Maintaining and Managing the Applicant File Tracking Log

1. Maintainingand Managing the Applicant File Tracking Log January 2014

2. Purpose and Objectives Background

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.

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.

5. PRH Requirements policy

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

7. 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. 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. Responsibilities of Records Staff • The records department is • the gatekeeper of all applicant files • must maintain a singleongoing log that contains all the PRH requirements that must be tracked

10. 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. 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

14. Standard Entry

15. Recommendation of Denial

16. Withdrawal

17. Recommendation of Denial – Return to Center

18. Recommendation of Denial – Return to Center

19. Time Extension

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 oneSINGLE log that has the stated PRH requirements documented.

21. PRH Requirements Process

22. The Applicant File Review ProcessThe Tracking Log and Beyond… • An applicant file arrives from Outreach & Admissions (OA) on center and 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) or his or her designee for a health documentation review and initial direct threat review.

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. • Applicant requests withdrawal • Document request and return file to the Outreach and Admissions if a recommendation of denial has not yet been made. • 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.

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 to Debbie Jones, Administrative File Review Coordinator, directly • If the file is returned to the center to complete a clinically-related issue, then return the file to your respective Regional Office

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.

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.”

28. Sample Records Manager Memo

29. Request for Additional Clinical Information

30. Request for Additional Clinical Information

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.

32. Red flags & Best Practices

33. Red flags

34. Best Practices

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.

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.

38. Websites and Regional Support Staff Resources

39. JC Disability

40. Regional Disability Coordinators • Boston, Atlanta and Philadelphia Regions – Kristen Philbrook kristen.philbrook@humanitas.com • Dallas Regions - Laura Kuhn laura.kuhn@humanitas.com • Chicago and San Francisco Regions - Kim Jones kim.jones@humanitas.com

41. Questions