Document Management Business Process Analysis (BPA)
- Heather Smith
Introduction
This Business Process Analysis (BPA) and System Configuration document describes the functionality and configuration settings related to document management in Regent Award.
This document defines the following associated with document management:
The Regent Award product workflow for documents and tasks.
The Regent Award product workflow for document population and deviations to that workflow.
Specific configuration of the following will be located in the School's Configuration Templates.
Data Requirements
Communications
User roles
Documents
Tasks
Process Overview
Regent Award uses documents to drive system actions. Documents may be used to:
Collect student information required to process verification, Professional Judgment (PJ), Award Eligibility, etc.
Notify student of a required action
Notify staff of a required action
Trigger a document related task
Restrict packaging, restrict positive and negative disbursements, and restrict exports to COD
Cancel awarded funds
Trigger communications
Documents are considered “populated” when they are assigned to a student either automatically or manually. Documents that are populated to a student’s record are accessible in the Student Portal unless configured as ‘Office Use Only’. This setting prevents the display of a document to the student.
Document Status
Each document in Regent Award is configured to display an initial document status upon assignment to the student. Document statuses can be manually updated by the authorized user at any time. Documents can be configured to populate in any status as it relates to a business process. The status of ‘Needed’ or ‘Received’ are most commonly used. Only documents with an assigned use type may be configured to trigger a task for user review. Document use types are discussed further in this document below.
Regent Award provides six document statuses as outlined below:
Document Status | Definition |
Needed | A document(s) is required. Document(s) can be uploaded via the student portal or manually added to the student record in Regent Award by the user. If configured can be utilized to restrict processes (e.g. packaging, positive and negative disbursements, exports to COD). |
Received | A document(s) is received and ready for review by the user. If configured can be utilized to restrict processes (e.g. packaging, positive and negative disbursements, exports to COD). |
Incomplete | A document(s) is received and the user determined additional information is required. Additional document(s) can be uploaded via the student portal or manually added to the student record by the user. If configured can be utilized to restrict processes (e.g. packaging, positive and negative disbursements, exports to COD). |
Unsatisfied | A document(s) is received, and the user determined that the document(s) request has not been satisfied. If configured can be utilized to restrict processes (e.g. packaging, positive and negative disbursements, exports to COD) and cancel awards. |
Satisfied | The document(s) request is satisfied. |
Waived | The document(s) is no longer needed. |
Document Scope
The document scope is the period for which the document is effective. Regent Award supports four document scopes:
Student (once per student)
Federal Award Year (FAY)
Academic Year (AY)
Payment Period (PP)
This functionality allows the document to be automatically re-populated at appropriate intervals. Restrictions configured for the document (such as packaging and disbursement) apply only to the configured scope value. Regent Award also provides a configuration setting (Enforce Scope Uniqueness) to require document scope to be unique. If ‘Enforce Scope Uniqueness’ is set to TRUE, the document can only be assigned once within the given scope value (FAY/AY/PP). If the configuration is set to FALSE or disabled, the document can be populated multiple times during the scope period unless the document has been configured as student scope.
Document Restrictions
Documents may be configured to restrict certain processes by student such as:
Export FAFSA
Packaging
Positive disbursement
Positive and Negative disbursements
Export to COD for Positive disbursements
Export to COD for Negative disbursements
Document restrictions apply to the configured scope period. Regent Award recommended restrictions for default documents are defined in the Document Setup Template.
Document Use Types
Documents may be configured with a document use types however it is not required. If the document is required to trigger a task, document assignment or auto-satisfaction it must be assigned an appropriate use type.
Example:
Student ISIR is imported with an Unusual Enrollment History (UEH) flag of 359 or 360:
Document Use Type: ‘Review Conflicting Information’
Task Type: ‘Review Student Document(s)’
Triggering Event: A document with the use type above is set to a required document status
Document Status: ‘Received’
Default Queue: Review UEH
A full list of Document Use Types can be found on the Customer Zone Knowledge Base, Document Setup Data Elements
Document Attachments
Regent Award allows for attachments to be included on a configured document. For example, if a student requests a Professional Judgment the document can be manually added to the student in Regent Award and the corresponding document attachments will be displayed in the Student Portal.
Document Electronic Signature (Non-Smart Form)
Regent Award provides an electronic signature configuration for documents that are non- Smart Forms. If configured on both the Document Setup and Student Portal, the student and/ or student and parent will be presented with the option to E-sign an uploaded attachment.
When the document is configured to require both student and parent signatures, the student must “Request Parent Signature” in the Student Portal and invite the parent to sign the document.
For documents that require only the student's signature, signature requirements are met until the student has signed the document. When the document has been signed by the student, the Electronic Signature sub-tab of the Document Requirement in Regent Award will be updated to show the method used to sign the document (E-Sign or Paper Sign) and the date the document was signed.
For documents that require both the student's signature and a parent signature, signature requirements not are met until both the student and the parent have signed the document. When the document has been signed by the student and parent, the Electronic Signature sub-tab of the Document Requirement in Regent Award will be updated to show the method used to sign the document (E-Sign or Paper Sign) and the date the document was signed.
Document Tasks and Task Queues
Regent Award allows a document’s status in combination with document use types to trigger a task for staff review. The task will be stored in a task queue until reviewed and the task status is set to ‘Completed’ in Regent Award by the user. Students with a non-complete task status are typically blocked from processing in Regent Award. Any user with the appropriate permissions may review a document, mark it as ‘Satisfied’ and subsequently complete the task.
The function of task and queue assignment by role is addressed in the Enterprise Overview BPA.
Regent Award can be pre-configured with the following document tasks and task queues with the standard task configuration. Full detail is available in the Task Setup Template. Note: Use Types are unique to a document status i.e., Received, Satisfied or Waived.
Document Population and Status Changes
Population and Status Change by User-Defined Field (UDF)
Regent Award provides the ability for a UDF value to set the initial, or update an existing, document status for a student-scoped document requirement.
Population and Status Change by Import File Integration
In some cases, documents related to financial aid may be handled via other processes in supporting institutional systems. For example, the Enrollment Office may have a process for students to apply for institutional scholarships. These documents can be imported via the Student Document Import process. Any document contained in the Student Document Import file is populated in the specified status for the specified student, provided a document with the corresponding external document ID is configured in the system. If the document is already populated for the student, it will be updated with the information from the most recent Import file.
Regent Award provides automated document management via integration with CPS and COD file imports. The following Document Use Types are reserved for these processes:
Auto Document Management | CPS/ COD Response File Type |
|---|---|
Exit Counseling | EC Response |
Facilitate Parent IRS Data Match Flag | SG and SA Response |
Facilitate Student IRS Data Match Flag | SG and SA Response |
Facilitate PLUS Loan Credit Counseling | CS Response |
Facilitate PLUS Loan Credit Decision | RS, SP and WB Response |
Facilitate TEACH Agreement to Serve | AT Response |
Facilitate TEACH Counseling | AC Response |
GPLUS MPN | PN, RS and WB Response |
Graduate Loan Entrance Counseling | EC Response |
PLUS MPN | PN, RS and WB Response |
MPN | PN, RS and WB Response |
Undergraduate Loan Entrance Counseling | EC Response |
When a document is configured with one of these Document Use Types, Regent Award automatically populates and/or automatically satisfies the document upon import of the corresponding file type. If the document is matched, Regent Award will auto-satisfy the existing document, if the document is not matched, Regent Award will create the document and auto-satisfy on import.
Population by Manual ISIR Assignment
Regent Award provides the ability to populate document requirements for a student upon ISIR import and to set an ISIR status to ‘Active’ manually. If an ISIR is made active manually, and the transaction number is higher than the prior active ISIR’s transaction number, the normal document assignment rules apply at the time the ISIR is made active. The appropriate document requirements are populated for the student per the new ISIR transaction and documents from a previous ISIR may be automatically satisfied or automatically waived under certain circumstances. For example, if a comment code is no longer present on the new ISIR, the document configured to populate for the comment code will be automatically waived.
When reviewing the active ISIR, the documents should also be reviewed to ensure the desired documents are being requested. See the ISIR Management BPA for comprehensive information regarding ISIR and verification management capability in Regent Award.
Population and Status Change by Manual Intervention
Documents may be added, or their status changed in Regent Award manually by users with the appropriate permissions. Typically, the status change is done during the review of a received document(s) but may be done at any point as directed by the business process.
Population by Packaging
Regent Award supports the ability to populate a document when a student is packaged for a specific fund. For example, if Regent Award is configured, it can automatically create the Master Promissory Note (MPN) and Entrance Counseling (EC) documents in a ‘Needed’ status upon packaging of a Subsidized or Unsubsidized loan.
Documents for Verification and Workflow
Regent Award auto assigns verification related documents in a ‘Needed’ status based on the ISIR code. For example, when an ISIR code is imported that requires the Verification Worksheet or Tax Transcript/IRS Match the documents will be auto assigned in Regent Award. Auto assigned documents may also be automatically ‘Waived’. For example, a subsequent ISIR is received resolving a default or overpayment.
When verification documents are required, students will receive a ‘Missing Info’ email communication requesting them to log into the Student Portal and complete the document(s). Once completed and uploaded by the student, the verification documents are updated to ‘Received’. The ‘Review Student Documents’ task is created and assigned to ‘Review Verification Document’ task queue. Once all verification documents are complete, the ‘Ready for Verification task will be created and assigned to the ‘Ready for Verification’ task queue.
If it is determined by the user that the Verification Worksheet was not completed successfully, the user will update the document to an ‘Unsatisfied’ status & ‘close’ the Review Student Documents task and add a Revised Verification Worksheet. The student will receive a subsequent ‘Missing Info’ email communication.
Document Reasons
Regent Award provides the ability to enable pre-defined Document Reasons to ensure consistent messaging across staff when communicating with students. Document Reasons are student-facing notes from the school to provide further instruction to the student based on document review findings. These reasons appear on the document details screen in a dropdown box when a specific document is added or edited for a student in Regent Award. The reason types and text are not able to be edited; however, a reason of “Other” may be selected that will allow the user to add a custom message to the student.
Outlined below are some examples:
Short Name | Reason Text |
|---|---|
Page(s)_Missing | Please resubmit full document, a page or pages are missing (include front and back). |
Need_More_Detail | Please provide additional detail in your statement. |
Need_Signature | Please handwrite your signature, scan and upload the document. |
Scanned_Not_Legible | Please ensure the scanned document is legible. |
Review_Notary | Please submit the document to the mailing address listed on the form. Remember that the form must be submitted with a wet signature and requires notarization. |
Section Blank/Incomplete | Please resubmit the document with all section(s) fully completed. If the information is not applicable, please state N/A. Do not leave a section blank. |
Incorrect_Document | The incorrect document was submitted. Please resubmit the document by using the upload button to upload the correct document. |
Document Export
Regent Award provides the ability to export student documents on a scheduled frequency. Schools can import the content of this student document export file into their document imaging system and SIS to support document-dependent business processes. The Export Document Requirement can be scheduled to run. If the process is scheduled, the Runbook will define the days and times. The document export can also be manually executed from the Processes menu by users with the appropriate permissions.
Unsolicited Documentation
Regent Award does not allow the student to upload any unsolicited documentation via the Student Portal.