Member File Documentation July 22, 2015

Housekeeping Should be able to hear AND see the webinar. Use both the call-in number AND the web link provided Handouts received Please mute your phone when not asking a question or enthusiastically participating Before we begin, the normal housekeeping items. First, you should be able to see and hear the webinar - please make sure that you have clicked on the log-on link and also called in via the number provided. If you are having problems viewing the webinar, do not worry – you can follow along via the handouts we sent you yesterday. Any questions about viewing the webinar? You should have received three handouts for today: a copy of the PowerPoint presentation, the updated PennSERVE National Criminal History Check Verification form and the CNCS National Service Criminal History Check FAQs. Does anyone needs those handouts? And finally, please keep your phone on mute when you are not asking a question or enthusiastically participating when we ask questions of you. Any questions before we begin?

Required Member File Components (1 of 2) Member Application Form Proof of identity/age verification Proof of citizenship verification CNCS Enrollment Form (as filed on My AmeriCorps Portal) W-4 Tax Form, for members receiving a living allowance All required Criminal History Checks for the member’s access type, including: NSOPW PA State Background Check Out of State Background Check, if applicable FBI Background Check DPW Childline Check Accompaniment details, if applicable

Required Member File Components (2 of 2) Signed and Dated Member Contract, including the following: Offer of Childcare Subsidy, and if approved: Childcare Subsidy Eligibility and Enrollment documentation, including Birth Certificate(s) of Child(ren) Offer of Healthcare for full-time members: If enrolled, proof of enrollment If waived, proof of alternate coverage Signed Member Position Description Member Evaluations Copies of all Correspondence to or about the member, including any correspondence related to early exits or suspensions Change of Status Form (As filed on My AmeriCorps Portal, for members requiring a suspension, reinstatement or transfer) Exit Form (As filed on My AmeriCorps Portal)

Required Member Documentation Every enrolled AmeriCorps member must have a records file with the required documentation Documents in the member file are considered federal documents Documents requiring a member signature and date may not be completed or altered by staff

Your Program is Responsible For: Obtaining the required documentation from members Compiling the member file and making sure you have ALL required documents Storing the member file (must be kept for 3 years after the program year closeout) Providing documentation to PennSERVE and/or CNCS upon request

Member Application Form May NOT be an application for employment for the general organization At minimum, must include: The AmeriCorps Logo Date of the application Address at time of application

Proof of identify/age verification Government Issued Photo Identification Allowable: Unallowable: The photo i.d. must be a government-issued identification. A university i.d. is acceptable if it is a public university, but private institution i.ds are not acceptable.

Proof of Citizenship Verification The following are acceptable forms of certifying status as a U.S. citizen or national: A birth certificate showing that the individual was born in one of the 50 states, the District of Columbia, Puerto Rico, Guam, the U.S. Virgin Islands, American Samoa or the Northern Mariana islands A U.S. Passport A report of birth abroad of a U.S. citizen (FS-240) issued by the State Department A certificate of birth-foreign service (FS 545) issued by the State Department A certificate of report of birth (DS-1350) issued by the State Department A certificate of naturalization (Form N-550 or N-570) issued by the Immigration and Naturalization Service (INS) A certificate of citizenship (Form N-560 or N-561) issued by the INS. The I-9 Form is NOT acceptable citizenship documentation!!!!!

Proof of Citizenship Verification The following are acceptable forms of certifying status as a lawful permanent resident alien of the United States: Permanent Resident Card, INS Form I-551 Alien Registration Card, INS Form I-551 Passport indicating that the INS has approved temporary evidence of lawful admission for permanent residence A Departure Record (INS Form I-94) indicating that INS has approved it as temporary evidence of lawful admission for permanent residence

Proof of Citizenship Verification Secondary documentation – If primary documentation is not available, the program must obtain written permission from CNCS and PennSERVE to approve other documentation as sufficient to demonstrate the individual’s status as a U.S. citizen, U.S. national or lawful permanent resident alien.

Alternate to Making Copies: Written Confirmation of Documentation CNCS does not require programs to make and retain copies of the actual documents used to confirm eligibility as long as the program has a consistent practice of identifying the documents that were reviewed and maintaining a record of the review.

Alternate to Making Copies: Written Confirmation of Documentation A consistent practice for documenting eligibility should: Identify the specific original document reviewed; Identify the eligibility criterion or criteria that the document confirms; Include any identification number and issuing/expiration date for the document reviewed; and Include the signature of the reviewer confirming the review and the date of the review.

Common Compliance Issues No application to the program Documents dated by staff, rather than by members All documents required to be filled out by the member must be completed by the MEMBER Correct Date not provided Remember: All Documents in the Member File Become FEDERAL DOCUMENTS!!!

Common Compliance Issues: Member Citizenship Documentation Citizenship documentation not collected before enrollment Program fails to collect proof of citizenship from member Program uses ineligible documentation I-9 is NOT acceptable Social Security cards are NOT acceptable If you allow an ineligible individual to participate in your program, you are responsible for re-paying any costs associated with that individual

CNCS Enrollment Members must be enrolled in the Portal within 30 days of their start of service!!! Programs may: Complete the enrollment process entirely within the Portal Have members complete a paper enrollment form and the program will enter the information in the Portal (need specific permission from CNCS/PennSERVE beginning in 2015)

CNCS Enrollment Enrollment via the Portal ONLY (no paper form): Program extends invitation to member to enroll in the program via the Portal Member enters their enrollment information into the Portal Program reviews and completes information 30 day rule still applies – you are relying on the members to enter their information on time!

CNCS Enrollment Form Via Paper Forms: Member completes the paper enrollment form and signs Program is responsible for entry of all information into the Portal Good option for members without internet access Need specific permission from CNCS/PennSERVE beginning in 2015

CNCS Enrollment Form If using the form, your program must fill out ALL information on the form AND enter all information into the Portal!

Common Compliance Issues: Member Enrollment Member Enrollment not completed within 30 CALENDAR Days For example: a member enrolled on August 25 must have their information entered into the Portal by September 23 We must explain EACH instance of late enrollment/exit to CNCS! If Using the Paper Form: Not fully filled out by member and/or staff

Certification of Education Attainment Members must certify school status upon enrollment Via Program Application Via Paper CNCS Enrollment Form Via Separate Form Recommended programs obtain proof of education attainment – copy of H.S. diploma or college transcripts/diploma, OR certified statement from member

Certification of Education Attainment – Sample Form

Certification of Education Attainment Members without a H.S. Diploma/GED must: Agree to obtain a diploma/GED before using the education award Be offered support services Certify that they have been offered support services

Criminal History Check - NSOPW

Common Compliance Issues: NSOPW NSOPW not conducted BEFORE member/staff began service/work There is no date appearing on the screenshot or printout All states were not cleared There is no verification that any hits are NOT the candidate in question Any of these issues invalidate the NSOPW and may result in disallowed costs

Criminal History Checks: Consent to Conduct Checks Consent for state checks, FBI checks, Childline Check Member understands that acceptance into service is contingent upon the results of the checks

Criminal History Checks: Proof of INITIATION Document initiation of the check: copy of the request/form submitted to obtain the check AND proof of when the document was submitted (print-outs from ePatch system and Cogent) Childline check: copy of application form and note as to when it was submitted

Proof of PA State Background Check Initiation

Proof of FBI Check Initiation

Criminal History Checks RESULTS: Documentation The original copy of the check result must be kept in the member file Document that the member has had the opportunity to review the results If the member has a criminal record: Provide documentation that the findings were considered before placing the member in service.

PA State Check: Proof of Receipt of Results

FBI Check: Proof of Receipt of Results

Accompaniment PennSERVE Provided Form AND Sign-off on member timesheets of the person providing the accompaniment

Common Compliance Issues: Criminal History Checks Not initiating the PA state, Out of State (if necessary) and FBI check components on or before the first day of work or service Allowing members/staff to serve unaccompanied before results of either the state or FBI check are back Not retaining original results of the FBI check from members and/or staff Not conducting the check for all staff billing to the grant (includes those funded directly by CNCS OR those providing time as match)

Member Contract ALL required components included – see 2015-2016 Manual for checklist Dates are accurate, including start date and end date of service term

Member Contract Contract is fully executed – Signed and dated by the member AND a staff person Signed no later than start date Ideally reviewed on first day of orientation, but signed no earlier than 30 days before start date Staff signature on same date or after member signature All attachments acknowledged

Member Contract: Position Description Contains all required elements Member Name Host Site Name and Address Member’s Immediate Supervisor Information Required Number of Hours of Service Per Week (NEW) Position Summary Essential Functions of the Position Signed and dated by the host site Signed and dated by the member (NEW)

Member Contract: Healthcare Required for full-time members and programs opting to offer healthcare to half-time serving in full-time capacity Member must acknowledge healthcare is being offered and must accept or waive If waived, member must provide proof of alternate coverage If accepted, program must provide proof of enrollment into a healthcare plan

Member Contract: Healthcare

If Providing Healthcare: If Enrolling in Your Program’s Healthcare Plan: proof that member has been enrolled (copy of invoice from company providing your members with insurance) If Member Waives: proof that member is covered (copy of insurance card)

Member Contract: Childcare For full-time members and programs opting to offer healthcare to half-time serving in full- time capacity Member must acknowledge childcare is being offered and must accept or waive If accepting, must include in the file: Eligibility documentation Enrollment documentation Birth Certificates of Child(ren)

Member Contract: Childcare

If Providing Childcare: Childcare Subsidy Eligibility and Enrollment documentation, including Birth Certificate(s) of Child(ren) For exited members: proof that the childcare subsidy provider has been notified of the member’s exit date

Common Compliance Issues: Member Contract Missing Required Elements Start Date listed on contract does not align with enrollment date and/or first day of service on timesheets Not fully executed: dates or signatures missing Date provided is not accurate Proof of healthcare not provided in the file Proof that childcare was offered not provided

Member Evaluations Mid-Term AND End of Term Evaluations are required for full-time and half-time members End of Term required for ALL members, regardless of exit type (regular exit, for cause, or compelling) Must include all required elements, including BOTH the member and supervisor/reviewer signature

Copies of All Correspondence to or About the Member Documentation regarding: Suspensions, whether voluntary or involuntary Early exits, for cause or compelling Disciplinary actions Any challenges to obtaining the proper background checks or limitations to service based on background check results Remember: Keep internal documents as well, not just information that went TO the member

Compelling Personal Circumstances Documentation must include BOTH: A request from the member to be released due to compelling personal circumstances AND Outside documentation that determines that compelling personal circumstances prevented a member from being able to serve the required hours to complete their term of service

Change of Status Form Retain any Documentation Regarding: Suspension/Reinstatement Member request for suspension if suspension is NOT disciplinary Include a printout from the Portal Change of Term (PennSERVE Form)

CNCS Exit Members must be exited in the Portal within 30 days of their end of service!!! Programs may: Complete the exit process entirely within the Portal Have members complete a paper exit form and the program will enter the information in the Portal

CNCS Exit Exit via the Portal ONLY: Members providing an email address when enrolling receive an exit notification 30 days prior to their exit date; program can also send to the member Member enters their exit information into the Portal Program reviews and completes information 30 day rule still applies – you are relying on the members to enter their information on time!

CNCS Exit Form Via Paper Forms: Member completes the paper enrollment form and signs Program is responsible for entry of all information into the Portal Good option for members without internet access Need specific permission from CNCS/PennSERVE beginning in 2015

CNCS Exit Form If using the form, your program must fill out ALL information on the form AND enter all information into the Portal!

Common Compliance Issues: Exiting Members Lack of Documentation as to the REASON for the exit Compelling Personal Circumstances: lack of documentation from BOTH member and outside party Final Evaluation not completed Must be completed for ALL members, regardless of how they exit If not completed for a member receiving an education award, may invalidate the award!

Resources http://www.nationalservice.gov/programs/a mericorps/current-members/forms PennSERVE Manual Program Flash Drive This PowerPoint