Workflow Definition, Benefits, and Preparation

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Workflow definition, benefits, and preparation

An SCT White Paper

EWHT-005 (02/03)

SCT, Banner, PowerCAMPUS, and the circle P logo are registered trademarks; and the SCT logo, SCT Plus, SCT Matrix, SCT Campus Pipeline, and Luminis are trademarks, of Systems & Computer Technology Corporation or one or more of its wholly owned subsidiaries. All other products and company names referenced herein are used for identification purposes only and may be trademarks of their respective owners.

What is Workflow? Most colleges and universities today practice workflow of some kind, either manually or with software applications. Admitting a student, for example, requires more than one person (and more than one department) to find the prospect, review the application, compile the financial aid package, and send the offer letter. The process of passing information along and responding to it is a type of workflow. However, more often than not, the process grinds to a halt when one of those papers languishes in a participant’s in-box. A software-based workflow management system would speed this process—and hundreds of others like it—and elevate its quality by automating, simplifying, measuring, directing, and managing the flow of information from department to department across the enterprise.

There are many different definitions of workflow. For consistency, SCT follows the definition put forth by the respected Workflow Management Coalition (WfMC):

The coalition also states that a true workflow management system must have the following criteria: • Define, create, and manage the execution of workflows with software • Run on one or more workflow engines • Interpret the process definition • Interact with workflow participants • Invoke IT tools and applications where required

In addition, workflow solutions comprise data, people, tools, and activities.

1. The data within a workflow management system are either application-specific or process-specific. Data can be a word- processed document, a spreadsheet, an image, a voice message, or a database extract.

2. People are the agents, or participants, within a process who perform specific tasks in a specific order as defined by business rules and conditions.

3. Tasks within a workflow application are completed by tools. These can be business applications such as a financial information system or personal productivity products like a commercial spreadsheet.

4. Activities are the assignments to be completed by agents in order to achieve the business goal.

The benefits of workflow are numerous: • Elimination of the paper chase • Improved performance of routine tasks • Reduced cost to complete repetitive activities • Reduction in processing time by minimizing time lost between activities • Reduced errors and omissions and expedited data entry • Increased quality of processes delivered • Support of documentation of existing processes or creation of new ones • Facilitation of work among departments • Integration of multiple processes that cross departments and applications • Tracking of the status of work in process and provision of statistics • Enhanced communication between users and developers

Discerning Workflow from Other Solutions Workflow and workgroup solutions are often confused. Workflow and workgroup solutions both enable the transfer and sharing of information. However, workflow enables the process knowledge that supports management and routing where workgroup technology typically does not.

Another common area of confusion is between event processing and workflow. An example of event processing is when an employee gives birth and the system prompts the new parent with questions about insurance coverage and change of beneficiary. Simply going from screen to screen within an application, however, is not workflow. Moving from application to application and from department to department across the enterprise characterizes workflow. Consider what happens when a university hires a student to fill a work/ study position. In addition to the human resources functions to be accomplished, the university must also call upon the financial aid office to verify the student’s eligibility; the purchasing department to acquire any necessary equipment; the facilities management department to secure accommodations; and the information systems department to order access cards and e-mail privileges.

Most true workflow solutions are built around either e-mail or a database. e-Mail, or message-based, workflow is easy to learn, convenient for supporting remote users, and effective for small groups. It is flexible and can run on multiple platforms and support multiple software applications. However, the drawbacks of message-based workflow become apparent once a message is launched. Where did it go? Who has it now? Who gets it next? What am I supposed to be doing in the meantime?

Database or production workflow, on the other hand, supports high-volume, mission-critical activities by maintaining process information on the database or application server. While more training is required to learn a production workflow system than an e- mail-based system, the derived benefits are many. Production workflow systems are predominantly utilized to model and implement structured business processes.

The most effective and efficient workflow solutions combine e-mail and database functionality. More progressive solutions provide even more features with greater benefits.

About SCT Workflow SCT Workflow allows college and university administrators to automate, simplify, direct, and manage the flow of information across their institutions. It is the first product delivery in SCT’s suite of relationship leverage solutions that is designed with component-based technology. These solutions provide information that help institutions compete more effectively, operate more efficiently, and make better decisions, while providing more personalized services to all their constituents.

Using SCT Workflow, colleges and universities are able to graphically define and implement business processes through an easy-to- use object-oriented interface into a workflow, making work more visible, reducing errors, providing process consistency, and increasing communication across the enterprise.

SCT Workflow integrates with SCT Banner® administrative systems to maximize SCT Banner’s inherent efficiencies to quickly accomplish these processes. SCT Workflow is an enterprise application meaning external systems can be integrated within a single business process.

SCT Workflow improves business process effectiveness by: • Providing tools for documenting existing and future business processes • Reducing process cycle times as well as errors and omissions • Providing consistent implementation of business processes across an enterprise with the ability to make departmental exceptions • Integrating with internal and external third-party applications allowing for automatically accomplishing tasks across all “silos” of information

Additionally, SCT Workflow electronic documents are created as customized SCT Banner forms and are designed to replace paper forms. These electronic documents can be “In each of our three cases, SCT Workflow shared across an organization dependent on any given workflow process. The information reduced paper processing, reduced the stored within a workflow transaction is not posted to the SCT Banner databases until all number of manual intervention steps approvals are received. required, and reduced errors in processing. We are very excited about the prospects of SCT Workflow Beta Sites using SCT Workflow in our SCT Banner SCT Workflow was beta-tested by Miami University, Virginia Tech, and the State environment.” University of New York (SUNY) centralized Student Information and Campus —Darrow Neves, Associate Director, Administrative Systems (SICAS) center. The workflow product matured through each of University Application, Miami Computing the beta sites and software modifications were based on client feedback. and Information Services

Miami University utilized SCT Workflow to help automate three business processes during their beta engagement: profile updates (address, person, name changes), financial aid verification update, and recruiting of a college work/study student. The workflows ranged from a one-step workflow for profile updates to a complex process for hiring college work/study students.

“It is clear that SCT Workflow can offer dramatic savings in staff time and improved customer service,” says Darrow Neves, Associate Director, University Application, Miami Computing and Information Services. “In each of our three cases, SCT Workflow reduced paper processing, reduced the number of manual intervention steps required, and reduced errors in processing. We are very excited about the prospects of using SCT Workflow in our SCT Banner environment.”

Virginia Tech and the SUNY SICAS Center tested and utilized a grade change process incorporating a new Electronic Document (ED) form that ships with the product. With the ED form, clients can create a custom form that can contain fields from multiple SCT Banner forms. This custom ED form can then be utilized within a workflow process. After a series of designated approvals, the final information (like the official grade change) can be applied to SCT Banner.

According to Charlie Young, Executive Director in the SICAS Center, “We think that SCT Workflow is a tremendous new tool. When implemented it will have a very positive impact on “We think that SCT Workflow is a how campuses do business. I was impressed that, while it is totally integrated into SCT tremendous new tool. When imple- Banner, and not just another layer of technology, its applicability goes beyond SCT Banner. For mented it will have a very positive example, our host campus, SUNY Oneonta, wants to use it for an HR process that has very impact on how campuses little to do with SCT Banner. The enthusiasm for the product on the campus user side also was do business. evident from a discussion between the Vice President of Enrollment Services, Director of —Charlie Young, Executive Director in Admissions, and Registrar on the different processes that they could workflow. The Registrar the SICAS Center already has inquired as to when official SCT Workflow training will be available, and a number of offices have inquired about the specs for the necessary desktop systems that they will need to run SCT Workflow.”

Workflow Benefits Institutions with multiple departments, diverse needs, common business goals, and requirements to share information and IT resources can benefit from workflow. To look at it from another perspective, organizations make good candidates for workflow if their business processes are characterized by poorly delineated processing rules, deadlines and delays, voluminous paperwork, complex routing and approval requirements, and a need for metrics and status reports. Although improvement in any of these areas would justify a workflow solution, the true determining criterion for a move to workflow is added productivity in performing a business process.

SCT Workflow spans the entire enterprise, not just one functional area such as Human Resources or Finance. Being an independent workflow solution versus an embedded workflow solution, third-party applications can be incorporated into the business process being modeled and implemented. The functional silos are truly broken down with SCT Workflow, ensuring your ability to operate more efficiently and to view business processes at an institutional level versus a department or functional level. Communication within an institution is greatly enhanced, which allows work to be completed in a more timely fashion.

SCT Workflow includes version control and effective dating of workflows allowing you to truly manage change within business processes without affecting those workflows already in progress. New versions of workflows can be centrally controlled and implemented according to a planned project timeframe that is controlled by the workflow software.

SCT Workflow provides consistent movement of work between multiple participants or role players. Institution-wide workflows can be implemented providing this “institutional business process consistency,” but exceptions can be allowed for specific departmental needs. The solution allows clients to create workflows that are mandatory at an institutional level while allowing divisions or departments to create their own workflows based on their specific processes. This encourages adherence to the institutional process while providing flexibility for departmental situations.

Interactive, manual, and automated activities can be modeled and executed. With the inclusion of automated activities, third-party applications can be programmatically included within the business process being modeled and implemented. Work can be routed sequentially or in parallel allowing increased efficiencies. Work progress is graphically represented, which answers the question “Where is that piece of work I am looking for?”

Business Events provide the automatic execution of a given workflow based upon an activity occurring with SCT Banner or other external systems. For example, a student can apply for admission via the Web and the “Admit a Student” workflow can be started automatically for that student within SCT Banner. The architecture for Business Events is modular and designed to allow third- party applications (such as a Housing application) to be incorporated into the creation of workflows. SCT Campus Pipeline also uses the same event dispatcher technology providing consistent delivery of messages to all of the institution’s clients.

Electronic mail notifications can be sent to users from within a given workflow. These users do not have to be workflow users so direct communication can occur to any user involved in the process that has a valid electronic mail address. For example, when a grade gets officially changed after completing the “Change Grade” workflow, the student and the faculty member can be automatically notified of the grade change.

Workflow: A Technology Vision Workflow is the computer-assisted implementation of a business process. It includes the graphical definition, or description, of how to perform the process and the engine to execute it. “Executing a business process” and “executing a workflow” are synonymous terms. A workflow solution comprises both a modeling environment and an execution environment to deploy computer applications.

Because business processes can (and often do) change and can be implemented differently in individual locations within the same enterprise, the workflow definition must be aware of and account for these variances. Accordingly, it should also provide the ability to maintain multiple versions of workflows via a predetermined method such as effective dating. A workflow solution must be able to model the decision points and responsibilities inherent in the business process so that the workflow represents a “real world” situation.

Definition Domain To understand the technical design of a workflow management solution, it is easiest to consider the solution as having two fundamental domains of operation: definition and execution. Within the definition domain, the business process, workflow, participants, roles, rules, and business events are graphically created and maintained. In other words, the system identifies what is to be accomplished, who will accomplish it, in what order, and within which parameters. The diagram that follows depicts a typical workflow definition. This example, and those that follow, incorporate elements of the higher education business process/requirement Forecast to Enroll/Admit Students and a workflow within it—Process Enrollments.

Definition

Business Analyst Dean of Admissions

Definition Tool

Business Process

Roles/Hierarchy Forecast to Enroll

Admit Students

Process Enrollments Users

Implemented By

Workflow Business Business Trigger Workflow Events Conditions Rules

Execution Domain The execution component makes what has been defined happen. This is the “when” and “how” of a process. Within the execution, workflow instances are executed; messages are sent to users; and worklists are reviewed. The diagram below represents the execution of a workflow at startup.

Execution - Startup

Work List User

Workflow Business Process

Forecast to Enroll

Admit Students

Process Enrollments

Interpreted By

Workflow Enactment Service

Workflow Rule Worklist Engine Engine

Workflow Instance

Workflow Control Data Business Objects Global Workflow Variables Relevant Data

Workflow enactment services execute the business rules attached as conditions to the workflow. The workflow can progress after conditions are evaluated as depicted below.

Execution - Progress

Business rules associated as Business pre-, post-conditions of the Rules workflow are evaluated so the workflow instance can progress.

Workflow Enactment Service

Workflow Rule Publisher Engine Engine

Workflow Instance

Workflow Control Data Business Objects Global Workflow Variables Relevant Data

Also, as part of the execution services, users will be notified, by role, when a business rule condition fails or when approval is required for the workflow. This diagram indicates what happens in such cases.

Execution - Response

Role Roles/Hierarchy

User

Work List Role

Message

Workflow Enactment Service

Workflow Rule Publisher Engine Engine

Rule Fails

Business Workflow Rules Relevant Data

At the heart of the robust workflow solution are the tools that define the process, its flow, and its components. Business processes can be oriented in a “tree” structure of hierarchical business processes—starting with the core business processes and decomposing them into sub-processes to form the hierarchy. Details included within each sub-process range from the process identification to descriptions and industry classifications. For example, within the Forecast to Enroll business process example of the diagrams, the hierarchy could continue: admit students, process enrollments, process financial aid data, enter financial aid applications.

• The workflow modeler creates models depicting workflows and describes how the business process is performed: e.g., roles, conditions, manual/interactive/automatic tasks, executable entry points to applications and desktop productivity tools, business rules, and messages to include electronic mail messages.

The workflow enactment service is responsible for executing workflow definitions and consists of the following services:

The workflow engine retrieves the workflow definition and creates a workflow item for this specified instance of the workflow execution. The workflow item that is created specifies the workflow control data for this particular instance of the workflow and includes a workflow identifier, an instance identifier, beginning and ending times of the workflow, the current state, and the current activity. When an application is aware of the requirement to update global variables, the workflow engine will pass these variables to the application for updating. The specific set of global variable values are saved as “workflow relevant data,” which combine with the workflow control data to form the workflow item.

The engine also contains a publisher that takes messages from the workflow enactment service and determines which user by role is responsible for responding to the message. The publisher then places the message instance on the affected user’s worklist. Through directed activities, work can be published to a specific user who has been assigned a specific role versus all users who are assigned that role.

When a true/false condition needs to be evaluated as part of executing business rules, the business rule engine evaluates the rules in conjunction with the specific values of the global variables captured in the workflow-relevant data. The engine interprets business rules attached as conditions to workflow activities and returns a true/false value (“true” indicating that the workflow enactment service can continue, and “false” indicating that it cannot). The specific path taken in a given workflow will be determined by the rules declared within that workflow model.

SCT Workflow Examples Following are example workflows that are shipping with SCT Workflow. These are intended as examples and can be used as is at your site or modified to accommodate specific business process needs.

Withdraw a Student: The Withdraw a Student Workflow example provides a process to automate the withdrawal of a student from their classes. The process also informs other departments of the withdrawal to comply with withdrawal policies. Departments informed of this withdrawal include the Financial Office, Housing, International Affairs, Veteran’s Affairs, the Alumni Office, and the Bursar Office.

Process Withdrawn Student Aid: The Financial Aid support of the Withdraw Student Workflow will provide a sample process flow for the automated, interactive, and manual activities necessary for the processing of a withdrawn student’s re-calculation, adjustment, and cancellation of awards, Title IV loans, and work/study.

Change Grade: This workflow allows a faculty member to submit a request to change an existing grade in the SCT Banner database. If the change is approved, grade information is automatically updated in the appropriate SCT Banner tables.

New Gifts: The New Gift Workflow example provides multiple notifications upon entry of a gift or payment in excess of a predetermined amount. The following notifications are provided: the director of Annual Giving, if the gift/payment is to an annual fund campaign; the Director of Development, if the gift is larger than a predetermined amount; stewardship personnel and any assigned development officers; and the Planned Giving officer, if the gift/payment is a planned gift. Each person is then directed to the Giving History Summary Form for review. The Planned Giving officer is also directed to the Gift Auxiliary Form and the Gift Associated ID Form.

Hire a Full-Time Faculty Member: This is initiated by an employee PAF for hire. The workflow validates citizenship, work Visa, routes the PAF for approval, and performs notifications to HR, Dean’s Office, Benefits, Payroll, Orientation Coordinator, and Registrar. The Grant Database Security Workflow is initiated.

Hire a Full-Time Staff Member: This is initiated by an employee PAF for hire. The workflow validates citizenship, work Visa, routes the PAF for approval, and performs notifications to HR, Benefits, Payroll, and Orientation Coordinator. The Grant Database Security Workflow is initiated.

Benefits Enrollment: This workflow is initiated by the two hiring workflows. The process revalidates citizenship and Visa, checks for Union eligibility, notifies Benefits to send enrollment forms, notifies Benefits to evaluate for relocation, directs Benefits to complete enrollment, records beneficiaries, and records beneficiary coverage.

Taxes and Other Deductions: This workflow is initiated by the two hiring workflows. The process revalidates citizenship and Visa, notifies Payroll to send applicable forms to the employee, records direct deposit, records taxes and deductions, and verifies that all “required” deductions are completed.

Load Faculty Information: This workflow is only initiated when Hire a Full-Time Faculty Member is run. The process allows Academic Affairs to record degrees and transcripts, record certifications, record the core Faculty Record for Tenure and Rank, and record the Faculty Information in Student.

Grant Database Security: This workflow begins with a business event. It notifies the System Administrator to create an Oracle ID and add a Workflow user to your databases.

Grant SCT Banner General Security: This workflow begins with a business event (completion of the Workflow Electronic Document for Granting SCT Banner General Security). It notifies the System Administrator that a request has been made for database security, the administrator must approve the request then add the security roles and classes in SCT Banner.

Grant SCT Banner HR Security: This workflow begins with a business event only if the hire originator has requested additional database security specific to a Human Resources hire. This request would be accomplished by completing a workflow electronic document. It presents the request for specific HR security to the HR security administrator for approval. This request must be approved and then the workflow is passed to an HR security clerk to update the SCT Banner forms with the appropriate data.

Grant SCT Banner Finance Security: This workflow begins with a business event only if the hire originator has requested additional database security specific to a finance hire or a financial manager hire. This request would be accomplished by completing a workflow electronic document. It presents the request for specific HR security to the finance security administrator for approval. This request must be approved and then the workflow is passed to a finance security clerk to update the SCT Banner forms with the appropriate data.

Grant SCT Banner VBS Security: This workflow begins with a business event only if the hire originator has requested additional database security specific to a new hire that would be restricted to only looking at limited information within particular tables. This request would be accomplished by completing a workflow electronic document. It presents the request for specific value-based security to the value-based security administrator for approval. This request must be approved and then the workflow is passed to a value-based security clerk to update the SCT Banner forms with the appropriate data.

Requisition Approval: This example integrates the SCT Banner Finance approvals process with SCT Workflow for requisition processing. For example, a new, completed requisition is treated as a business event, which will launch the workflow. The requisition is routed to appropriate approvers utilizing information contained within the existing SCT Banner Finance embedded approvals structure. SCT Banner communicates with SCT Workflow to push the approval tasks to the proper document approvers. The task of approving the requisition will display on the Work List of the individuals until the requisition is either approved or disapproved. Upon approval, a notification is sent (via SCT Workflow) to the requestor that was entered on the requisition, informing them that their request for goods and services has been approved. If the requisition is disapproved at any stage, the document is routed back to the originating user for correction and re-submission.

This example has been modeled such that it can be modified for use with all documents that utilize the SCT Banner Finance Approval process.

Electronic Documents: Workflow electronic documents are customized SCT Banner forms designed to replace the paper forms used today to communicate with different people at your institution. They act like blank forms—you access one, fill in the blanks, then save the data as a transaction. The electronic document template remains unchanged, ready to be used by someone else. Each transaction has a transaction number. It is a unique, one-up number assigned by the system when you enter a new transaction for a document type. Workflow electronic documents are primarily used to request approvals. You can create a document with a request, route it to a number of people to review and approve, then receive a notification that the request was approved. You can also set up the electronic document to go to different people under different circumstances.

Workflow electronic documents work with SCT Workflow. The information entered in an electronic document is saved with a transaction number. SCT Workflow places a work item with that transaction on the approver’s Work List. The approver can review it and decide to approve it, disapprove it, or return it for correction. If the transaction is returned for correction, SCT Workflow places it back on the originator’s Work List as a work item. The information stored in a transaction is not posted to the SCT Banner databases until all approvals are received. This ensures that information is not included in any reports or totals prematurely.

Implementing SCT Workflow In order to be successful, SCT recommends you start with a few small business processes to train on workflow. A cross-functional representative from your school or SCT can assist with the creation of these processes.

The following steps are recommended before production implementation: • Obtain senior management commitment to perform a workflow pilot project. • Contact your SCT account consultant for workflow implementation planning. • Use the mandatory minimum hardware and software levels for client workstations and a workflow application server. • Obtain appropriate training before utilizing SCT Workflow. • Consider additional SCT service offerings to transition to workflow and to bring your institution up-to-speed quickly. • Upgrade to the appropriate SCT Banner release levels that are workflow aware. • Create a test instance for workflow development and SCT Banner. • Review the example workflows that have shipped with the general release and become accustomed to the aspects of SCT Workflow. • Select a few small non-critical business processes as candidates for workflow implementation. This will prove the real value of the positive affects that workflow can have within your institution at minimal risk.

For more information on preparing for workflow, refer to Appendix A.

Workflow: Your Decision Your choice of a workflow solution is a particularly important decision. The system you select for your enterprise carries the potential to make sweeping, positive changes in the way you do business. That alone is reason enough to weigh your vendor options carefully. However, an equally persuasive argument is the rigor of converting a workflow solution after it is installed. Your institution will likely live with its workflow management system for a long time, so making the right choice the first time is critical. SCT can provide you with the technology, the services, the training, and the support to achieve the maximum improvements offered by workflow.

Appendix A: Preparing for Workflow Staffing Considerations to Support SCT Workflow Business Analyst: Workflow will require the attention of one or more individuals to perform the analysis and modeling of specific workflows. People with institutional enterprise knowledge as well as functional and technical product-specific knowledge will need to be consulted. Workflows can be created that span the enterprise or that work within a given product. This is not a full-time position in itself. However, it could be considered a full-time position if combined with the Workflow Systems Administrator.

Workflow Systems Administrator: Workflow will need the attention of an individual to perform both functional and technical administrative tasks. These can range from managing users and roles to adding components and SQL statements to creating business events both in SCT Banner and SCT Workflow. This should not be a full-time position, but will require a fair amount of attention to get a workflow into production.

SCT Workflow Systems Administrator: SCT Workflow is an application server and is managed similarly to other database products such as Oracle. Current database administrators are excellent candidates to receive SCT Workflow training from SCT so SCT Workflow can be managed along with the other databases within your institution. These new responsibilities can be developed incrementally versus requiring a new position.

SCT Implementation Services and Support SCT’s Workflow implementation services support the successful implementation and administration of SCT Workflow either in conjunction with the implementation of the SCT Banner systems or after the SCT Banner systems have been placed into production. SCT also provides additional services including custom integration support and programming services for systems external to SCT Banner that are part of your primary processes. We also provide expert remote support and administration of the Workflow and underlying SCT Workflow environment, freeing up your institutional staff from these activities.

• Business Process Analysis Training—SCT provides training to your business process owners in the techniques of BPA and identification of the major components of each of the main processes. The group focuses on: • Business Process Analysis methodologies • Identification and description of the core business processes • Learning through preliminary modeling of a major business process using SCT’s facilitation techniques, “process capture,” and documentation standards

• Installation and Training—Complete installation and configuration of SCT Workflow in your environment. Using a combination of on-site and SCT Education Center environments, your staff receives training in both the technical and functional aspects of SCT Workflow, as well as training in the administration of the SCT Workflow system.

• Workflow Development—SCT process experts develop a detailed model of the processes you select, working closely with your staff to relate and clearly model each process to your institutional criteria. When the detail process models are completed, SCT process experts analyze the modeled processes to recommend improvements for more effective enterprise process solutions. SCT experts then create and enable automated workflows establishing your business rules and security as the means to effectively control and consistently support your institutional process requirements.

• Remote SCT Workflow Administration—SCT provides expert SCT Workflow administrators to remotely maintain and support your environment, including security administration, applying upgrades, tuning the environment, and resolving any problems that may arise. SCT delivers consistent, predictable support from proven professionals who know your environment, and are available when needed without your having to add hard-to-find, expensive staff.

SCT ActionLine Support: To contact the SCT ActionLine, dial 1-800-522-4827, or if you prefer e-mail, the SCT ActionMail account is [email protected].

For More Information For more information on SCT Workflow and how it can benefit your business, contact your SCT account representatives.

EWHT-005 (02/03)