1. Maintaining and Managing the Applicant File Tracking Log July 2015

2. BACKGROUND Purpose and Objectives 2

3. Purpose  Review the requirements associated with the maintenance and management of the file tracking log.  Provide strategies and tips for efficiently managing this process.  Highlight red flags to be aware of within the applicant file review tracking process. 3

4. Learning Objectives  Identify and implement a file review log that meets all of the PRH requirements for tracking an applicant file from the time it arrives on center until there is a disposition on the application.  Identify or list the acceptable reasons a file may be returned to Outreach and Admissions.  List 2 best practices in maintaining documentation and tracking applicant files. 4

5. POLICY PRH Requirements 5

6. PRH Requirements for Records Management of Applicant Files  Chapter 1 Section 1.4, R2 – Applicant File Review Process ○Responsibilities of Records Staff Appendix 107 – Applicant File Review Guidance – Center Process ○Center Applicant File Review Process  Chapter 6 Section 6.14, R2 (c) – Applicant File Review Process 6

7. Other Policy Support  Program Instruction 14-06 Provides a sample “Applicant File Review Log” Advises of the “Maintaining the Applicant File Tracking Log” Webinar ○Released August 2014 7

8. Standard Operating Procedure  Each center is required to have a written procedure describing the center’s process for reviewing applicant files. This policy should describe in detail how an applicant file is processed from the time it arrives on center until the applicant is accepted into the program and assigned a start date, or recommended for denial and a final disposition made by the Regional Office. Who’s responsible for the development of the SOP? ○Typically that would the Disability Coordinators because this process encompasses more than just the tracking of the applicant file. ○Sample SOP on JC Disability Website. 8

9. Timelines  The applicant’s file must be processed within 30 calendar days from receipt by center. If the center reasonably can substantiate needing the file longer than 30 days to complete the file review process, then an extension request may be submitted to the respective Regional Office, specifically to the center’s Program Manager.  If the file is in Regional Review and has been returned for completion of some process concern or for further clinical review, the file is to be completed and returned to the sender within 10 business days. 9

10. Responsibilities of Records Staff  The records department is the gatekeeper of all applicant files must maintain a single ongoing log that contains all the PRH requirements that must be tracked 10

11. Applicant File Review Log  The log must contain: The date the file arrived on center To whom each file was sent How long a file has been with a particular department or staff member How long the file has been on center Notes/explanation of any delays in the process The start date or an explanation of the disposition of the file/application 11

12. Tracking Files in Regional Review  For those files sent to the Regional Office for review, the log must contain: the date the file was sent to the Regional Office to whom it was sent the final disposition of the file/application 12

13. 13 Sample Applicant File Review Log

14. 14

15. Standard Entry 15

16. Withdrawal 16

17. 17 Recommendation of Denial – Return to Center

18. Recommendation of Denial 18

19. Time Extension 19

20. Quick Check!  How many “official” logs must the center maintain? Only one that contains all of the log requirements listed in the PRH!  Can you maintain more than one log? If you maintain other logs, you must still have the one SINGLE log that has the stated PRH requirements documented. 20

21. PROCESS PRH Requirements 21

22. The Applicant File Review Process The Tracking Log and Beyond…  When an applicant file arrives from Outreach & Admissions (OA) or any other source, it should be immediately forwarded to the records department to be logged into the Applicant File Tracking Log.  The records department enters the necessary file information into the tracking log and forwards the sealed medical, health, and/or disability- related information unopened to the Health and Wellness Manager (HWM). 22

23. Withdrawal Process during Center File Review – no application disposition recommended yet  There are two occasions when the center may send an applicant file back to OA to process as a withdrawal. 1.Applicant requests withdrawal ○Document request and return file to the Outreach and Admissions if a recommendation of denial has not yet been made. 2.The center is unable to reach the applicant to conduct clinically-related interviews. ○Document the attempts to contact including collaborations efforts with OA and return the file to OA. 23

24. Withdrawal Process during Center File Review – File is in Regional Review  If the file has been returned to the center to complete any portion of the applicant file review process and the center is unable to reach the applicant, even with the AC’s assistance, then the file must be returned to the person/office that sent the center the file and not back to OA If file is returned to the center to complete a process issue, then return it directly to either Debbie Jones or Laura Kuhn, dependent upon which individual sent the file to the center ○Refer to the memo attached to the file that includes the instructions of who to return the file to when completed If the file is returned to the center to complete a clinically-related issue, then return the file to your respective Regional Office 24

25. Quick Check!  When can a file be sent back to Outreach and Admissions if an applicant file has not yet been recommended for denial? If the applicant requests withdrawal verbally or in writing. If the center clinical team cannot reach the applicant, even with the AC’s assistance, to complete the clinical interviews.  When can a file be sent back to Outreach and Admissions if an applicant has been recommended for denial and the file is in Regional Review but was returned to the center to complete some additional information? Never. The file must always be returned to the Regional Office or to the Regional Administrative File Review Coordinator/Disability Program Analyst, whichever person sent the file to the center. 25

26. 26 Withdrawal – No recommendation of denial and file is returned to OA Applicant calls or emails and says s/he is no longer interested in participating in the program. File Review Team (FRT) or Reasonable Accommodation Committee (RAC) is unable to contact applicant to complete required clinical interviews and/or reasonable accommodation interactive process. Withdrawal – File is in Regional Review and file is returned to the Regional Office or individual who originally sent the file (See memo that came with file) Applicant calls or emails and says s/he is no longer interested in participating in the program. File Review Team (FRT) or Reasonable Accommodation Committee (RAC) is unable to contact applicant to complete required clinical interviews and/or reasonable accommodation interactive process.

27. Receiving Files Returned to the Center that are in Regional Review  If the file is returned for a process issue that has to be completed, the file will be returned with a cover memo addressed to the Records Manager.  If the file is returned for a clinical reason, the file will be returned with a “Request for Additional Clinical Information Memo.” 27

28. Sample Records Manager Memo 28

29. Request for Additional Clinical Information 29

30. Request for Additional Clinical Information 30

31. FYI’s, Odds & Ends…  You may maintain an electronic or paper version of the tracking log although an electronic version may be easier and more practical given the amount of data to be maintained.  Do not periodically delete entries in the log. Maintain an ongoing log; however, you may start a new “single” log each program year. Keep the previous log available, however.  If the center is full and applicants are on a waiting list, note that the applicant file review process is complete in the disposition section and applicant is pending enrollment per available bed space, etc. Please do not delete any applicant’s entry on the log because the center is full. 31

32. RED FLAGS & BEST PRACTICES 32

33. Red Flags Insufficient Documentation If the center has requested additional documentation about an applicant and it does not receive that information, the center must make a decision on the information that is available to it. The applicant file cannot be returned to OA to process as a withdrawal. Lack of Dates & Details in Disposition Column Failure to include dates, names of individuals involved and their titles, details of the situation or conversation and to maintain copies of any supporting documentation (e.g., emails received, sent, etc.) leads to additional review and time spent on identifying dispositions of files. 33

34. Best Practices Use Cover Memos when Returning Files to OA As you have learned, there are very few reasons that a file may be returned to OA as per JC policy. Use a memo with these reasons listed, checking the specific reason and maintain this documentation. Documentation to Support Records Log If log says that that the AC requested a file to be returned, then print out the email and maintain with the log documentation. If requested via phone, best practice would be to request an email but document date and circumstances as to why AC was requesting file to be returned. 34

35. 35 Drop-down Boxes:

36. Sample Disposition Statements  Acceptable or not? Returned to OA. Returned to OA due to insufficient medical documentation. Applicant is pregnant. Applicant sent email dated 1/20/14 and received by M. Moore, HWM, stating she no longer wished to enroll in Job Corps. File is being ret. to OA on this date to process as a w/drawal. Applicant called center on 11/2/13 and spoke to T. Harrison, TEAP Counselor, stating that he had changed his mind and did not want to come to a smoke-free center. File returned to OA on 11/5/13 to process as a withdrawal. 36

37. Sample Disposition Statements  Acceptable or not? File sent to Regional Office on 12/15/13 as rec. of denial; File received back on 1/8/14 from D. Jones to complete center process; FRT could not reach applicant so file is being ret. to OA on 1/19/13 to process as a w/drawal. AC, J. Smith, contacted center by phone on 1/4/14 and stated that applicant had changed his mind and no longer wished to attend Job Corps. File is being ret. to OA on this date to process as a w/drawal. 37

38. RESOURCES Websites and Regional Support Staff 38

39. Sample Log & Cover Memo Links 39 Applicant File Review Sample Log: https://supportservices.jobcorps.gov/disability/Documents/Sample%20Applicant%2 0File%20Review%20Tracking%20Log.xls Return to AC Sample Cover Memo: https://supportservices.jobcorps.gov/disability/Documents/Sample%20Return%20t o%20AC%20Cover%20Memo.docx

40. JC Disability 40 https://supportservices.jobcorps.gov/Pages/default.aspx

41. Regional Disability Coordinators Boston, Philadelphia and Atlanta Regions – Kristen Philbrook Kristen.Philbrook@Humanitas.com Dallas Region – Laura Kuhn Laura.Kuhn@Humanitas.com Chicago and San Francisco Regions – Kimberly Knodel Kimberly.Knodel@Humanitas.com 41

42. Questions 42