Monday July 10th, 2017 Room: Bayside A 3:15 - 4:15pm Tools to Successfully Implement Electronic Transcript Exchange ( Session Id 6634 ) Monday July 10th, 2017 Room: Bayside A 3:15 - 4:15pm

Agenda Options to Consider Defining Strategy ROI Getting Started Security and Ferpa Compliance Checklists and Resources Q & A Options to Consider - Monterey Strategy - Monterey Cost Factors – Monterey Getting started – Doug Security & Ferpa Compliance - Doug Checklists & Resources - Doug Q & A – Monterey / Doug

Top Reasons to Be Here! I’m here because… I want to enhance my edx strategy and impress my boss! I want to automate my process and save time and money! I want to attend more conferences after impressing my boss with the money I saved the University! I want to ease the administrative burden on my staff and students! I want to increase data integrity and student satisfaction eliminating those pesky complaints and escalated issues! I want to reduce institutional risk associated with manual work and redundant process steps! I want to provide faster admission and transfer credit decisions so students can start class and start in the right class! I want to avoid those pesky paper cuts associated with the paper handling!

Decisions: EDI, XML or PDF??? EDX Adoption FAST? SECURE? FREE? METHOD? AACRAO Committee for Standardization of Postsecondary Education Electronic Data Exchange (SPEEDE) gets this questions quite often Adoption has been steadily increasing especially in the past few years, there are many vendor solutions and choices define your institution strategy to identify your best fit EDI is going to be around for some time to come there are lots of potential partners and you get the data for automation XML also gives you the data but is a newer technology solution in the education records realm so you may have less potential for partners out of the gate PDF is an easy implementation, most can use it so you have partner potential but you do not get data to do automation without other extraction tools like OCR.

EDX Value Proposition Electronic Commerce is the way we do business Efficiency for students and institutions Accuracy for student academic record and transfer credit evaluation Security in electronic exchange outweighs all other benefits combined Data for mining, without the data entry Electronic commerce can also be used to enable processes at institutions providing valuable services to students and between trading partners. Banks use electronic funds transfers to save their customers time and secure their business transactions. Efficiency - saving time (weeks to hours), removing non value added process steps (printing, keying) = staffing efficiencies Accuracy - lower risk of human error for data entry and evaluation decisions. Security - Electronic exchange is the most secure method of sending and receiving academic records. The methodology is ferpa compliant and to date has had no breaches. To summarize the value of electronic exchange: Faster transfer of student records Timely and appropriate placement into educational programs Increased reliability & consistency interpreting records Increased security over other exchange methods Reduced direct and indirect costs Promotion of greater national compatibility TRANSITION…So you know electronic exchange is valuable but how do you make it work for your institution?

Defining Your Strategy: Homework Consider Pain Points Research State Initiatives & Funding Opportunities Identify Best Practices Districts with eNetworks Between HS and College Institutions Using the Newest Technology Analyze Vendor Distribution Determine Future Needs Automate Import of Data Automation of Evaluations Enable Self Service PAIN POINTS – budget, do more with less, transfer students, STATE INITIATIVES – Some states have initiatives and even mandates that can be leveraged to ramp up your exchange process and partnerships quickly. DISTRICTS – Some districts, states or institutions have some very efficient processes. Look for those best in class processes. VENDOR – Vendors can be regionalized in some cases. Who do your feeders use? FUTURE NEEDS – Are you going to try and implement a full lifecycle of EDX out of the gate or are you ok with a phased approach. What IT resources or expertise will be needed. Develop a project plan with a flexible approach in case your preferred plan is not able to be attained. Be ok with baby steps.

Defining Your Strategy: Building Effective Partnerships Relationship exist with your students, vendors, employees and other institutions. All these relationships impact your customer service and processes. Before you can build successful partnerships you need to be able to build healthy productive relationships. Components: PROACTIVE OUTREACH: Make the effort to research and seek to understand issue that can become problems and resolve them before they become escalated. MUTUALLY BENEFICIAL: Relationships require effort and they serve a purpose for both parties. Remember to provide what they need from you not just what you need from them. It is about flexibility and win win solutions. TRANSPARENCY: Be real, state your needs clearly, admit shortcomings and mistakes. This will foster trust and collaboration in the long run. PERSONAL: Make relationships meaningful by making it personal where feasible. Keep notes on preferred methods of communication, best times to contact, names of who is responsible for what. Subtle nuisances about the way you communicate and how much you personalize it can increase the effectiveness of the partnership. When possible have face to face or phone conversations.

ROI: Benefit Analysis Sending Requesting & Receiving Paper generally at least twice as costly as electronic Staffing efficiency is proportionate to % sent electronically Increased security Requesting & Receiving Staffing efficiency is proportionate to % requested and received electronically and level of data integration Cycle time drastically reduced General Expectations 25-35% savings for sending 65-75% savings for receiving (impacted by amount of automation upon receipt) General ROI Expectation vary greatly by institution based on process and volume

ROI: Cost Factors Computer hardware / software ELECTRONIC COSTS PAPER COSTS Computer hardware / software Technical expertise with programming & networking Printer / toner Functional expertise with mapping data School seal Staff training Stuffing / sorting / collating / data entry Altered business process Fraud prevention efforts / security paper Trading partners (# can effect ROI) Mailing / postage Printer / paper if you are not fully automated Cost of slower service (rework or student changes mind) Format conversion (PDF, EDI, XML)? Vendor fees if outsourced Import (imaging, SIS, Degree Audit) Staff inefficiencies higher FTE ratio Relationship building (staff position) Increased errors due to manual handling Vendor costs (if applicable) Increased risk of compliance breech PII Cost factors to consider when calculating your ROI. Costs will vary based on internally developed processes vs. vendor process as well as total volume and number of trading partners. These are just some generic considerations to keep in mind. Some may be more or less relevant for your plan.

Getting Started: Your Project Charter Elements of your Project Plan Elements of your Implementation Visibility / Sponsorship Problem Statement ROI Milestones Quick Hits Medium Term Goals Long Term Goals Tactical vs. Strategic Implementation Phased Approach Your Environment vs. Industry How will you measure success PROJECT PLAN: Champion your project, build awareness and understanding, find an executive sponsor and a good project team Problem statement: What are the unique needs of your institution…do you want to improve service? decrease cycle time? maximize resources? … state the problem to be solved clearly. Quick Hits: obvious improvements, easy, low/no tech, example: accept PDFs Med & Long Term Goals: specifically stated yet flexible. Keep a laser focus on the overall goal. Tactical vs. Strategic: tactical to fix specific issue, enables experience, strategy may come naturally later, phased approach is a way to incorporate tactical with strategy (lower dollars and resource drain) (brief discussion of UOP / OUAC implementation) Your environment vs. industry: trend might be to convert to XML but maybe your feeders are doing EDI. Regional and state initiatives are key to help with decisions. Mandates, particular vendor bids, grants, innovative movements.

Getting Started: Questions to Ask Service Providers What processes do they support? (ordering, sending, receiving, reporting) What flexibility can they offer for various methods of transcript exchange (PDF, EDI, XML)? Do they use a proprietary format or the PESC Standard? Do they send their transactions through the SPEEDE Server or a private network? Are you required to pay any transaction fees as a sender/receiver? Where do the fees go - to the vendor or the institution? Are there maintenance or licensing fees and what is the frequency? Are you required to sign a contract? Do they guarantee service levels? Make a list of questions that is important to you plan. Are you doing EDI homegrown? Does your vendor work with other vendors? Set up conference calls, ask for references, call the references. Normally it is best to not compromise your plan but keep an open mind. Consider supporting various methods of exchange to optimize partners and impact.

Getting Started: Questions to Ask Service Providers What security audits has the service provider been through? Is the solution in production or in development? What is your implementation timeline? How many trading partners can you realize (what are their in network institutions)? Which institutions specifically are active senders, receivers, or both? Will their member institutions and process fit your operating process and needs? Can you get several institution contact names for references (senders and receivers).

Getting Started: Trading Partner Agreement Tips Why Include Information provides a valuable starting point to document relationships & guidelines Provides a common set of expectations prior to full implementation Communication details for establishing connectivity An agreement of what is considered official Testing requirements Financial agreements Functions or transactions that are required/optional Data Clarifications Why Not a legal document just an informational guideline. Include Communications details for establishing connectivity or for transmission of transactions. Define what a trusted relationship means to each partner (legitimate educational interest) Determine what is considered official (test vs live transcripts) Data Clarifications that supplement the specifications in the Implementation Guide Include mapping issues specific to the trading partners involved Institutional Code Qualifier (for example FICE Code, NCES or IPEDS) ISA Qualifier (routing info/transmission header for the package) N1 Qualifier (info regarding name and location of sending institution) So what’s next? You have your trading partners and agreements next you will test the process between your institutions.

Security Greater security with electronic transcripts will ensure smooth sailing for your institution. To date there has been no known issues with transcripts sent via electronic methods having compromised in relation to FERPA.

Paper System Issues and Pain Points Security Features Possible Problems Security paper Color background/foreground Formatting Watermarks University Seal Signatures (hand-written, stamps, pre-printed) Security Envelopes Federal Postal System Color Printers Desktop Publishing software Wrong seal? Digital Scanners Old–fashioned steam iron “Black-Hole”

Electronic Acknowledgements Notifies sender of delivery EDI: TS997, TS131, TS147 XML: Functional Acknowledgement, Transcript Acknowledgment, Request Response Implies recipient has processed transcript Yes and No Alerts sender if document sent by someone not authorized Careful if you share code/mappings ;-) Provides checks on data items to assure complete transmission Convenient - can be programmed into automated system Allows for an open system Another good service to the student Point about sharing code/mappings – heard of 2 schools who shared TS131 mapping, and didn’t change hard-coded Trading Partner ID

FERPA Compliance FERPA Regulations support electronic exchange of transcripts under the following conditions ... FERPA regulations do not prohibit the use of electronic methods of exchange The business process really determines if exchanging a request electronically is appropriate These transactions are compliant as long as they are initiated from a trusted source Protect your students and institution by having them sign the consent/release form to authorize a request FERPA regulations do not prohibit the use of electronic requests and receipt of transcripts for those with a legitimate educational interest in the student Document your business process clearly and ensure you are comfortable with your trading partners practices this will make them a trusted source Involve the student and obtain consent to request their electronic transcript.

EDX Research Checklist Electronic Communications VAN (value-added network) Internet (ftp, e-mail, http, web service) Vendor fees Operational Integration Mapping EDI or XML into existing business processes & systems PDF data “extraction” Content management & business rules Multiple standards (X12 EDI, PESC XML, proprietary) Versions Audit / Reporting Volume Successful and unsuccessful transmissions User Interface / Access Tools for users to monitor data Interface for users to review and process transcripts Sending and/or receiving transcripts and related documents

Pre-work Research Checklist Learn what vendor-delivered software tools and programs are available Build on experience of others (networking from conferences like this one!) Identify experience / knowledge of existing staff Identify cost share opportunities Partner institutions Other groups at your own institution (Records, Admissions, Fin Aid) State/Regional Initiatives (mandates or grants)

ROI Analysis Checklist Identify one time vs. recurring costs Learning curve Mapping Trading partner relationships Integration Recurring Software license fees Standards upgrades Maintenance contracts Staffing

Resources EDI & XML Technical Resources (IG’s, RIPS) http://www.aacrao.org/home/about/committees/aacrao-speede- committee/technical-resources AACRAO SPEEDE Committee Info (members & links to resources) http://www.aacrao.org/home/about/committees/aacrao-speede- committee Email SPEEDE speede@aacrao.org SPEEDE Server Registrant Report, Sender and Receiver Reports http://speedeserver.org/reports-2/

Resources http://www4.aacrao.org/publications/catalog.php?item=0123 EDX Primer publication & other AACRAO Technical publications http://www4.aacrao.org/publications/catalog.php?item=0123 NSC SPEEDE Server Documentation, FAQ’s & Software http://speedeserver.org/ SPEEDE Google Group for Q&A in the SPEEDE Community speede-g@vt.edu P20W Education Standards Council ( electronic exchange community, workgroups, schemas and implementation guides ) http://www.pesc.org

SPEEDE – A Professional Development Committee of AACRAO American Association of Collegiate Registrars and Admissions Officers

This presentation was brought to you by the AACRAO SPEEDE Committee Contacts Doug Holmes holmes@ouac.on.ca Monterey Sims monterey.sims@phoenix.edu This presentation was brought to you by the AACRAO SPEEDE Committee speede@aacrao.org