ADMINISTRATIVE ASSISTANT
                  STANDARD OF PROCEDURES
1. Opening the office (9 AM Sharp)
     Disarm the alarm ( code: 0410)
     Adjust temperature
     Turn on the lights
     Open blinds
     Straighten lobby area
     Check bathroom ( add supply if necessary)
     Check Fax ( Add papers if necessary)
     Turn on copier
     Make coffee (only by request, or if you want it)
     Check Voice Mail
     Check email
     Check Goldmine

2. Everyday Routine:
         Check voice mail every 1 hour.
         Make sure clients’ phone messages are entered in goldmine (under
          Notes). Type the time the clients call.
         Do not answer the phone from 12-2 PM (Do projects that required no
          interruption between 12-2 pm, such as making appointments, etc.)
         Take your 1 hour lunch. Choose 12-1 PM or 1-2 PM. Other times, need
         Pick up mail ( around 12 PM)
         Drop off mail around 4 – 4:45 PM
         Confirm the next day appointments
         Organizing office.
         Put files in the right place
         Check bathroom every 3 hours. ( clean up if it needs attention)

3. Closing (6 PM)
         Check Voice Mail
         Report: Email Ron and Ed at the end of the day about what you have
          done throughout the day
         Also email; us the list of projects that have not been done or half done.
          Let us know specifically where you are at.
         Print out schedule for the next business day.
         Put client files for today appointment at planners’ desk
         Make sure your desk is organize.
         Check Fax
         Check for Drinking Water and Cups (make sure they are not empty)
          Turn off lights
          Straighten lobby area
          Clean up coffee machine
          Check for sugar, creamer, and straws (make sure we got plenty next to the
           coffee machine)
          Close all blinds
          Arm the alarm: punch in your code. The door has to be closed.
          Lock the door

4. Every Friday:
      Inventory of supply
      Clean up copy room.

5. Every 15th of the month
      Order supply (Staples, office depot, etc)
      Order applications and prospectuses

6. Greeting Clients:
          Welcome clients and introduce yourself
          Offer them coffee, water, or soda, etc.
          Tell them that Ron or Ed will be with them in just a few minutes.
          If Ron or Ed is with another client, knock on the door before opening it and
           announce that the next clients are in the lobby.
          If clients are early and planners are with other clients, let Ron and Ed know at
           the time the appointment supposed to be.

7. Phone:
      Answer phones on the 2nd ring
      Answer “Good Morning/ Afternoon/ Evening, College Planning Specialists, this
       is (your name) How may I help you?
      Take messages for ALL calls. (Use the message pad)
      Make sure relay the message
      Exception: Kathryn and Jessika for Ron
                   Paula Graff for Ron
       (Unless Ron is with clients)
      Ron and Ed will let you know if there are any other calls that they are waiting for.

8. Message Center:
Check Voice mail every hour
    Voicemail for each extension can be checked by pressing voicemail + extension
    4 to repeat or rewind messages
    9 to save messages
      7 to cancel/ erase messages

Workshop’s RSVP line:
  1. 599-8175
  2. 599-8476
  3. 599-8495

Check RSVP line start with the first day we advertise up to the end of the day of the

Create an RSVP list for each phone line.

9. CONFIRMING RSVP for Workshop
Call up the RSVP list to confirm the time, date, location and number of seats they
Call when you receive their message to let them know that we put their name on the list.
Call the day before the workshop date to remind them.

   10.Workshop set up:
           Check Workshop RSVP line
            Confirm RSVP the day before workshop. When calling or leaving
              message; remind them the time, location, and number of seats they
            Confirm Workshop Location the day before.
            Make sure we have enough Workshop Kits and $475 Certificates

What we need for workshop:
  1. Overhead projector
  2. Presentation Slides
  3. Black and color markers
  4. Attendance sheet
  5. Seminar signs
  6. Scotch tape
  7. Duct tape
  8. Workshop Kits
  9. Business cards
  10. Pencils & Pens
  11. Color coded drinks for dinner workshops. Red for coke, Green for sprite/ 7up,
      and yellow for ice tea.
  12. $475 Consultation Certificate (make sure stamp the expiration date) 2 WEEKS

   ONLY GIVE OUT $475 Certificate to family that turn in evaluation sheet
   13. Bring the printout of the Ron and Ed’s schedule for the next 2 weeks.
   (So, you can assist clients who would like to set up the appointment on the spot)

Workshop Kit:
Put this in order:
   1. Chapter 1 of the books
   2. A checklist of things…
   3. Testimonials
   1-3 are placed on the left side of the folder. #1 should be on top and #4 should be on
   the bottom.

   4. Evaluation Sheet
   5. Service List and Price
   6. Rules to get 1 hour no obligation free consultation.
   7. Financial Planning Information Form
   5-7 are placed on the right side of the folder. #5 should be on top, and #7 should be
   on the bottom.

To do in the workshop:
Helping with the workshops and learning the workshop material is mandatory for
an administrative assistant

      Arrive at least 30-40 minutes before the workshop time
      Check in with the person in charge of the location
      Arrange the chairs and tables ( normally this should have been done prior to your
      Set up projectors, boards ( Check with presenter what they need)
      Set up signing in table with 2 sign in sheets and pen/ pencils
      Set the workshop kits on the table
      Greet guests
      Assist guest to sign in
      Give 1 kit per family, unless they request more
      On the dinner seminar, offer the choice of drinks and give them the drink code
      After presentation, collect the evaluation sheets
      Give guests the $475 Consultation Certificate when they would like to get the free
      Set up appointments on spot when clients ready.

After Workshop:
   1. Sort out evaluation sheets.
   2. Write down in pencil the 2 time slots you give them
   3. Input in Infusion
   4. Run the statistics (Check: How to run statistic)
   5. Call prospects who say yes for a free consultation to set up an appointment
      (Check: Appointment setting)
Workshop Statistic:
   # of mailing sent / ads.
   # of RSVP
   # people show
   # buying units
   # of turned in evaluation sheet
   # of yes to free to free consultation
   # of appointments made
   # of appointments show
   # of families hire us

10. Filing System

A. Administration
    Manual Books
    Discover Cards
    Office Depot
    Staples
    Airborne Shipping
    Pitney Bowes
    Pacific Bell
    Mini Storage
    Staff Meeting
    Ron’s Travel Itinerary
    Masters files
    Alphagraphics
    Expan Questioners
    Phil Singer/ Gift Box
    Bachrach & Associate
    RLI Mortgage

B. Human Resources
    Staff’s file with emergency contact number
    Employee Profile
    Payroll
    Workers Compensation
    EDD
    Employee’s insurance
    Employment Application
    Maria Villicanabedolla
      Ed Sanderson
      Ron Caruthers
      James Flores

C. Marketing
    Press Release
    American Student List
    RME
    Dispatch America
    Fax Advertising
    San Diego Jewish Press ( Heritage)
    Banquet Info for seminars
    Competitors
    Marketing ideas
    Mira Costa
    Palomar College
    Cash for College Info
    Q&A
    Camino Perdido Publishing
    Teleconferencing
    List of Publicity
    Advertising
    Competition Ad
    Ideas
    Marketing piece
    Testimonials
    Tower
    Seminar Sites/ Locations: Palomar
                               o Mira Costa
                               o Old Spaghetti Factory
                               o San Diegito

D. Finance/ Accounting
    Expense
    College Planning Payment Log
    Receipts
    Taxes
    Bank Account
    Graff Bookeeping
    Donation
    Discretionary Accounting Log
    Account Receivable
E. Next Financial Group
    Compliance
    Trade and check log
    Trade confirm
    Agent’s appointment
    Licensing
    Complaint
    Signature Guarantee Log
    Life Insurance Log
    Licensing
    IAR Client Log
    Dept of Corporation
    Advertising
    Trial balances and Financial Statement
    Wells Fargo Bank
    Caruthers’ Balance Sheet
    Caruthers’ P&L
    Caruthers’ Bank Statement

F. Legal
     Business permit
     Fictitious Business Name
     Lease-office
     Property Statement
     Contracts
G. Next Financial Group File
     Compliance
     Advertising
     Trade Log
     Do Not call List
     Press release
     Trade Confirms
     College Planning Specialists, Inc
     Ron’s P&L
     Commonwealth Commission

H. Client Files
Every file has its own hanging folder
Put the admin file (clients’ names) inside of the accordion file.
In the accordion folder we have:
1. Admin File ((clients’ name)
2. College File (colored paper according to graduation year). 1 college file per student
3. Client Documents
4. Internal Transaction

      Admin File:
         1. Any correspondence to company provider and commonwealth
         2. email print out
         3. gift box receipt
         4. Any admin related file
         5. Invoice, receipt

      College File: each kid got their own college file
          1. FAFSA
          2. Profile
          3. GPA
          4. Student’s SS#
          5. Student’s driver license copy
          6. Student’s SAT’s score
          7. Schools list
          8. Career and college search
          9. Any documents for kids/ students

          Client Documents
              1. Financial Planning Information Form
              2. Any documents that the clients give us
              3. Their investment statement
              4. Mortgage statement
              5. Back account statements
              6. Life insurance statements
              7. Retirement plan statements

        Internal Transaction
       1. Ron and Ed’s notes (yellow paper)
       2. FME software printout
       3. Dictation / our notes
       4. Our illustration / North American Co./ term insurance, etc
       5. Our proposal
       6. Any documents/ paperwork that we process for them
       7. Any documents of investments that we take over
       8. Investment Statements
       9. Life insurance policy
       10. Life insurance applications
       11. Investments applications
       12. etc
For old clients who is not renewing their college planning, the college documents will
be put together with the admin file

Client Files are placed based on Client’s status

Status 1 (1st Appt)
Yes, Wants Free Consultation
Evaluation Sheet from Workshop. ( Those who check yes and wants an appointment) All
info needs to be input into Goldmine before making the appointment. (Waiting to get the
After we scheduled an appointment, create this file. ( Individual manila folder). Inside of
this file will be College Planning Service Checklist, unconditional guarantee, and
Evaluation sheet.
Put this file in one area and distribute them to planner’s inbox the morning of the
Evaluation sheet for those who set the appointment. ( shopper’s ). No show will stay in
this File and needs follow up phone call reminding them the expiration date for the Free

Status 2 (Pending to hire)
Evaluation sheet/ may be some documents/ and notes from the first appointments for
those who is waiting to hire us. Give those 24 hours to get back to us. If they don’t get
back to us in a week, transfer this to File 2.

Status 3 (Pending to Pay)
For those who hire but have not paid

Status 4 (Pending Document)
Put this file in an accordion binder/ file with all their Documents
Once they pay, put the file from manila folder into the accordion binder.
Get all the missing documents/ info. Staff is responsible for this.

Give all the info to Planner so Planner can fill up proposal request form and submit
dictation to be typed

Status 5 (Action)
(Action for analysis)
Do analysis according to request.
Proposal will request to do FME software, Mortgage Illustration, Clarica illustration,
Financial Planning Illustration, etc.
Dictation notes goes to this File to support all the requested proposals.

(Action for Financial Planning)
Making sure that 2nd appointment is scheduled.
This file is also for after 2nd appointment, when planner needs to work more on the case.
Things that needs to be followed up to commonwealth, trustees, underwriter, NACFA,
Making sure that Student’s appointment is scheduled. When student comes in, process
the expan software (career and college profile)

(Action for College Planning)
Need to do FAFSA
Need renewal FAFSA
Need pin #
Need to do Profile
Need other institutional form
Need follow up on anything
Need to review SAR

Status 6 ( dead File)

Check list for Client File Folder:
1. Seminar Date
2. 1st appt date
3. Hire Date
4. All Documents
          Completed Financial Planning Information form
          Copy of most recently filled Income Tax Return, W-2, other income forms,
             INT-1099, and etc. For both student and parents.
          Copy of most current all investment statements, brokerage statements, 401k
             statements, retirement plan statements, IRA info-- etc. For both student and
          Copy of most current Life insurance statement. For both student and parents.
          Copy of most current mortgage statements
          Copy of most current other properties/investments statements
          Copy of most current business (self-employment) records, and/or farm records
          Copy of Student’s California drivers license
          Copy of Student’s Social Security cards
          Copy of Current GPA, SAT, and ACT score.
          Your alien registration number – if you are not an American citizen
    5. Payment Date: Credit Card ( listed Credit cards that we take and Check)
    6. Date of 2nd appointment
    7. Date of student’s interview

12. Schedule Appointments:
    Schedule appointments in the Infusion.
   Monday: 2:15 PM- 5:15 PM
   Tuesday: 10:15 AM- 5:15 PM
   Wednesday: 9:15 AM- 4:15 PM
   Thursday: 9:15 AM-4:15 PM
   Friday: No appointments.

   Other times: need approval before setting the appointments.
    Contact prospects from workshop the day after the workshop
    2nd appointment should be made once clients hire us.
    Try to cluster appointments together so that clients see other clients as they are
      entering or leaving.
    Make sure you give them 2 options of availability.
    If you leave a message, give them the 2 availability time and let them know we
      are booked fast, and they need to call us ASAP or we will give the spot to
      someone else.
    Remind the Clients about the rules of appointments and review all the
      documents they need to bring.
    Offer to give direction to the office.
    Email, fax, or mail the list of the Documents they need to bring, direction to the
      office, letter of confirmation, and RULES.
    Put Client files in the Client file Status 1( 1st Appt)

Rules for 1st Appointment:
This is mandatory, especially rule #2. Ron and Ed will not see them if they don’t follow
Rules #1 and 2

   1. Set appointment during regular business hours. Our business hours are Monday-
      Thursday 9:00 AM - 5:00 PM
   2. Both parents have to come for appointment, unless they are a single parent
   3. Complete the Financial Planning Information Form prior to appointment
   4. Bring copies of all the documents and info needed
   5. Bring a valid $475 Consultation Certificate to receive a free consultation. (Make
      sure check the expiration date)

Documents for 1st appointment
   1. $475 Consultation Certificate to waive your consultation fee.
   2. Completed Financial Planning Information form (find this form inside of your
      confirmation letter)
   Please make sure to complete as much information as possible!
   3. Copy of most recently filled Income Tax Return, W-2, other income forms, INT-
      1099, and etc. For both student and parents.
   4. Copy of most current all investment statements, brokerage statements, 401k
      statements, retirement plan statements, IRA info-- etc. For both student and
      5.   Copy of most current Life insurance statement. For both student and parents.
      6.   Copy of most current mortgage statements
      7.   Copy of most current other properties/investments statements
      8.   Copy of most current business (self-employment) records, and/or farm records

Documents for 2nd Appointment
   1. Copy of Student’s California drivers license
   2. Copy of Student’s Social Security cards
   3. Copy of Current GPA, SAT, and ACT score.
   4. Your alien registration number – if you are not an American citizen
   5. All other missing information

After scheduling the 1st appointment:
    Put Client’s evaluation sheet and a copy of the confirmation letter in the manila
    Put file in File 1 (1st appt).

1st Appointment
Offer beverage
Check all the Financial Planning Info.
Check all the documents
Fill up the missing info

13. Compose Letter

14. Goldmine

15. Discover Program

16.        Urgency/ Priority

17. Being Proactive

18. Efficiency/ Effectively

19. Communication
              Concise, accurate, write correspondence
           Nothing is beneath you and nothing is above you.

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