TSPR Higher Education Protocols- Chapter 3

Chapter 3
Student Services

The student services category includes such functions as the registrar and office of admissions that exist for the primary purpose of contributing to students' emotional and physical well-being and intellectual, cultural and social development outside the context of formal instruction. It includes cultural events, student newspapers, intramural athletics, student organizations, intercollegiate athletics (if the program is not operated as an essentially self-supporting activity), counseling and career guidance (excluding informal academic counseling by the faculty), student aid administration and student health service (if not operated as an essentially self-supporting activity). In recent years, some institutions have created an office of enrollment management. For purposes of review, the chapter addresses the following areas:
Part 1
3.A. Student Services Administration
3.B. Recruitment and Admissions Processes
3.C. Enrollment/Registration Processes
3.D. Student Records
3.E. Financial Aid/Affordability
3.F. Health Services
Part 2
3.G. Counseling and Guidance Services
3.H. Enrollment Management
3.I. Student Organizations and Other Activities
3.J. Student Grievances
3.K. Extracurricular Activities
3.L. Contract Services

PART 1
The governance structure of institutions varies depending on whether the institution is part of a system, is independent or is a community college. To account for these basic differences, this protocol will attempt to highlight those differences and may address certain questions or activities to a specific type of institution.
3.A. Student Services Administration
Because the administration of student services is not always centralized and functions may not exist as an independent department within the institution, communication between functional areas is critical to the overall success of the institution and the students it serves. An institution's chief administrative officer for Student Affairs, whose activities are institutionwide and are typically accounted for as institutional support, plays a critical management role in the coordination of disparate functions.
Data Needs

Policies and procedures (local, state and federal) pertaining to the operation
Departmental budgets
Organization and staffing charts for the operation
Job descriptions for employees of the department or operation
Copies of contracts for outsourced or contracted services
Previous internal and external audits
Institution mission statement and goals

Possible People to Interview
System administrator with assigned responsibility or president
Vice president(s) with organizational responsibility for the student services functions
Chief administrative officer for Student Affairs
Registrar
Students and student organizational leaders
Counselors
Recent Alumni
Internal Auditor
Director of Admissions
Director of Recruitment and/or assigned recruiters
Board members if an independent institution or community college
Activities to Perform

3.A.1. Prepare a functional organization chart showing all of the student service functions of the institution as well as the reporting and communication links. Identify places where areas intersect, overlap or where gaps exist.
3.A.2. Prepare a comprehensive list of all student service activities performed by the institution showing the budget and staffing patterns. Describe the services provided and, to the extent possible, the volume of services provided annually.
3.A.3. Examine policies, procedures and planning documents and determine the link between the student service operation and the overall mission and goals of the institution.

Questions to Ask
Is the administration of student services centralized? Who is responsible for the institution's student service initiatives? What is the reporting relationship for this group or individual within the institution's overall organization? Is this position at a level within the organization where meaningful change can be made, if needed, to ensure student success?
Are documented plans, policies or procedures dealing with the institution's student services clear and understandable? How does the institution ensure that all pertinent staff and faculty understand their role in the student services function?
How does the board show its support and understanding of the value added by the student services function? How does the system administrator with assigned responsibility or president show support and understanding of the value added by the student services function?
In what ways does senior management encourage cooperation between departments? Encourage cross-training and information sharing between departments?
Is staffing adequate across all programs? What areas are staff intensive? Which areas depend heavily on technology? How does the system administrator with assigned responsibility, president and senior administration insure that departments have the resources they need to perform the tasks at hand? Are staffing standards used to equitably distribute staff, technology and financial resources among the programs?
Are program administrators or department heads involved in the budgeting and planning processes? What say do they have in the resource allocation models?
How is the departmental budget tied to the institution's strategic plan? What is the process for assuring that departmental funds are budgeted in accordance with the institution's strategic plan?
What mechanisms are in place to promote communication among the various departments providing student services? To promote communication with senior management and the board, as needed? What barriers exist to communication among various student services functions and across campus or other departments? Are periodic planning or discussion sessions held to ensure that all of the student services functions are working toward a common goal of student success?
When conflicts arise between programs, how are conflicts resolved? Are there procedures within one function currently acting to the detriment of another operation? Do individual departments know and understand their role and how it fits into the overall operation of the institution? How would additional knowledge of what other departments are doing help clerical and line staff to perform their tasks more efficiently?
Does the institution have a student services fee administration? If so, what are the procedures for allocating funds?
3.B. Recruitment and Admissions Processes
Identification of prospective students can have a direct impact on the enrollment growth of an institution and the quality of the students coming to the institution. The admissions and recruitment process can also be one of the most exciting, traumatic and frustrating events of a student's academic career. Consequently it is necessary and appropriate for institutions to regularly examine the way in which it organizes and manages the process.
Data Needs

Application for admission
Admission materials
Policies and Procedures pertaining to recruitment and admissions
Budget and Financial Reports for Registrar's office
Organization and staffing charts for the operation
Copies of contracts for outsourced or contracted services
Recruitment/applicant trends for the past three to five years, or as available according to the institution's records retention guidelines.
Uniform Recruitment and retention Strategy
Supporting documentation for "closing the gap"
Previous audit reports
HECB rules
Statutes

Possible People to Interview
System administrator with assigned responsibility or president
Vice president(s) with organizational responsibility
Registrar
Students and student organizational leaders
Counselors
Former students
Director of Admissions
Director of Recruitment
Employees within the admissions and recruitment sections
Internal Auditor
Activities to Perform

3.B.1. Diagram the recruitment and application processes of the institution providing time frames for each step in each of the processes. Identify areas where information can be submitted or retrieved electronically and where databases of information are used to track and retrieve data. Note strengths and weaknesses of the current system and compare the institution's process to that of similar institutions to determine alternative methods that may improve efficiency.
3.B.2. Examine recruitment versus applicant trends for the past three to five years, or as available according to the institution's records retention guidelines.. Note the reasons for applicant denials and, if available, any follow-up data on reasons for failure to enroll following an approved application.
3.B.3. Prepare a list of all student recruitment activities of the institution, both on and off campus, noting who is involved, the cost of each trip or activity, number of prospects identified versus the number of applicants accepted for enrollment.
3.B.4. Examine all policies and procedures related to student recruitment activities and compare them to state guidelines. Compare the policies and procedures to current practices. Note any deviations in practice from policies and procedures or between policies, procedures and state guidelines. Review institutional and departmental performance measures.

Questions to Ask
Student Recruitment
How are prospective students identified? Are applications available online? Does the institution use any outside recruiters to assist them in locating candidates? Are recruiters attending college and job fairs in various cities? Which recruitment activities are producing the best results?
Does the institution finance travel for recruitment on high school campuses? How does the institution measure the success of its recruiting efforts? How does the institution maintain professional relationships with placement offices, faculty members and officials of other colleges and universities? Does the institution have strategies to address targeted student populations (e.g., math, science or minority populations)? Do recruiters have the authority to extend offers to candidates on recruitment trips?
Does the institution provide timely responses to inquiries about enrollment? Does the institution maintain a pool of applicants for future openings? Does the institution have strategies to ensure a diverse student population?
Does the institution distribute written information to candidates explaining the degree plans offered, student financial aid opportunities and characteristics of the institution? Is the institution using any long-term strategies to target high school students early in their careers and offering them some incentives for committing to institution upon graduation?
Application Process
Does the institution use the "standard application" used by other colleges and universities? If so, what supplemental information is requested in addition to the standard application? What purpose does the supplemental information serve and is there another way to achieve the same goal with less effort?
If the institution is not using a standard application form, how is the institutional form different? Are the differences sufficient to warrant the use of a different form? What additional benefits are derived from the use of a unique form? Is there any information obtained on the standard form that is not obtained on the institutional form?
Is the application available on-line? Is the on-line application easily accessible? What supplemental information must be mailed or submitted in addition to the electronic submission? How are electronic submissions matched to incoming supplemental information?
What portions of the application tracking, processing and notification function are automated? At what points are redundant pieces of information entered to the system? How could improved automation reduce the effort of processing?
How are application fees determined? Do fees cover the cost of processing applications?
Can application fees be paid on-line? What cash and check handling procedures guard against loss or theft? How frequently are fee payments deposited? How are payments reconciled to the total? What happens to an application that comes in without a payment attached? Are the applicants promptly notified of the missing payment?
How are the applications tracked? Are applications maintained in hard copy or are they scanned and retained electronically? If scanned, how long are hard copies retained? What controls are in place to ensure that applications are not lost or needlessly delayed?
How are applications evaluated and processed? What prescreening of applications is done to weed out those that are incomplete or do not meet even the most minimal requirements? Who has authority to reject an application outright? For what reasons?
At what point does academic staff become involved in the evaluation process? What delays in the process could be avoided through better coordination? Improved automation?
How does the institution notify applicants of denials? Is the process timely? Is there a process in place whereby an unsuccessful applicant might reapply or provide additional information for consideration? Are unsuccessful applicants notified of their rights or of the internal process for reapplication, if one exists, at the time of denial? How are denials tracked?
How does the institution notify applicants that they have been accepted? Is the process timely? Does the notification provide the prospect with sufficient information to simplify registration? Notify the prospect of available financial aid options? Invite the prospect to visit the institution and/or provide the name of a contact or advisor for follow-up questions?
What type of follow-up is done if accepted applicants do not enroll? At what point is that follow-up done? Are certain applicants followed-up on more rigorously than others? Why or why not?
3.C. Enrollment/Registration Processes
Enrollment/registration can have a direct impact on the growth of an institution.
Data Needs

Application for enrollment
Enrollment/registration materials
Policies and Procedures pertaining to enrollment/registration
Budget and Financial Reports for Registrar's office
Organization and staffing charts for the operation
Copies of contracts for outsourced or contracted services
Enrollment trends for the past five years
Uniform Recruitment and Retention Strategy
Previous audit reports
THECB rules
Statutes

Possible People to Interview
System administrator with assigned responsibility or president
Vice president(s) with organizational responsibility
Registrar and employees within the Registrar's office
Students and student organizational leaders
Counselors
Former students
Activities to Perform

3.C.1. Diagram the enrollment/registration processes of the institution providing time frames for each step in each of the processes. Identify areas where information can be submitted or retrieved electronically and where databases of information are used to track and retrieve data. Note strengths and weaknesses of the current system and compare the institution's process to that of similar institutions to determine alternative methods that may improve efficiency.
3.C.2. Examine recruitment versus enrollment trends for the last five years. Note the reasons for applicant denials and, if available, any follow-up data on reasons for failure to enroll following an approved application.
3.C.3. Examine all policies and procedures related to student enrollment activities and compare them to any state guidelines. Compare the policies and procedures to current practices. Note any deviations in practice from policies and procedures or between policies, procedures and state guidelines. Review institutional and departmental performance measures.

Questions to Ask
Enrollment/Registration Process
What type enrollment form is used? What supplemental information is requested in addition to that which was requested on the application? What purpose does the supplemental information serve and is there another way to achieve the same goal with less effort?
Does the institution have and maintain hardcopy enrollment forms? In absence of written forms how does the institution ensure data integrity? How are the enrollment forms tracked? Are enrollment forms maintained in hard copy or are they scanned and retained electronically? If scanned, how long are hard copies retained? What controls are in place to ensure that forms are not lost or needlessly delayed?
Can students enroll on-line? What supplemental information must be mailed or submitted in addition to the electronic submission? How are electronic submissions matched to incoming supplemental information? How are enrollment forms matched to the original applications? What happens if no application or acceptance can be located?
What enrollment processing functions are automated? At what points are redundant pieces of information entered to the system? How could improved automation reduce the effort of processing?
What portion of the fees and tuition are collected upon registration? What is collected at registration? Can tuition and fees be paid on-line? How are scholarships accounted for during registration? How is financial aid recorded? At what point does the institution transfer funds or receive funds for scholarships or aid? What delays are inherent to the system? What delays could be prevented?
What cash and check handling procedures guard against loss or theft? How frequently are payments deposited? How are payments reconciled to the total collected? What happens if payment is not received? Are the students or parents promptly notified of late payments?
What are the procedures for reregistration? How could the reregistration process be streamlined?
How are the enrollment/registration forms tracked? Are enrollment/registration forms maintained in hard copy or are they scanned and retained electronically? If scanned, how long are hard copies retained? What controls are in place to ensure that forms are not lost or needlessly delayed?
How and when are the various schools or deans notified of the number of enrollees? Is the process timely? Is there a process in place whereby deans can rapidly check on enrollment numbers so that staffing and course adjustments can be made to accommodate changes?
Registration Process
Can students register for courses on-line? Are students provided course schedules in a timely manner so that they can obtain the courses they need for their degree plan? So they can plan their class schedules around work and other family obligations? How are students notified of last minute changes to course schedules that occurred after publication?
How are students notified of entrance requirements such as taking the TASP test? Does the institution give sufficient notice of testing? Offer the test at convenient times for students? Notify the students who cannot afford the fee of possible waivers of the fee? Partner with public schools in their service area to make sure high school students are targeted and offered the test in a timely manner? If the student does not make minimum scores how does the institution ensure that students are enrolled in developing education courses?
Is the current registration process fair and equitable for all students? Are there procedures that would give any student or class of students an unfair advantage in selecting courses and times? How could the process be improved? Streamlined? Made less stressful?
Is the registration process orderly? Is the process explained to the students in advance so that they are fully prepared with all needed information and materials such as a valid drivers license or picture ID, birth certificates, car registration for parking permits and the like?
Who is available during registration to advise students on course alternatives to ensure timely completion of their selected degree plan? What mechanisms are in place to make adjustments to schedules to accommodate enrollment in high demand courses?
What early registration opportunities are available to students? Are returning students provided opportunities for pre-registration?
What portions of the registration tracking, processing and notification function are automated? At what points are redundant pieces of information entered into the system? How could improved automation reduce the effort of processing?
Can registration fees be paid on-line? What cash and check handling procedures guard against loss or theft? How frequently are payments received during registration deposited? How are payments reconciled to the total collected? What happens when the receipts cannot be reconciled?
How are the registration forms tracked? How many instances of errors in the registration process must be reconciled during the first few days of class? What could have been done better or differently to avoid some of these problems? Who helps students, particularly incoming freshmen or new students to resolve problems? Do the students know who to go to for help? Are these people readily accessible?
3.D. Student Records
Maintaining, handling and updating the records for prospective and enrolled students as well as students previously enrolled, is a time consuming but vital function of the institution. There is little room for error or loss since college transcripts are required for employment, continuing education and certifications over the span of an individual's lifetime.
Data Needs

Laws, rules, policies and procedures for student records management
Records retention manuals or guidelines
Organizational Chart(s) of Student Records Function
Budget and Financial Reports for this function
Organization and staffing charts for the operation
Job descriptions for employees of the department or operation
Copies of contracts for outsourced or contracted services
Compliance/audit reports

Possible People to Interview
System administrator with assigned responsibility or president
Vice president(s) with organizational responsibility for student records
Records managers
Deans
Departmental personnel
Internal Auditor
Students and student organizational leaders
Recent Alumni
Activities to Perform

3.D.1. Examine records retention policies, rules and laws concerning student records and then examine a sample of student records to determine if the records are complete, current and accurate. Compare hard copies, if available, to electronic records and note any discrepancies.
3.D.2. Diagram the process for retrieving and supplying copies of student records, beginning at the point when a request is received and ending when the record is delivered to the requestor. Include any check points at which compliance with federal and state laws regarding privacy, etc. Show time frames. Identify any training concerning confidentiality guidelines.
3.D.3. Diagram the process for updating student records particularly the recording of grades and course completion, graduation, withdrawal as well as general file maintenance like address and name changes.
3.D.4. Examine the computer systems that support student record management. Prepare a list of strengths and weaknesses in the current system, including integration with related systems.

Questions to Ask
What student records do law, rule or policy require? What process is in place to ensure that all student records are maintained according to those laws, rules or policies?
How is the pricing structure for copies of transcripts and other records determined? Does the price charged recover the full cost of providing the service? What safeguards are in place to ensure that certified copies of transcripts are accurate? What safeguards are in place to prevent sharing of private information?
Are open records requests tracked? Is the office in compliance with open records laws, rules and regulations?
How are records maintained? Are there hard copies? Is everything that can be, maintained electronically? Are there backups in place to prevent loss by fire, theft or other catastrophic event? Are files secure? Are file cabinets locked? Who has a key? Are they fireproof? Are records stored off-site?
Who has authority to remove a file from the file cabinets? When files are removed from cabinets, how does the next person know who has the file? Is there a "check-out" system in place? Does it work? Why or why not? Are files left laying in "in" or "out" boxes in the office? Who has access to those files while they are waiting to be filed?
Is there sufficient staffing in the student records function to manage the workload? How is productivity measured? How is the work load distributed? Is it equitable among employees?
What is the volume of work produced? Data entry? Document retrieval? Number of requests responded to? What is the normal turnaround time for these functions? Does the turnaround time meet the needs of students, faculty and other customers?
What controls are in place to ensure the accuracy of the data? What items of information must be manually entered into the files? What pieces of information are electronically updated to the files? What redundant entry is done? Why? Is there a way to improve the process flow?
When was the last time that the process was reviewed? Are procedures for the process current? Are procedures clear and understandable? How does the department monitor compliance with policies and procedures? Is there adequate supervision of the function?
What is the process for tracking holds on academic transcripts? Under what conditions are academic transcripts held? Are students aware of these conditions? How are students made aware?
3.E. Financial Aid/Affordability
Higher education institutions are in competition for students with all other higher education institutions. The academic quality and affordability are certainly determinants in the enrollment decision process, consequently institutions must continually assess the affordability of its programs and the ease with which a student can obtain information about and apply for financial aid. Further, the administration of the financial aid function requires knowledge of and compliance with a multitude of federal, state and private funding sources, grants and programs.
Students and their families must have access to information about available aid, understand the limitations and agreements associated with the type of funding they are receiving and receive funds in a timely manner so that related bills can be paid and arrangements made for housing and the like. Institutions must coordinate, to some degree, the application process and the flow of funds from the grantors to the students or the agreed upon recipients of the funds.
Data Needs

Policies and procedures (local, state and federal) pertaining to the operation
Financial reports
Departmental budgets
Organization and staffing charts for the operation
Job descriptions for employees of the department or operation
Copies of contracts for outsourced or contracted services
Compliance/audit reports such as from the Department of Education
Departmental and college scholarships
Awarding methodology
Participation rates for each program
Internal audits

Possible People to Interview
System administrator with assigned responsibility or president
Vice president(s) with organizational responsibility for the financial aid function
Chief administrative officer for Student Affairs
Financial Aid director
Employees who administer financial aid
Registrar
Internal Auditor
Students and student organizational leaders
Counselors
Recent Alumni
Activities to Perform

3.E.1. Compile a list of all financial aid opportunities available directly through the institution such as exemptions, grants or scholarships, loans and work study programs. Show how many students are currently participating in the programs, the cost to the institution, the average dollar value of aid to the student and basic eligibility requirements.
3.E.2. Diagram the financial aid process from the point when a student inquires about the availability of financial aid through the point when all aid is paid out or cleared from a student's account. Provide estimated time lapses for each step, where possible.
3.E.3. Examine internal control and accounting procedures and a sample set of financial aid accounts to determine if sufficient controls exist to ensure accurate and timely payments to students and transfers to institutional accounts, when appropriate.

Questions to Ask
Customer Service
Is the administration of student services centralized? Do students and parents have a "one stop shopping" location to obtain information about all financial aid programs available through the institution? What are the response times for financial aid services? How quickly does the department respond to phone inquiries? Email inquiries? Inquiries during peak periods? Are provisions made to have additional, trained staff available during peak periods?
How quickly are loan deferments and correspondence regarding loan accounts processed? If not processed within seven working days, why not? How quickly are loan applications processed? If processing takes longer than 20 working days, why? How quickly are grant applications processed? If longer than 10 working days, why? How quickly are payments applied to accounts? If payments are not processed within five working days, why not? How often are inquirers redirected to someone else in the organization for answers?
What mechanisms are in place for parents or students to provide feedback on their level of satisfaction with the financial aid assistance they received?
Does the institution use the single "Free Application for Federal Student Aid" form to start the financial aid process? Are any supplemental forms required? What are they are how are they used? What value is added by having a separate form?
How does the financial aid office inform students, of all state and federal funding that will be awarded to students including the issuing of loans from the various financial institutions? How does the institution communicate deadlines? Is the communication sent out in time for parents and students to respond by the deadlines? What encouragement is given to parents and students to submit aid forms early?
What federal and state financial aid programs does the institution participate in? Are there other programs that could benefit students that the institution does not support? Why?
Financial Aid Management
Are financial aid systems adequately automated? What additional automation would improve the flow of information or dollars through the system? Are there points in the process where redundant data must be entered? Are the financial aid systems adequately integrated with other institutional systems to prevent the need for redundant entry of information kept in other systems? What could be done to improve communication between related departments or systems?
How could the eligibility determination process be streamlined? What information must be retrieved manually to verify eligibility? Are there any pieces of information that are asked for but are not used?
How is the award disbursement system managed? Where in the disbursement system can delays be found? What controls exist to prevent inappropriate or unauthorized disbursements? What controls exist to prevent over-commitment of funds? If inappropriate or inaccurate disbursements are made, what is the process used to recover the funds?
Are procedures documented to ensure accurate and timely reporting of all information to state or federal agencies, grantors and the like? Are records maintained in a way that makes retrieval of information for reporting purposes readily available? Are any campus level personnel required to verify and confirm the accuracy of data? Do executive level administrators examine the data submissions and perform logic checks? Who is held accountable for data accuracy? What were the frequencies of errors detected by the agencies?
Exemptions
How does the institution determine who is eligible for exemptions? How does the institution determine whether the exemption is for tuition or tuition and fees? Are exemptions given out based upon approved policies of the institution and in compliance with state law? How are these exemptions accounted for? What IRS and other state or federal reporting requirements must be met for these exemptions? Are they being met?
Grants and Scholarships
How are grants and scholarships awarded? How are the terms and conditions of the grant or scholarship tracked and monitored for compliance? What happens when a student fails to maintain compliance, for example, their grade point average falls below the acceptable level or the required courses are not taken? How are financial need requirements verified? How is the information maintained in the files?
How are scholarships and grants accounted for? Do eligibility requirements for scholarships differ from grants? If so, how? How is the amount of aid the student received in excess of the on-campus charges reported by the institution? How are accounting transfers of funds made between the grant/scholarship and student accounts? How are appropriate payments transferred or remitted to students? Are direct deposits used whenever possible?
Fellowships and Assistantships
How are fellowships and assistantships awarded? How are the terms and conditions of the fellowships and assistantships tracked and monitored for compliance? What happens when a student fails to maintain compliance? How is the information maintained in the files?
Loans
How does the institution process student loan applications? Are they processed in a timely manner (i.e., in time for payment of tuition, fees, other costs by the student)? What is the relationship between the institution and the financial institutions that make the loans? Are student loan proceeds disbursed in accordance with federal and state laws and regulations? Do the institutions send all or part of the dollars to the institution to be held in account, or are payments sent directly to students in some cases? What determines the cash flow? Does the institution receive payments promptly? How does the institution know that a loan has been approved? Are there any collection problems associated with these loans?
If the institution offers campus-based loans (whether federal, state, or local), how does the institution determine eligibility? Are student loan proceeds from these loans disbursed in accordance with applicable federal and state laws and regulations? Have promissory notes been appropriately executed prior to disbursement? Has appropriate loan counseling taken place prior to disbursement? Are outside collection agencies used? If not, what collection policies and procedures does the institution have in place to ensure timely collection? Are there any collection problems associated with these loans?
If any loans are made directly to students from institutional funds, how are collections handled? How frequently are billing sent out? Are outside collection agencies used? When? What kind of success are they having?
Loan Forgiveness or Repayment Programs
How are loan forgiveness or loan repayment programs handled by the institution? What difficulties have been encountered with future or current employers in verifying the status of students within these programs?
Tax Credits, Deductions and Other
How does the institution provide information regarding available tax credits to parents and students? What information is captured and reported to parents for use in claiming tax credits?
Waivers
How does the institution determine who is eligible for a waiver? How does the institution determine the amount of the waivers? Are waivers given out based upon approved policies of the institution and in compliance with state law? How are these waivers accounted for? What IRS and other state or federal reporting requirements must be met for these waivers? Are they being met?
Work-Study Programs
How many students are currently in the institution's work study program? How are students selected for participation? How are students paid for their work? Is money paid by check, deposited into an institutional account for them to withdraw as needed or is it applied against owed tuition? What fund is used to pay these salaries? Are all IRS and other federal or state reporting requirements met?
3.F. Health Services
Health services can be self-supporting and accounted for as an auxiliary service, or they can operate with the financial backing of the institution.
Data Needs

Policies and procedures (local, state and federal) pertaining to the operation
Financial reports
Departmental budgets
Organization and staffing charts for the operation
Job descriptions for employees of the department or operation
Copies of contracts for outsourced or contracted services
Compliance/audit reports
Participation rates for the program

Possible People to Interview
System administrator with assigned responsibility or president
Vice president(s) with organizational responsibility for the student services functions
Chief administrative officer for Student Affairs
Health Services director
Registrar
Students and student organizational leaders
Counselors
Recent Alumni
Internal Auditor
Activities to Perform

3.F.1. Compile a list of all student health service-related activities of the institution showing the basic participation data, fee structure, types of services provided, number of staff and funding sources if not self-supporting.

Questions to Ask
Are students and staff satisfied with the level of student health service they are receiving? Are the fees competitive with other area health care providers? What types of relationships exist with area healthcare providers to handle cases that cannot be handled by the institutional staff?
What serious health-related incidents have occurred in the last few years? What procedures were changed to avoid such occurrence in the future?
Are students and parents provided information regarding health and nutrition programs? What types of health-related training is provided to students?
Can services be claimed on student's health insurance? Medicaid? Other? Are claims being processed and collected in a timely manner? Who is responsible for claim filing and collection?
Does the institution employ or contract for nurses and doctors? If so, how are costs allocated per student? Who maintains student health records? How does the institution ensure that all students are current on their immunizations? What policies and procedures are in place in ensure that student medications are dispensed appropriately? How does the institution handle bio-hazardous waste?
Who maintains medical release forms and other insurance related forms in case of a medical emergency? How are the medical needs of special needs students handled?
Does the institution participate in any cooperative or contract health services such as school-based or school-linked clinics? What are the costs and benefits of participation in such programs?
What procedures exist to safeguard the health records of students and protect student identity? Are there stated policies regarding the release of records?

3.A.1.	Prepare a functional organization chart showing all of the student service functions of the institution as well as the reporting and communication links. Identify places where areas intersect, overlap or where gaps exist.
3.A.2.	Prepare a comprehensive list of all student service activities performed by the institution showing the budget and staffing patterns. Describe the services provided and, to the extent possible, the volume of services provided annually.
3.A.3.	Examine policies, procedures and planning documents and determine the link between the student service operation and the overall mission and goals of the institution.

3.B.1.	Diagram the recruitment and application processes of the institution providing time frames for each step in each of the processes. Identify areas where information can be submitted or retrieved electronically and where databases of information are used to track and retrieve data. Note strengths and weaknesses of the current system and compare the institution's process to that of similar institutions to determine alternative methods that may improve efficiency.
3.B.2.	Examine recruitment versus applicant trends for the past three to five years, or as available according to the institution's records retention guidelines.. Note the reasons for applicant denials and, if available, any follow-up data on reasons for failure to enroll following an approved application.
3.B.3.	Prepare a list of all student recruitment activities of the institution, both on and off campus, noting who is involved, the cost of each trip or activity, number of prospects identified versus the number of applicants accepted for enrollment.
3.B.4.	Examine all policies and procedures related to student recruitment activities and compare them to state guidelines. Compare the policies and procedures to current practices. Note any deviations in practice from policies and procedures or between policies, procedures and state guidelines. Review institutional and departmental performance measures.

3.C.1.	Diagram the enrollment/registration processes of the institution providing time frames for each step in each of the processes. Identify areas where information can be submitted or retrieved electronically and where databases of information are used to track and retrieve data. Note strengths and weaknesses of the current system and compare the institution's process to that of similar institutions to determine alternative methods that may improve efficiency.
3.C.2.	Examine recruitment versus enrollment trends for the last five years. Note the reasons for applicant denials and, if available, any follow-up data on reasons for failure to enroll following an approved application.
3.C.3.	Examine all policies and procedures related to student enrollment activities and compare them to any state guidelines. Compare the policies and procedures to current practices. Note any deviations in practice from policies and procedures or between policies, procedures and state guidelines. Review institutional and departmental performance measures.

3.D.1.	Examine records retention policies, rules and laws concerning student records and then examine a sample of student records to determine if the records are complete, current and accurate. Compare hard copies, if available, to electronic records and note any discrepancies.
3.D.2.	Diagram the process for retrieving and supplying copies of student records, beginning at the point when a request is received and ending when the record is delivered to the requestor. Include any check points at which compliance with federal and state laws regarding privacy, etc. Show time frames. Identify any training concerning confidentiality guidelines.
3.D.3.	Diagram the process for updating student records particularly the recording of grades and course completion, graduation, withdrawal as well as general file maintenance like address and name changes.
3.D.4.	Examine the computer systems that support student record management. Prepare a list of strengths and weaknesses in the current system, including integration with related systems.

3.E.1.	Compile a list of all financial aid opportunities available directly through the institution such as exemptions, grants or scholarships, loans and work study programs. Show how many students are currently participating in the programs, the cost to the institution, the average dollar value of aid to the student and basic eligibility requirements.
3.E.2.	Diagram the financial aid process from the point when a student inquires about the availability of financial aid through the point when all aid is paid out or cleared from a student's account. Provide estimated time lapses for each step, where possible.
3.E.3.	Examine internal control and accounting procedures and a sample set of financial aid accounts to determine if sufficient controls exist to ensure accurate and timely payments to students and transfers to institutional accounts, when appropriate.