1. Member File Documentation
July 22, 2015

2. 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?

3. 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

4. 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)

5. 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

6. 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

7. 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

8. 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.

9. 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!!!!!

10. 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

11. 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.

12. 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.

13. 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.

14. 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!!!

15. 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

16. 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)

17. 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!

18. 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

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

20. 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

21. 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

22. Certification of Education Attainment – Sample Form

23. 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

24. Criminal History Check - NSOPW

25. 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

26. 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

27. 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

28. Proof of PA State Background Check Initiation

29. Proof of FBI Check Initiation

30. 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.

31. PA State Check: Proof of Receipt of Results

32. FBI Check: Proof of Receipt of Results

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

34. 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)

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

36. 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

37. 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)

38. 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

39. Member Contract: Healthcare

40. 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)

41. 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)

42. Member Contract: Childcare

43. 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

44. 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

45. 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

46. 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

47. 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

48. 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)

49. 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

50. CNCS Exit Exit via the Portal ONLY:
Members providing an 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!

51. 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

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

53. 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!

54. Resources
mericorps/current-members/forms
PennSERVE Manual
Program Flash Drive
This PowerPoint