TSPR Higher Education Protocols- Chapter 9

Chapter 9
University Relations and Alumni Affairs - Institutional Support

Institutions of higher education encompass large university systems, independent colleges and universities and community colleges. The Texas School Performance Review recognizes that there are vast differences in the cultures and hierarchies of the different types of institutions that will be reviewed. Specific questions in this audit protocol may be more pertinent to some types of institutions than to others and are designed as a guide for the consultants. Regardless of type, higher education institutions benefit from being responsive to the needs of stakeholders, including students, parents, alumni, businesses, other political subdivisions and special interest groups. Stakeholders are more likely to respond appropriately to the institution's needs and concerns if they are well informed about issues facing the institution. For this reason, institutions need mechanisms to disseminate information and to gather feedback from the public. In turn, higher education institutions need to provide public service to the community. The areas reviewed in the section include:
Part 1
9.A. Community and Alumni Involvement
9.B. Public and Media Relations
Part 2
9.C. Public Service
9.D. Governmental Relations
9.E. Review and Evaluation of Contracting Process

PART 1
Effective two-way communication enables higher education institutions to win the confidence and support of the community they serve.
9.A. Community and Alumni Involvement
Texas higher education institutions use a variety of methods to generate external support. Some higher education institutions have large departments dedicated to this function, while smaller institutions must rely on a handful of people who perform a variety of university relations functions. Boards of Regents at the university system and independent college level and Boards of Trustees at the community college level can also play an important role in community and alumni involvement. Boards perceived as accessible and sensitive to stakeholders' concerns are less likely to be seen as insulated from the populations/communities served.
Data Needs

Organization and staffing charts for all communications, community and/or alumni involvement functions, contract functions and external liaison positions including governmental relations representatives and open records personnel.
Departmental mission statement, strategic plan and goals.
Department job descriptions.
Departmental budget.
Copies of internal procedure and policies.
Contracts and agreements with donors (as they apply)
Grants and other external funding sources
Reports showing donations by source type for the last five years, or as available according to the institution's records retention guidelines.
Pertinent internal audit reports

Possible People to Interview
System staff with assigned responsibility
President or vice president with assigned responsibility
Board of regents
Board members at the community college level
Administrative staff with assigned responsibility (directors, coordinators, etc.)
Governor's office or legislative staff
Registrar, Development office staff and counselors
Community and business sector representatives
Chamber of commerce
Civic organizations
Alumni associations and branch officers
Vice president for Finance
Legal counsel
Internal auditor
Activities to Perform

9.A.1. Compile organization and staffing charts for all community and alumni involvement activities, ombudsman or other external liaison positions including open records management functions and interview staff to determine if the organizational structure depicted on the chart(s) reflects the actual organization of the institution and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future and explain why changes are being made.
9.A.2. Obtain copies of job descriptions and based upon the organizational structure and staffing, including support staff, prepare a written evaluation demonstrating whether the structure ensures:

Clearly defined units and lines of authority that are reflected in both the institution's organizational charts and job descriptions;
Minimal duplication of effort; and
Direct and accessible support for all campuses and auxiliary programs.

9.A.3. Compile a list of the institution's various committees, whose makeup includes external stakeholders and determine if committee representatives reflect the demographics of the institution (and the community, in the case of a community college)and if members have appropriate representation.
9.A.4. Compile all planning documents, policies and procedures as they deal with communications, community and alumni involvement and open records management functions. Identify how these documents are linked, if there are conflicts and whether there are existing gaps.
9.A.5. Diagram the open records process and compile a list of recent open records requests. Examine the documentation to determine whether the system adequately captures all requests, including those made to schools or departments, whether the requests are handled within stipulated time frames and whether appropriate, but not excessive, fees are collected to recover expenses related to filling the request.

Questions to Ask
Does the institution conduct periodic reviews to ensure that functions are properly aligned to reduce any overlap of duties? Does the organizational structure encourage external involvement and support?
Is there a single point of contact for people to call to get information about the institution? What mechanisms are in place to educate the public about who to call if they have a question?
How does the administrative staff support school or program-level community or alumni involvement initiatives? How are school or program-level staff supported in their effort to involve members of the public or alumni? Do staff members involved in coordinating community and alumni efforts have other responsibilities that detract from their effort in this regard?
Describe the financial support provided by the institution to alumni organizations and activities?
Is the communication or community involvement plan tied to the institution's strategic plan or board goals and objectives? How are these planning documents linked to improving education?
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?
Do plans contain strategies for maximizing parent, community, business, alumni and foundation involvement in the institution? If the institution is a major university, are these plans developed at the individual college level or by a central administration? When are interpreters provided in native languages and for the deaf or hearing impaired? How are the plans and goals in the community alumni involvement area for each college and department developed so that they are consistent with the institutions overall goals and mission?
Does the institution identify its stakeholders and customers? How does the institution measure success in the community and alumni involvement area?
Who tracks open records requests and insures that the institution remains in compliance with the law? How are legal questions addressed and monitored? Does the institution's legal counsel become involved in the open records process? What charges are associated with legal advice on open records issues?
What mechanisms are in place to ensure that campus staff are complying with open records laws? How are alleged complaints regarding open records resolved? Does the student/parent handbook contain information on how parents should approach complaint resolution? What board-approved recourse does a parent/student have when concerns or issues cannot be resolved at the campus level? At the central office level? How do board members handle complaints that have not been heard at the campus or central office level?
How are procedures for dealing with the media, handling of controversial issues, handling parent complaints, handling of crisis communications and the like communicated to campus staff? What formal training on these issues is available specifically for deans and department heads?
How does the institution publicize key events?
9.A.a. Partnerships
Activities to Perform

9.A.a.1. Interview staff and create a matrix of formal and informal partnerships, interlocal agreements, collaboratives, special committees and other local foundations that work with the board, administration, deans or faculty and in one or two sentences describe the nature of the partnership.
9.A.a.2. Examine policies and procedures that pertain to or impact community involvement and determine how each of these policies is encouraging or discouraging of community or alumni involvement.
9.A.a.3. Review the funding sources for activities provided by partnerships, interlocal agreements, special committees, foundations and so forth.

Questions to Ask
What advisory committees are used when appropriate for input and comment in controversial or significant decision-making matters?
How does the institution solicit input from the public relating to special programs and goals of the institution? At the community college level, does the board support community input by holding public forums, hearing, rotating board meeting locations and the like? Do institutions survey stakeholders (i.e., alumni, community leaders, business leaders, civic leaders, etc.)?
Describe the partnerships with local foundations, as well as national foundations that fund educational initiatives?
What policy and procedures address the use of institution facilities by the community? Do these policies or procedures allow all stakeholders to benefit from their investment in the institution? How does the board ensure that the institution reaches a diverse community of business leaders, religious leaders, civic organizations and community leaders?
Describe the ways in which the institution regularly seeks innovative ways to:

build relationships within the business community and other community groups in order to gain financial or "in kind" donations.
conduct cooperative projects with other governmental bodies, educational institutions and community or business organizations.
establish partnerships with other higher education institutions to accomplish mutual goals.

When building partnerships, does the institution use memoranda of understanding and/or interlocal agreements to ensure clear understanding and agreement among parties involved?
Is there a system for tracking the contributions of both time and money? Is there a directed focus on obtaining additional resources? What ways are being used to involve alumni in campus activities?
Does the institution have volunteer and partnership recognition programs such as donor/volunteer/partner of the year and service awards? Is there adequate funding for contributor recognition and awards programs?
How does this department advertise or solicit business or community partners? How does the institution ensure that businesses and community organizations are not approached multiple times by various groups within the institution? How does the institution assure that only authorized representatives solicit funds? How does the institution assure that funds are solicited for the institution versus individuals or programs? How does the institution ensure that solicited funds are used for the intended purpose?
Who is responsible for fostering business partnerships and collaborating with nonprofit agencies? Who has the responsibility for the creation and nurturing of collaborative partnerships?
Is a community outreach plan part of the institution's annual planning process? Are there strategies for providing feedback to citizens who voice concerns and share ideas?
Does the staff provide a regular liaison to higher education/community organizations?
Does the institution have a memorandum of understanding or interlocal agreement for providing any partnership services?
How are business and community partners involved in fund-raising for scholarships or to supplement the educational or special programs, such as college-retention initiatives and mentoring programs.
Does the institution have special initiatives to foster foundations that offer scholarship programs in inner city higher educations and campuses with high numbers of low income students?
How are the institutions academic units organized to promote a positive relationship with non-parent members of the public? Are there programs in place to encourage retired citizen's to become involved in higher education? Are discount cards or special privileges granted to retired citizens to encourage them to attend higher education events such as sporting activities, theatrical presentations and concerts?
What mechanisms are in place for evaluating the effectiveness of alumni and foundation initiatives?
9.A.b. Foundations
Activities to Perform

9.A.b.1. Prepare a list of foundations organized for the primary benefit of the institution. Obtain copies of charters and tax determination letters. Determine how the foundations are organized and incorporated and give a brief explanation of each foundation purpose, restrictions and list the officers and how they are elected are appointed. List the dollar value of total assets of the foundation as applicable and if a trust exists, list the depository and/or executor of each trust.
9.A.b.2. Examine board policy and other internal documents to prepare a narrative on how and when a foundation is established and how the institution ensures that the funds from the foundation are used according to the intended purpose.
9.A.b.3. Describe the financial support provided by the institution to the foundations and by the foundations to the institution.
9.A.b.4. Review contracts between the institution and foundations, to determine whether they adequately define the financial support and services provided and whether responsibilities are delineated.

Questions to Ask
How does the institution use foundations to enhance and enlarge the programs offered at the institution? What areas of the institution's operations could be further enhanced by the establishment of a foundation?
What processes and procedures are in place to ensure that the institution is carrying out the intent of each foundation? Is there an institutional employee that serves or acts as liaison to the board of each foundation? How is communication between the foundation board and the institution maintained? How does the institution communicate its needs to the foundation for consideration?
Describe the working relationship between the foundations and the institution. What procedures are in place to resolve any potential conflicts? If there has been a conflict, describe how it was resolved.
What fiscal controls exist to ensure compliance with foundation guidelines? Who has check signing authority on foundation funds? How are requests for funds submitted to the foundation? What is the time frame from submission of requests to disbursement of funds? Are there administrative or operational barriers to fund distribution that do not add value to the process? Evaluate whether there is a clear delineation between foundation responsibilities and those of the institution.
9.A.c Parent and Alumni Relations Programs
Activities to Perform

9.A.c.1. By college or department, prepare a list of major parent and alumni involvement programs. Examine the level of giving and success the institution has had as compared to its peers.
9.A.c.2. Talk to parents to gauge their perceptions about the services provided to families and students and determine if the institution's outreach efforts are successful and if parents feel welcome in the colleges and departments.

Questions to Ask
Are there forums where administrators, faculty and alumni leaders can share ideas? What opportunities exist for alumni leaders from various chapters to exchange information and ideas? What institutional staff are assigned to work with alumni organizations?
Is there a plan to aid in identifying alumni concerns and issues? How do colleges and departments encourage alumni involvement? Have they identified specific tasks and opportunities for alumni donor/volunteers? How are alumni notified of needs for donor/volunteers at the campuses?
What specific opportunities exist for alumni to be involved in this institution?
Are there opportunities for alumni to meet and build rapport in order to stay connected to one another and to the institution? What are the institution's efforts in providing alumni access to their own records according to state law?
What is the source of funding for alumni activities? Describe the institution's policy for supporting the administrative costs for development and alumni activities (including investment functions).
9.A.d. Printed and Electronic Communication
Activities to Perform

9.A.d.1. Compile a list of major institutional publications including both external publications and internal newsletters. Prepare a chart showing the frequency of the publication, the target audience, the number of copies distributed and the approximate costs for publishing, printing and mailing each item.
9.A.d.2. Examine the institution's electronic communication network including television or radio broadcasts, any Websites created and maintained by the institution or colleges or departments. Examine the system for email correspondence. Prepare a chart showing each medium's purpose and use, target audience, frequency of updates and the approximate cost for each medium.

Questions to Ask
Does the institution maintain an institutional speakers' bureau and furnish community organizations a list of speakers and topics? Are staff given training in public speaking?
Does the institution have a user-friendly telephone system? Are institution staff trained in telephone courtesy? When callers do not know the name of a person or department, how are inquiries handled?
Has the institution established a system for electronic communication? Has the institution established a procedure for regular communication with employees? Does the institution have an ombudsman, who reports to the president, who helps employees, parents and members of the public negotiate the communication structure?
How is information regarding institutional operations, activities of various institution committees, institution and/or higher education honors disseminated to the community? Does the institution maintain a hotline or informational website where parents, alumni or members of the public can obtain information regarding schedules or emergencies?
Does the institution periodically review and evaluate the public relations program? Has the institution developed an annual plan for a Community/Public Relations program containing goals and objectives for improved university or college relations and are resources assigned for effective implementation?
Has the communications office assessed the public's knowledge and attitudes about the institution through periodic surveys? What does the institution do with survey results and other input/suggestions from the community?
Does the institution have a graphics policy, including such things as a standardized logo, letterhead and colors for use in the media?
9.B. Public and Media Relations
Honest and timely communication with the public and the media is critical if an institution is to maintain the trust and confidence of its stakeholders and the community.
Data Needs

Institutional publications (internal and external)
Student/parent handbooks
Newspaper clippings
Examples of media releases
Parent/alumni survey instruments
Newsletters and calendars

Possible People to Interview
System staff with assigned responsibility
President or vice president with assigned responsibility
Staff as assigned
Local media (including student newspaper)
Parents or Alumni
Parent or Alumni organizations
Activity to Perform

9.B.1. Diagram the process used to communicate with the media showing how inquiries are handled when directed to campus-level staff or to institution administrators and where possible, show the approximate elapsed time between media inquiries and institution responses. Also show how media releases are originated from the central office or administrative levels and show any board involvement in the process.

Questions to Ask
Who reviews, edits and distributes media releases regarding institutional operations or activities? Who coordinates college or department media releases?
Who is the spokesperson for the institution? Who handles media contacts if the spokesperson is unavailable? Is there a chain-of-command or a reporting mechanism to alert the communications office when a media inquiry has been received?
Are formal policies or procedures in place regarding employee contacts with the media? What processes or procedures exist for working with the media in the event of crisis, emergencies, higher education closures and the like?
Describe the procedures/policies for determining who is authorized to speak to the media and how that is coordinated.
What is the institution's relationship with the local media? How are relationships with regularly assigned education reporters nurtured? Does the institution have established communication with the local media that includes:

Personal meetings with local editor(s), reporters or media staff?
Press conferences or news releases for major events and/or activities?
Advance copies of all board meeting agendas with backup material provided upon request?

9.A.1.	Compile organization and staffing charts for all community and alumni involvement activities, ombudsman or other external liaison positions including open records management functions and interview staff to determine if the organizational structure depicted on the chart(s) reflects the actual organization of the institution and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future and explain why changes are being made.
9.A.2.	Obtain copies of job descriptions and based upon the organizational structure and staffing, including support staff, prepare a written evaluation demonstrating whether the structure ensures: Clearly defined units and lines of authority that are reflected in both the institution's organizational charts and job descriptions; Minimal duplication of effort; and Direct and accessible support for all campuses and auxiliary programs.
9.A.3.	Compile a list of the institution's various committees, whose makeup includes external stakeholders and determine if committee representatives reflect the demographics of the institution (and the community, in the case of a community college)and if members have appropriate representation.
9.A.4.	Compile all planning documents, policies and procedures as they deal with communications, community and alumni involvement and open records management functions. Identify how these documents are linked, if there are conflicts and whether there are existing gaps.
9.A.5.	Diagram the open records process and compile a list of recent open records requests. Examine the documentation to determine whether the system adequately captures all requests, including those made to schools or departments, whether the requests are handled within stipulated time frames and whether appropriate, but not excessive, fees are collected to recover expenses related to filling the request.

9.A.a.1.	Interview staff and create a matrix of formal and informal partnerships, interlocal agreements, collaboratives, special committees and other local foundations that work with the board, administration, deans or faculty and in one or two sentences describe the nature of the partnership.
9.A.a.2.	Examine policies and procedures that pertain to or impact community involvement and determine how each of these policies is encouraging or discouraging of community or alumni involvement.
9.A.a.3.	Review the funding sources for activities provided by partnerships, interlocal agreements, special committees, foundations and so forth.

9.A.b.1.	Prepare a list of foundations organized for the primary benefit of the institution. Obtain copies of charters and tax determination letters. Determine how the foundations are organized and incorporated and give a brief explanation of each foundation purpose, restrictions and list the officers and how they are elected are appointed. List the dollar value of total assets of the foundation as applicable and if a trust exists, list the depository and/or executor of each trust.
9.A.b.2.	Examine board policy and other internal documents to prepare a narrative on how and when a foundation is established and how the institution ensures that the funds from the foundation are used according to the intended purpose.
9.A.b.3.	Describe the financial support provided by the institution to the foundations and by the foundations to the institution.
9.A.b.4.	Review contracts between the institution and foundations, to determine whether they adequately define the financial support and services provided and whether responsibilities are delineated.

9.A.c.1.	By college or department, prepare a list of major parent and alumni involvement programs. Examine the level of giving and success the institution has had as compared to its peers.
9.A.c.2.	Talk to parents to gauge their perceptions about the services provided to families and students and determine if the institution's outreach efforts are successful and if parents feel welcome in the colleges and departments.

9.A.d.1.	Compile a list of major institutional publications including both external publications and internal newsletters. Prepare a chart showing the frequency of the publication, the target audience, the number of copies distributed and the approximate costs for publishing, printing and mailing each item.
9.A.d.2.	Examine the institution's electronic communication network including television or radio broadcasts, any Websites created and maintained by the institution or colleges or departments. Examine the system for email correspondence. Prepare a chart showing each medium's purpose and use, target audience, frequency of updates and the approximate cost for each medium.