maintaining and managing the applicant file tracking log

Maintaining and Managing the

Applicant File Tracking Log

January 2014

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BACKGROUNDPurpose and Objectives

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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.

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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.

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POLICYPRH Requirements

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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

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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

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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.

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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

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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

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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

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ACME Job Corps Center

DOA ID# Last Name First Staff/ Title Date DOR

Final Disposition

Days in Review

Extension

Start Date

Ret. to OA

Comments /Delays

Rec. for Denial

Req. Rec.Date Whom Disp.

11/1/13 1234567 Doe John Moore, Mia/ HWM 11/2/13 11/15/13 11/22/13 21

11/1/13 0101012 Smith Harry Moore, Mia/ HWM 11/2/13 11/20/13 11/21/13

Luz Cruz

RO upheld rec.

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11/1/13 2222222 Jones Leticia Mia Moore/HWM 11/2/13 11/25/13 11/25/13

Ret. File to OA as FRT unable to contact applicant. AC solicited to assist; documentation of efforts to contact in file.

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11/1/13 5454545 Murphy Mary Moore, Mia/ HWM 11/2/13 11/20/13 11/21/13

Luz Cruz

11/8/13 7773337 Harrision Harry Moore, Mia/ HWM 11/9/13 12/5/13 Yes

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ACME Job Corps Center

Date File Ret. from RO ID# Last Name First Staff/ Title Date DOR File Returned to

RO/Reviewer Comments Days in Review

Extension

Req. Rec.

12/10/13 5454545 Murphy Mary Moore, Mia/HWM 12/11/13 12/17/13 12/19/13 9

DOA Date of Arrival

DOR Date or Return

Req. Requested

Rec. Received

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Standard Entry

DOA ID# Last Name First Staff/ Title Date DOR

Final Disposition

Days in Review

Extension

Start Date

Ret. to OA

Comments /Delays

Rec. for Denial

Req. Rec.Date Whom Disp

11/1/13 1234567 Doe John Moore, Mia/ HWM 11/2/13 11/15/13 11/22/13 21

Start Date

11/22/13

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Recommendation of Denial

11/1/13 0101012 Smith Harry Moore, Mia/ HWM 11/2/13 11/20/13 11/21/

13Luz Cruz

RO upheld rec.

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DOA ID# Last Name First Staff/ Title Date DOR

Final Disposition

Days in Revie

w

Extension

Start Date

Ret. to OA

Comments /Delays

Rec. for Denial

Req. Rec.Date Whom Disp.

Rec. for Denial

Date Whom Disp

11/21/13 Luz Cruz RO upheld rec.

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Withdrawal

11/1/13 2222222 Jones Leticia Mia Moore/HWM 11/2/13 11/25/13 11/25/13

Ret. File to OA as FRT unable to contact applicant. AC, S. Davis, solicited to assist; documentation of efforts to contact in file.

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DOA ID# Last Name First Staff/ Title Date DOR Days in Review

Start Date

Ret. to OA

Comments /Delays

Rec. for Denial

Req. Rec.Date Whom Disp

Ret. to OA Comments /Delays

11/25/13 Ret. File to OA as FRT unable to contact applicant. AC, S. Davis, solicited to assist; documentation of efforts to contact in file.

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Recommendation of Denial – Return to Center

11/1/13 5454545 Murphy Mary Moore, Mia/ HWM 11/2/13 11/20/13 11/21/

13Luz Cruz

DOA ID# Last Name First Staff/ Title Date DOR Days in Review

Start Date

Ret. to OA

Comments /Delays

Rec. for Denial

Req. Rec.Date Whom Disp

Rec. for Denial

Date Whom Disp

11/21/13 Luz Cruz

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ACME Job Corps Center

Date File Ret. from RO ID# Last Name First Staff/ Title Date DOR File Returned to

RO/Reviewer Comments Days in Review

12/10/13 5454545 Murphy Mary Moore, Mia/HWM 12/11/13 12/17/13 12/19/13 9

Recommendation of Denial – Return to Center

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Time Extension

11/8/13 7773337 Harrision Harry Moore, Mia/ HWM 11/9/13 12/5/

13 Yes

DOA ID# Last Name First Staff/ Title Date DOR Days in Review

Start Date

Ret. to OA

Comments /Delays

Rec. for Denial

Req. Rec.Date Whom Disp

Req. Rec.

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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.

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PROCESSPRH Requirements

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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.

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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.

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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

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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.

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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.

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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.”

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Sample Records Manager

Memo

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Request for Additional

Clinical Information

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Request for Additional

Clinical Information

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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.

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RED FLAGS & BEST PRACTICES

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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.

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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.

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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.

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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.

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RESOURCESWebsites and Regional Support Staff

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JC Disability

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Regional Disability Coordinators

Boston, Atlanta and Philadelphia Regions – Kristen Philbrookkristen.philbrook@humanitas.com

Dallas Regions - Laura Kuhnlaura.kuhn@humanitas.com

Chicago and San Francisco Regions - Kim Joneskim.jones@humanitas.com

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Questions