ensuring the appropriatecompliance with the implementation of the CAS

• Participation should be compulsory for all applications (notvoluntary 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

04/09/2015 11

Key Principles for a CAS Service Model (2)

• Visibility of selection and offering by institution

• Accommodate full cycle service from application through statuschanges to confirmed offer and acceptance

• Resolve or substantially address the multiple acceptances andregistration 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/specificallyat skills centres and community colleges to “close the loop”

• Once an institution selects a student, communication should bedirectly between institution and applicant with CAS assistance ifrequired

• The CAS should be self-funding

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Service Model - Value Chain

04/09/2015 13

Policy &Legislation

ProgrammeDefinition

Outreach&

Training

ApplicationHandling

Interfacewith

Institutions

NSFASFunding

Integration

ClearingHouse &

ApplicationClosing

ReportingMonitoring

&Evaluation

Application Handling

Receive &Process

Application

Receive &Match

ApplicationFee

Receive &Process

SupportingDocs

Receive &Process

Change ofMind

Interface with Institutions

Analysis OfNeeds

Requirement

Send Data toInstitutions

Receive Datafrom

Institutions

OnlineApplications

Portal

Two-way Communication with ApplicantsCDS/NCAPintegration

CIE

Service Partners

Universities

CommunityColleges

TVETs

NLRD/SAQA

OtherFunders

DoL

DoH

DoD

NSF

NSFAS

CareerDevelopment

SETAs

DAFF

DBE

NGOs

PrivateColleges

Generic High Level Service Model

04/09/2015 14

14

Outreach andDistribution


Programme Definition

Clearing House

Reporting & Monitoring



ContactCentre

Central Application Service

Outreach & Training

Interface&

integration

Policy & Legislation

Department of Higher Education and Training

BoardA

p

p

l

i

c

a

n

t

s

SARS DBE IEBDept of

Home Affairs

Qualifications & Programmes

Cloud Based HostedCentral Database

National Public Entity Central Application Service

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

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SERVICE MODEL COMPONENTS

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Target Market

• All entering undergraduates - applications for entering undergraduates intoPost School Education and Training to programmes leading to NQF-approvedqualifications from PSET institutions that applicant has not previouslyattended

• 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

04/09/2015 17

Services

• Promotion “Apply Now”, targeted activations, promoting advise oncourses 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 toother institutions / opportunitiesClearing house

POPI compliance – applicants must give limitedpermissionCareer counseling

• Registration Receive information regarding registrations

• Information Reporting and data

04/09/2015 18

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

04/09/2015 19

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 aself-service / self-maintained data store for all programmedata

• Data store must include all information – includingrequirements

• Data should be supplied by institutions but verified by DHET

04/09/2015 20

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 institutionsto enable them to select and pay on behalf of applicant

• Fee should be levied for “change of mind” application (one freechange 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

04/09/2015 21

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 moreinstitutions and the balance by fewer than 5 institutions

– Some of the latter entities could be consolidated into entities used morecommonly

• For instance, while most institutions require personal information of one parent orguardian, a few institutions require separate personal information for Mother, Father andGuardian

– The number of data entities on the application form could be standardised andconsolidated, probably to no more than 50 to 60 entities, possibly less ifinstitutions can be convinced to gather institution-specific entities on registrationof confirmed applicants.

– The number of entities to be completed by applicants can be reduced further ononline applications where the requirement for certain entities could be reduceddepending on conditions (e.g. family income information is required only if fundingis required)

• Need to cater for HEMIS reporting requirements

04/09/2015 22

Application Flow Stage 1 – Application Handling

04/09/2015 23

Online App & AddDocs/CoM

Call Centre /Assisted App

Emailed Apps &Add Docs/CoM

Mailed App &Add Docs/CoM

Scan App &Add Docs

OCR / CaptureApp & Add Docs

Walk-in/Call forassistance/CoM

Sub

mit

Ap

p

Com

FundingEligible?

ConfirmPayment

NSFAS EligibleService

Easypay /Bank / Card

Com

QA

&Sc

ree

nV

iab

ility

of

Ap

p

Com

Walk-in Application

NatlID

DBE/IEB

SAQANLRD

Online Application Process (1 of 2)

1. Register / Login

2. Start new application / Prompt to choose existing application (viewonly if application closed)

3. Capture application information– Biographical information

– Demographical information

– Educational results to date

– Programme information (multiple programmes allowed, indicatingresidence requirements for each selected programme)

– Funding requirements and information

– Additional information, as required for specific programme and/or fundingselections

– Attach supporting documents, as required by programme and/or fundingselections

4. Submit application (when complete)

04/09/2015 24

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 fora defined period trigger communication to the applicant

– Applications are screened for viability, and where considered non-viable, trigger a counselling process that could trigger the applicant toinitiate 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

04/09/2015 25

Application Flow Stage 2 – Key Principles

The interface between CAS and institutions should be based on a number ofkey principles:

• The CAS will perform no function whatsoever in terms of selection oradmissions and will only act directly on specifications and instructionsfrom institutions

• Complete applications received which meet specified programmerequirements should immediately be submitted to individual institutions

– Institutions will be provided the option to either receive all applicationsreceived or all applications that meet requirements

• Individual institutions will only see the applications made to their specificinstitution 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

04/09/2015 26

Application Flow Stage 2 – Key Principles

The interface between CAS and institutions should be based on a number ofprinciples:

• Multiple applications for different programmes to a single institution willneed to carry the order of preference for the various programmes applied for

• Institutions will benefit significantly from the funding integration to NSFAS andpotentially other funding agencies by receiving confirmation of fundingeligibility or even provisional funding subject to academic acceptance atapproved 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 bevisible

• Institutions should be able to identify where individual applicants to thatinstitution have received provisional acceptance or confirmed acceptance atanother institution or any other status change

• Applicants can accept more than one offer from an institution, but this will bevisible in the system

04/09/2015 27

Application Flow Stage 2 – Application Management

04/09/2015 28

ProgrammeApplication

Offer RegretApplicationWithdrawn

Offer Declined Offer Taken Up Offer Withdrawn

Offer Cancelled

Pending Wait Listed

Application Flow Stage 2 – Selections / Offers

• Upon receipt of an application, the institution will then conduct itsselection processes which could include further tests, interviews and/orother requirements and ultimately revert its decision as either

– A Pending status, meaning that a decision is pending further tests, interviewsand/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 theapplicant. The Offer can be either

• Provisional, meaning that the offer is subject to achieving grade 12 examinationresults; or

• Non-conditional, meaning that the offer is firm and has no conditions

– Institutions should also be able to Wait-list applicants for possible futureacceptance

• Aim should be to close-out applications as soon as possible

• Funding and application should be tied together

04/09/2015 29

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 alternativeapplicant

– Take Up the offer

• The applicant can also withdraw the application before an institutionmakes 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 acceptanceshould be reduced to only one

04/09/2015 30

Application Flow Stage 2 – Updates & Monitoring

Throughout this period of interfaces with institutions, the CAS will:

• Update applicant and programme application statuses visible toinstitutions 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 applicationshave been Regretted, immediately trigger a process to encourage theapplicant 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 toinstitutions if decisions are not made. These notifications / escalationswill 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

04/09/2015 31

• 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 choicesin an institution visible to that institution

• Offer acceptance Scenarios :– Option 1 : Visibility

• All offer status updates immediately visible including confirmed acceptance of offer byApplicant

– 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

Multiple Offer and Acceptances

04/09/2015 32

Firm recommendation = Combination of Options 1 and 4with an optional Deposit requirement

Current Scenario

04/09/2015 33

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 B Provisional Offer No Show

Institution 3 Programme A Provisional Offer No Show


Institution 5 Programme A Provisional Offer No Show

Scenario 1 : Visibility

• All offer status updates immediately visible includingconfirmed acceptance of offer by Applicant

04/09/2015 34

Scenario 1 : Visibility


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 B Provisional Offer Accepted Outstanding

Institution 3 Programme A Provisional Offer Accepted Outstanding


Institution 5 Programme A Provisional Offer No response

Scenario 2 : Applications and offers in applicants order of preference

• If offer from a higher selected ranking is rejected, the systemmoves to follow ranking

04/09/2015 35

Scenario 2 : Applicants order of Preference


Institution 1 Programme A Rejected Move to application 2


Institution 1 Programme C

Institution 2 Programme A

Institution 2 Programme B




Scenario 3 : Only one acceptance allowed

• Acceptance by an applicant automatically rejects other offers

04/09/2015 36

Scenario 3 : Only one acceptance allowed




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

Scenario 4 : Offers with expiry dates

• Institutions to determine the expiry dates

• An offer not accepted before expiry is effectively withdrawn

04/09/2015 37

Scenario 4 : Offers with Expiry Dates




Institution 1 Programme C Provisional Offer 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 5 Programme A Provisional Offer No response Offer expires and is withdrawn

APPLICATION AND INFORMATIONTECHNOLOGY ARCHITECTURE

04/09/2015 38

Technology Components already in KZN CAO

04/09/2015 39

Web F/E CAS F/E Institution F/E

CASApplication

&Workflow

Engine

Old CACH CDS

NCAP

Career Sites

DBE

SAQA NLRD

NSFAS

NSF

OtherFunding

ITS

Peoplesoft

OpenW/service

Flat File

Easypay

Pay@

Bank

SMS/EmailService

CAS Finance

ScanningFunctionality

ContentManager

Integration Layer

IEB

Mobile F/E

UserDirectory

DocumentManager

Contactcentre

SETA InformationSystem

Rep

ort

ing

pla

tfo

rm

INSTITUTIONAL MECHANISMS ANDENTITY OPTIONS

04/09/2015 40

Initial Options Considered

04/09/2015 41

Brownfields Use existingGreenfields

Option 2Base CAS on existing

capability(CAO and NSFAS)and institutional

best practice

Option 1Establish in a NewDHET Public Entity.

Design and build newCAS entity based on

Best Practice

Option 2AEstablished in New

or Existing DHETPublic Entity withown capability todeliver services

Option 2BEstablished in New

or Existing DHETPublic Entity to

procure servicesfrom suitable

providers

Option 2CEstablished in New

or Existing DHETPublic Entity withcertain functions

and procure certainservices

CIE

Service Partners

Universities

CommunityColleges

TVETs

NLRD/SAQA

OtherFunders

DoL

DoH

DoD

NSF

NSFAS

CareerDevelopment

SETAs

DAFF

DBE

NGOs

PrivateColleges

Option 1 & 2A – CAS Public Entity under DHET

04/09/2015 42 42



Clearing House



Outreach & Training




Single Point PSETContact Centre



BoardA

p

p

l

i

c

a

n

t

s

SARS DBE IEBDept of

Home Affairs




Interface &integration

CIE

Service Partners

Universities

CommunityColleges

TVETs

NLRD/SAQA

OtherFunders

DoL

DoH

DoD

NSF

NSFAS

CareerDevelopment

SETAs

DAFF

DBE

NGOs

PrivateCollegesCentral Application Service

Option 2B – Entity procures services

04/09/2015 43 43



Clearing House


Outreach & Training







A

p

p

l

i

c

a

n

t

s

SARS DBE IEBDept of

Home Affairs


Board



CentralApplicationsServiceProviders


Board of SP

ServicesContract

CIE

Service Partners

Universities

CommunityColleges

TVETs

NLRD/SAQA

OtherFunders

DoL

DoH

DoD

NSF

NSFAS

CareerDevelopment

SETAs

DAFF

DBE

NGOs

PrivateColleges

Option 2C – Entity manages own as well as procures services

04/09/2015 44 44




Training





Outreach and Promotion



A

p

p

l

i

c

a

n

t

s

SARS DBE IEBDept of

Home Affairs



Board



CentralApplicationsServiceProviders

Distribution

Clearing House

Training

ServicesContract


WAY FORWARD

04/09/2015 45

Way Forward

• Ministerial submission has been prepared for approval of theService 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 Q1 2016

• Detailed design including systems specification expected in2016

• Target full operations for University Sector by March 2018

04/09/2015 46

Chris Beukes

0721111884

[email protected]

Thank you

Department of Higher Education

Dr Marc Weber

0834426640

[email protected]

Learning Strategies

Dr Engela van Staaden

0828532916

[email protected]

Chris Elfick

0825548977

[email protected]

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