Student Enrollment Audit Handbook

Guide for Community Based Organizations (CBOs)

School Year 2022-23

Christina Grant

State Superintendent of Education

 
 
 
 
Table of Contents 
 Definitions for Common Acronyms and Terms  4 
 Overview  5 
1.  Purpose  5 
2.  Applicable Legislation  5 
3.  Scope  5 
4.  PKEEP Funding  5 
 Enrollment Audit and Child Count Process Overview  6 
1.  2022-23 EACC Calendar  6 
2.  Enrollment Data Certifications  8 
 Pre-audit Data Preparation  9 
1.  Data Quality Terms  9 
2.  Residency Verification  9 
3.  Age Verification  10 
4.  Ensuring Accurate, Complete and Valid Student Records  10 
5.  Enrollment Audit and Child Count Application (EACCA)  11 
6.  Technical Assistance  11 
7.  CBO Points of Contact (POCs)  11 
8.  Residency Documentation Preparation  12 
8.a.  Document Preparation for Remote Document Review  12 
Location of E-file Folder for Upload  12 
File Organization  12 
Alternatives for E-file Preparation  13 
9.  Box Folder Preparation  13 
10.  CBO E-file Submission  14 
11.  Audit Workflow Scheduling  14 
 Enrollment Audit Trainings  15 
1.  Enrollment Audit Child Count Application Training  15 
 First Certification: Unaudited Enrollment Certification  16 
1.  Amending the Unaudited Enrollment Roster after First Certification  16 
Adding a Student  16 
Removing a Student  17 
 Initial Documentation Review  18 
1.  Enrollment Audit Initial Documentation Review Scope  18 
Non-Subsidy Students  18 

 
 
 
 
Subsidy Students  18 
8.  Issue Resolution  19 
8.1.  Issue Resolution Response  19 
8.2.  Duplicative Enrollments  20 
8.3.  Demographic Data Elements  20 
Resolving Demographic Conflict After Second Certification  21 
9.  Second Certification: Final Demographic Data Elements Certification  23 
10.  Final Appeals  24 
10.1.  Final Appeal Submission  24 
11.  Third Certification: Final Audited Enrollment Numbers Acknowledgement  25 
12.  Reporting  26 
13.  Appendices  27 
13.1.  Appendix A: 2022-23 Enrollment Audit Data Elements  27 
13.2.  Appendix B: Additional Resources  31 
13.3.  Appendix C: Box Constraints and Troubleshooting  32 
File Type Constraints  32 
Folder Name Constraints  33 
File Size Constraints  33 
Troubleshooting Uploads to Box  34 
Potential Causes of Slow Uploads:  34 
 
   

1. Definitions for Common Acronyms and Terms

Term/Acronym

Definition

Box

Cloud-based collaboration tools to transfer data (residency documentation, requests, etc.)

CBO

Community-based organization

CFSA

Child and Family Services Agency

Data Freeze

The day CBO enrollment data is frozen for use in the annual enrollment audit

District of Columbia

DCMR

District of Columbia Municipal Regulations

DCPS

District of Columbia Public Schools

DCRV

District of Columbia residency verification form issued by OSSE annually for use by local

education agencies (LEAs) and CBOs in verifying residency

Duplicative enrollment

DEL

Division of Early Learning

Duplicative

Enrollment

resolution process

The process used to resolve duplicative enrollments between CBOS. In most cases, this

process is conducted through the Duplicative Enrollment Application.

e-File

Residency documentation file prepared for a remote audit

Enrollment Audit

and Child Count

(EACC)

The annual process by which OSSE audits the enrollment of students enrolled in DC public

schools or seats paid for using District funds. The audit includes verifying residency as well

as students in individualized education programs (IEPs)

Enrollment Audit

and Child Count

Application

(EACCA)

An OSSE application that displays the enrollment audit and Child Count rosters and student-

level data to CBOs and facilitates the audit process through recording the result of each

phase of the audit, including auditor results, CBO appeals and documentation submission

FERPA

Family Educational Rights and Privacy Act

LEA

Local education agency

MKV

McKinney-Vento Homeless Assistance Act

OCFO

Office of the Chief Financial Officer

OER

Office of Enrollment and Residency

OSSE

Office of the State Superintendent of Education

PKEEP

Pre-K Enhancement and Expansion Program

Pre-K 3

Pre-kindergarten for 3-year-olds

Pre-K 4

Pre-kindergarten for 4-year-olds

POC

Point of Contact

SEA

Subsidy Eligibility Assignment system

SNAP

Supplemental Nutrition Assistance Program

School year

TANF

Temporary Assistance for Needy Families

UPSFF

Uniform Per Student Funding Formula

USI

Unique Student Identifier

2. Overview

2.1. Purpose

Under 5A DCMR § 3504.3 and DC Official Code § 38-1804.02, the Office of the State Superintendent of

Education (OSSE) is required to annually collect enrollment counts for children in high-quality pre-K 3

(PK3) and pre-K 4 (PK4) programs in community-based organizations (CBOs), as of Oct. 5 of each school

year. A high-quality CBO pre-K program is a program providing pre-K education services to pre-K age

children operated by a CBO, designated by OSSE through the Pre-K Enhancement and Expansion

Program (PKEEP) that meets and maintains the high quality standards and eligibility criteria pursuant to

DC Official Code § 38-272.01 or as provided 5A DCMR §3500 et seq. OSSE is then required to conduct an

annual audit to verify enrolled students meet age and residency requirements. OSSE reports the results

of the audit to the mayor, the Council of the District of Columbia, and the appropriate congressional

committees.

2.2. Applicable Legislation

Sections 102, 106 and 501 of the Pre-K Enhancement and Expansion Amendment Act of 2008 (DC Law

17-202; DC Official Code §§ 38-271.01, et seq.)

Section 3502 of the District of Columbia Municipal Regulations (DCMR) Title 5A, Chapter 5 (5A 35 DMCR

§ 3502)

2.3. Scope

The enrollment audit for CBOs is an audit of children enrolled in pre-K 3 and pre-K 4 in CBOs receiving

PKEEP funds. It includes three components:

1. Residency Verification: An audit of children enrolled in pre-K 3 and pre-K 4 in CBOs receiving

PKEEP funds. Upon completion of the enrollment audit, each CBO receives funding for each

enrolled preschool-aged student verified as a District resident.

2. Age Verification: Confirmation that enrolled student meets the age requirements under the

PKEEP regulations.

3. Verification of At-Risk Status: Determination of whether a pre-K student qualifies as at-risk

(students in foster care, who are experiencing homelessness or receive Temporary Assistance

for Needy Families [TANF], or Supplemental Nutrition Assistance Program [SNAP] benefits) and

is eligible for a supplemental funding allocation.

2.4. PKEEP Funding

The PKEEP funding rate for the 2022-23 school year is $16,641 for 3-year-olds and $16,145 for 4-year-

olds. The supplemental at-risk allocation is $2,981 for pre-K age students in foster care, who are

experiencing homelessness, or receive TANF or SNAP benefits.

3. Enrollment Audit and Child Count Process Overview

3.1. 2022-23 EACC Calendar

2021 DATE

EVENT/DELIVERABLE

Pre-Audit Data Preparation Phase (Prior to Oct. 5)

April –

September

Pre-Audit Data Preparation Phase: CBOs update data in EACCA

August

CBOs update Enrollment Audit POCs with Division of Early Learning (DEL), at [email protected].

August

Mandatory Enrollment Audit Child Count Training

Ongoing

CBO Pre-K Managers submit changes to CBO name, contact or site directory to DEL

Data Freeze (Oct. 5)

Oct. 5

CBOs ensure all enrolled students are included on the roster by 4 p.m.

Oct. 6 – 11

CBOs review and make final corrections to data in the EACCA for student inclusion/exclusion on

the enrollment roster to ensure annual funding based on the UPSFF; Oct. 11 at 4 p.m. is the final

opportunity for CBOs to submit requests for missing students.

Oct. 11

CBOs must complete all subsidy assignments in the Subsidy Eligibility Assignment (SEA) system

Oct. 12

CBOs submit First Certification (Unaudited Enrollment and Child Count Anomalies

Acknowledgement) in the EACCA. 9 a.m.-5 p.m.

Initial Documentation Review Phase (Oct. 18 – Nov. 12)

Oct. 12 – 24

Appeal window for duplicative enrollment determinations made during enrollment period one

Varies by

CBO*

E-file submission deadline for CBOs participating in a remote Initial documentation review phase.

Varies by

CBO*

Initial Documentation Review: CBOs prepare for auditors to review e-file binders remotely

Issue Resolution Phase (Oct. 20 – Dec. 2)

Varies by

CBO*

Issue Resolution: Initial residency determinations from the remote audit are available for CBO

review in the EACCA. CBOs upload supporting documentation to resolve residency determinations

found during the emote audit.

Oct. 28

Final day for CBOs to submit requests for Demographic Data corrections

Nov. 14

CBOs shall resolve all demographic errors in appropriate source system by 4 p.m.

Nov. 15

CBOs submit the Second Certification (Final Demographic Data Elements) in the EACCA. 9 a.m.-5

p.m.

Final Appeals Phase (Dec. 2 – Dec. 15)

Dec. 2

CBOs submit requests with supporting documentation for final appeals for residency issues in

the EACCA by 11:59 p.m.

Dec. 5 – 6

CBOs receive notification of granted final appeals via the EACCA

Dec. 7 – 9

Final Appeals Phase: OSSE facilitates final appeals for residency

Dec. 14

CBOs can view all final determinations in the EACCA

Dec. 15

CBOs submit Third Certification (Final Audited Enrollment Numbers Certification) in the EACCA.

9 a.m.-5 p.m.

*Phase dates overlap as a collective, but not for individual CBOs. Please see the Enrollment Audit

Workflow Schedule in the EACCA for CBO specific dates.

3.2. Enrollment Data Certifications

CBOs shall certify the validity, completeness and accuracy of the CBOs’ data and acknowledge final

enrollment numbers by completing three enrollment audit certifications within the EACCA.

1. The first certification captures the universe of students enrolled in the CBO’s PKEEP classroom,

each of whom should be included in the enrollment audit. The first certification also confirms

that the correct subsidy status is marked for each enrolled student.

2. The second certification certifies that the demographic data (e.g., name, date of birth, address)

for each PKEEP student are accurate, valid and complete.

3. The third and final certification captures the acknowledgment of final enrollment numbers and

demographic information used for funding.

All certifications shall be made by the Pre-K Manager via electronic signature in the EACCA.

Certification Name

2022 Due Date

Purpose of Certification

First Certification

Unaudited

Enrollment and

Subsidy Recipient

Acknowledgement

Oct. 12

9 a.m.-5 p.m.

● CBO acknowledges that enrollment data in the EACCA

includes all students enrolled at the CBO as of Oct. 5

● CBO acknowledges that enrollment data includes accurate

identification of subsidy recipient students

● Failure to complete this certification means that OSSE will

consider the CBO’s Oct. 5, 2022, data to be accurate

through passive approval for the purposes of the

enrollment audit and will utilize that enrollment roster, as

is, for the audit

Second Certification

Final Demographic

Data Elements

Nov. 15

9 a.m.-5 p.m.

● CBO acknowledges that the demographic data for each

PKEEP student in the EACCA are accurate, valid and

complete for all students enrolled at the CBO as of Oct. 5,

2022, (outside of residency and duplicative enrollments);

● Failure to complete this certification means that OSSE will

consider the CBO’s enrollment audit data elements for all

students enrolled at the CBO as of Oct. 5, 2022, to be

accurate, valid and complete through passive approval for

the purposes of the enrollment audit

Third Certification

Final Audited

Enrollment Numbers

Acknowledgment

Dec. 15

9 a.m.-5 p.m.

● Acknowledges the final audited PKEEP enrollment numbers

after the final appeals process is complete.

4. Pre-audit Data Preparation

CBOs have from now until Oct. 5 at 4 p.m. to input student records (and edit/update records) to

student enrollment in the EACCA to ensure all students enrolled on Oct. 5 are identified correctly in the

EACCA. CBOs must handle personally identifiable information (PII) of students to complete the

Enrollment Audit and Child Count requirements. The CBO shall follow all applicable Family Education

Rights and Privacy Act (FERPA) laws accordingly.

4.1. Data Quality Terms

All data shall be valid, complete and accurate. Under federal and local law, CBOs are responsible for

maintaining records for data reporting. For the purposes of the enrollment audit, OSSE defines

maintenance of records as:

a) entering accurate data;

b) updating data promptly and accurately upon notification of any changes; and

c) ensuring accuracy so the system of record correctly reflects all students and their environments

under the purview of the CBO.

Term

Definition

Accurate

The data correctly represents reality

Valid

All values entered conform to OSSE-permitted values*

Complete

All required data elements contain values

*OSSE-permitted values can be found in the data elements section (4.4) below.

4.2. Residency Verification

All pre-K 3 and pre-K 4 students for whom a CBO receives PKEEP funds shall be residents of the District

of Columbia. To establish bona fide residency, the person enrolling the students shall demonstrate

compliance with all three of the following requirements, annually:

a) If anyone other than the parent is enrolling the student, establish that they are the valid

guardian, custodian, or other primary caregiver, as set forth in 5A DCMR § 5000 et seq. and

specifically defined in 5A DCMR § 5099, with proper documentation such as a custody order, or

an “other” primary caregiver form;

b) Establish a physical presence in the District, defined as the “actual occupation and inhabitance

of a place of abode with the intent to dwell for a continuous period of time”; and

c) Submit valid and proper documentation that establishes bona fide residency as set forth in 5A

DCMR § 5004. The student residency verification process requires CBOs review documentary

proof of residency during the enrollment period each year (April 1 through Oct. 5). CBOs are

required to review each students’ residency documentation and verify that all documentation

and verification forms are complete, legible and valid prior to Oct. 12, the first certification date.

See the OER Handbook and training for more information on the required residency documentation and

refer to the coronavirus (COVID-19)-related OSSE Guidance Documents for updated guidance on

enrollment and residency verification in response to COVID-19.

4.3. Age Verification

CBOs are required to collect documentation that verifies the student’s date of birth. Pre-K 3 students shall

be 3 years old by Sept. 30, 2022, and pre-K 4 students shall by 4 years old by Sept. 30, 2022.

Acceptable documents for verification of a child’s age include one of the following:

1. A full-size original birth certificate. The birth certificate shall include the name of the parent(s) or

guardian(s) requesting services; or

2. A birth certificate in a non-English language with a certified translation.

4.4. Ensuring Accurate, Complete and Valid Student Records

CBOs shall ensure all students enrolled in the PKEEP are accurately reflected in the EACCA. CBOs have

until Nov. 14, 2022, 4 p.m. to make changes in the EACCA to the data elements listed below. This

ensures student data were entered correctly in the application.

Data element

Definition

Last Name

The legal last name of the student. It is the name carried in common by

members of a person’s family, or the last name recognized as the formal and

content last name given to a person after birth (e.g., birth, baptism or other

naming ceremony certificate; or birth verification document) or through legal

action (e.g., marriage, divorce, adoptions or legal name change).

First Name

The legal first name of the student. It is the name given to an individual after

birth (e.g., birth, baptism or other naming ceremony certificate; or birth

verification document) or through legal action (e.g., marriage, divorce, adoption

or through legal name change).

Date of Birth (DOB)

The day, month and year on which the student was born documented on an

official government certificate.

Street Address

The number and name of the unit and street (and apartment, if applicable)

where the student resides.

City

The city where the student resides.

State

The abbreviation for the state (within the United States) or outlying area in

which the student resides.

ZIP Code

The number that identifies the postal delivery area in the United States in which

the student resides.

Gender

A coded value representing the student’s gender. Gender is a person’s actual

sex or perceived sex and includes a person’s perceived identity, appearance or

behavior, whether that identity, appearance, or behavior is different from that

traditionally associated with a person’s sex at birth.

Ethnicity

CBOs are required to categorize student ethnicity as “Yes – Hispanic or Latino”

or “No – Not Hispanic or Latino” for the ethnicity with which the student most

closely identifies. The complete definition of Hispanic and Latino is found in the

OSSE LEA Data Collection Template for the current school year.

Race

CBOs are required to categorize students in one or more of the five permitted

race codes for which race(s) the student most closely identifies. Categories

must be mapped by the CBO to the five federal race values. Definitions of these

values are found in the OSSE LEA Data Collection Template for the current

school year.

Grade Level

The grade level or primary instructional level at which a student enters and

receives services in a school or an educational institution during a given

academic session, as permitted in the EACCA, and aligned to data elements in

Appendix 13.1.

Residency Status

The CBOs determination that the student is or is not a resident of the District of

Columbia based on provided documents to support residency claim.

Homeless

Individuals who lack a fixed (permanent), regular and adequate (acceptable)

nighttime residence; or as defined in McKinney-Vento.

4.5. Enrollment Audit and Child Count Application (EACCA)

The EACCA is the web-based platform for CBOs to enter student enrollment data for the PKEEP

classrooms. This application is used for LEAs and CBOs. “Child Count” only applies to LEAs and is a

federally mandated activity that serves as the official special education enrollment number for the

District of Columbia.

The application allows OSSE to view the individual student records and enrollment rosters throughout

each phase of the audit. Student rosters are created from data pulled from the data the CBO enters

directly into the EACCA. The EACCA:

• Provides a secure method to upload student residency and age verification documentation for

appeals, eliminating the need to upload multiple versions of Excel spreadsheets;

• Allows CBOs to view in near-real time, enrollment student counts as they relate to the

enrollment audit;

• Allows CBOs to view in near-real time, enrollment and residency determinations throughout the

initial documentation review, issues resolution and final appeals phases; and

• Enhances OSSE’s communication to CBOs throughout the enrollment audit phases.

4.6. Technical Assistance

OSSE has assigned CBOs an OSSE CBO Liaison within OER, who can be contacted at

osse.enrollmentaudit@dc.gov. Additionally, the DEL POC can be contacted at [email protected].

4.7. CBO Points of Contact (POCs)

Each CBO is required to have POCs for the annual enrollment audit to handle personal identifiable

information of students; therefore, CBOs shall follow all applicable FERPA laws accordingly.

OSSE will not contact or communicate with CBO staff members beyond the Pre-K Manager and the

designated enrollment audit POC for the enrollment audit. CBOs with multiple staff working on the

enrollment audit are advised to develop a plan for sharing enrollment audit information among their

respective staff members as necessary.

The current list of POCs is available for CBOs to review with the designated OSSE POC. Changes

throughout the school year shall be communicated to OSSE. The Pre-K Manager shall contact the OSSE

CBO POC at [email protected], to submit changes to site information. CBOs should also include

osse.enrollmentaudit@dc.gov on all enrollment audit communications to ensure all relevant staff

receive necessary updates.

POC Type

Description

Pre-K Manager

Responsible for overall management and administration; completes all

certifications for the enrollment audit

CBO Enrollment

Audit POC

Coordinates and manages the enrollment audit, including ensuring deadlines

are met, reviewing data for accuracy and completeness, preparing for site

visits, coordinating documentation, and uploading documents

4.8. Residency Documentation Preparation

All CBOs are required to complete their initial documentation review remotely using the e-file method

of submission through Box. While e-files are due on the e-file due date listed in the EACCA, CBOs will still

be assigned an initial documentation review date that initiates the phases of issue resolution. Details on

these dates will be released with the audit workflow schedule in the EACCA.

4.8.a. Document Preparation for Remote Document Review

CBOs must complete their initial documentation review through a remote documentation review. A

remote document review requires the creation and submission of e-files. For the 2022-23 school

year, OSSE will use Box as the platform for providing the e-files. The EACCA will have a link directly

to the school folder in Box for uploading enrollment audit e-files. The e-files must contain the

required documentation for all enrolled students.

Location of E-file Folder for Upload

1. CBOs have several folders within Box, relevant to different purposes with OSSE. The e-file uploads

should be uploaded to the CBOs Box folder named “Enrollment Audit E-file.”

2. Box access will be based on the CBO Enrollment Audit POC role. CBOs must ensure the

appropriate staff member(s) are assigned as the CBO Enrollment Audit POC provided by DEL in

the Pre-Audit Phase.

File Organization

1. Organize the DCRV form and all applicable residency verification forms and supporting residency

documentation (i.e., OPC Form) into 15 GB (max) .pdf files.

2. Folders and files should be created and loaded into the Enrollment Audit Box folder in the

following order:

▪ School folder

▪ Group by last name folder

▪ Student last name, student first name file(s)

3. The document uploads can be either a single document containing both residency forms

supporting residency documents, and age verification documents; or

Three separate documents - one for the residency forms, one for supporting residency documents, one

for age verification.

Alternatives for E-file Preparation

CBOs may request an alternative folder or file structure to the e-file preparation requirements. To

initiate this process, the CBO should reach out to osse.enrollment[email protected]. Any request for

change to the e-file preparation shall be done in consultation with the CBO and auditor and only

approved if OSSE and the auditor are able to support the change.

4.9. Box Folder Preparation

Box folders are used annually, so they may contain empty folders of students from prior enrollment

audits. CBOs shall remove student folders from prior years. Removing the folders ensures an auditor

reviews the correct folders for the correct student.

If a CBO experiences issues while uploading documents or experiences file and folder constraints, they

may review Appendix C: Box Constraints and Troubleshooting for additional guidance.

4.10. CBO E-file Submission

CBOs shall upload all residency forms and supporting residency documents to Box by their CBO e-file

deadline. The e-file deadline can be found in the audit workflow table at the bottom of each CBOs

EACCA dashboard. CBOs can access Box Enrollment Audit folders by logging into Box directly or selecting

the e-file submission button in the EACCA. Uploads shall be compliant with residency documentation

guidance outlined in this handbook.

Failure to upload residency forms and documents by the e-file deadline may result in the CBO having to

appeal all students through the issue resolution process - a manual upload for each individual student.

E-file is only used during the initial documentation review phase. Subsequent actions and appeals are

completed directly in the EACCA, at the student level.

4.11. Audit Workflow Scheduling

The audit workflow lays out each CBO’s timeline for completing the enrollment audit. Audit workflow

schedules are uploaded into the EACCA in August. The CBO is responsible for reviewing the dates listed

in the audit workflow table and ensuring all deadlines are met.

*Note: This is an example and not real dates for the audit.

5. Enrollment Audit Trainings

To ensure that CBO Enrollment Audit POCs have a strong understanding of any policy or process changes

regarding the yearly enrollment audit, OSSE hosts several trainings in advance of the initial

documentation review phase targeted toward the CBOs’ Enrollment Audit Point of Contact (POC). CBOs

shall send at least one participant for EACCA trainings. OSSE may inform the Pre-K Manager if no

representative from their CBO attends the training.

5.1. Enrollment Audit Child Count Application Training

The EACC portion of the training aims to inform CBO Enrollment Audit POCs on the enrollment audit, its

web-based application, purpose, and timeline. The EACCA portion of the training aims to inform CBO

Enrollment Audit POCs on the key application relevant to the enrollment audit. The training is a

collaborative effort between OER and the Office of the Chief Information Officer (OCIO). The training

involves technical guidance and processes necessary to successfully navigate the enrollment audit. The

training will include Box functionality, guidance to avoid errors when uploading student records and

steps to troubleshoot prior to submitting a request for technical support from OSSE. All enrollment audit

POC’s are encouraged to attend the training session each school year.

6. First Certification: Unaudited Enrollment Certification

The first certification of data is crucial to each CBO’s success in the enrollment audit. It is the best time

to flag any data issues and ensure all PKEEP students are accurately listed in the EACCA. The key dates

and actions are:

Oct. 5 at 4 p.m.

OSSE freezes enrollment data submitted by CBOs.

Oct. 6 through Oct. 11 at 4 p.m.

CBOs review their data in the EACCA to ensure that all students enrolled in the PKEEP classroom(s) as of

Oct. 5 are accounted for on the roster. This includes:

• Resolving duplicative enrollment with another CBO or LEA;

• Making corrections to student records in the EACCA to ensure all demographic data for students

enrolled in PKEEP are accurate; and

• Reviewing and confirming that all subsidy recipients are correctly identified.

After Oct. 11

CBOs cannot add additional students to the enrollment audit roster under any circumstances after 4

p.m. on Oct. 11, 2022. It is critical that the CBO ensures that all students for whom the CBO seeks

PKEEP funding, based on the fiscal year 2023 projected enrollment (i.e., attending as of Oct. 5) are on

the enrollment audit roster in the EACCA.

Oct. 12 at 5 p.m.

Pre-K Managers shall complete the first certification in the EACCA between 9 a.m. and 5 p.m.

6.1. Amending the Unaudited Enrollment Roster after First Certification

CBOs are responsible for certifying accurate, complete and valid student data. In the event the data

certified is incorrect, the CBO shall complete the following steps to resolve.

Adding a Student

If a CBO determines that a student should be added to the PKEEP student roster in the enrollment audit

Child Count application, the CBO should complete the below steps.

1. CBO submits request to DEL POC, [email protected], to add missing student(s) into the EACCA

2. DEL POC acknowledges receipt of the request, and the COB submits the below data elements for

the requested students through the CBOs Box portal

3. The request should include:

a. The date the student enrolled in the PKEEP classroom

b. Explanation for why the student was not included in the data capture

c. Student information - first name, last name, USI and DOB

d. Submitted in a .pdf format

4. CBO contacts the DEL PKEEP POC at [email protected] to confirm that the student record(s)

was submitted in Box

5. OSSE sends CBO notification indicating that the request is accepted, rejected, or to request

additional information

Removing a Student

If a CBO determines that a student should be removed from the PKEEP student roster in the enrollment

audit child count application, the CBO should complete the steps below. Please note that OSSE’s OCIO

team will process requests.

1. CBO submits request to DEL POC, [email protected], to remove student(s) from the EACCA

2. Once the DEL POC acknowledges receipt of the request, the CBO will submit the data elements

below for the requested students through the CBO’s Box portal in a pdf.

3. The request should include:

a. The date the student unenrolled from the PKEEP classroom

b. Student information - first name, last name, USI and DOB

c. Submitted in a .pdf format

4. CBO contacts the DEL PKEEP POC at [email protected] to confirm that the student record(s)

was submitted in Box

5. OSSE sends CBO notification indicating that the request is accepted, rejected, or to request

additional information

7. Initial Documentation Review

The initial documentation review phase of the enrollment audit is the process wherein OSSE auditors

review residency documentation remotely. All CBOs will be assigned an initial documentation review

date. This date is when the auditors will begin remote review of documentation and recording of

determinations. It is also the start date for all subsequent follow-up requirements to be completed by

the CBO. At the conclusion of the remote document review, the CBO will be able to view initial

documentation review determinations in the EACCA.

7.1. Enrollment Audit Initial Documentation Review Scope

OSSE auditors will review every student’s DC Residency Verification form (DCRV) as well as any

supporting residency forms when applicable (Other Primary Caregiver form, sworn statement, etc.).

OSSE’s review of supporting residency documentation will depend on whether an individual PKEEP

student participates in the District’s subsidized child care program.

Non-Subsidy Students

Students who do not participate in the District’s subsidized child care program shall have a completed

DCRV form, valid supporting residency and age verification documentation. Information on valid

supporting documentation can be found in the Residency Verification section of this handbook and on

the OSSE Enrollment Audit website. If the supporting documentation is ultimately rejected by the

auditor, that student will be counted as an unverified resident or flagged for an age error and the CBO

will not receive funding for that student.

Subsidy Students

Students who participate in the District of Columbia’s subsidized child care program will only need a

completed DCRV form and do not need to provide valid supporting residency documentation. These

students must be accurately identified by the CBO. The CBO must complete all subsidy assignments in

the SEA system by Oct. 11.

8. Issue Resolution

During the issue resolution phase, CBOs shall respond to auditor rejections from the initial document

review phase. Depending on the issue or rejection, CBOs shall respond to auditors and OSSE as promptly

as possible during this period to ensure timeliness of data reconciliation through Box, phone, email and

the EACCA.

8.1. Issue Resolution Response

The timeline for responding to an issue is CBO-specific and outlined in the EACCA Audit Workflow Table.

Each CBO shall be responsible for reviewing their issue resolution timeline and ensuring all deadlines are

met. CBOs can review the residency and age verification status of each student in the EACCA at the start

of their issue resolution phase. The issue resolution timeline will not follow the strict business day

counts used in prior enrollment audits. The auditor review time may be different depending on CBO

enrollment size and the enrollment sizes of other CBOs scheduled on the same day. However, CBOs will

have five business days during issue resolution to respond to all auditor determinations from the initial

document review phase.

When responding to the auditor findings, the uploaded documentation must demonstrate the student’s

bona fide District residency. See the OER Handbook for information on required residency

documentation.

The documents are then reviewed by OSSE auditors and a second determination is rendered and

documented in the EACCA. If the CBO does not agree with determinations rendered during the issue

resolution phase, a request for a final appeal must be made using the EACCA by Dec. 2, 2022, 11:59 p.m.

If appealing, CBOs must upload documentation to resolve the student’s residency status directly in the

EACCA by Dec. 2, 2022.

If a CBO fails to respond to a student’s non-residency status by the close of the issue resolution response

period, the CBO cannot submit a final appeal for the student’s residency determination. OSSE considers

the residency determination final for students without an issue resolution response from the CBO as

acceptance of the auditors’ decision.

If the CBO fails to attempt to resolve the student’s residency status during the issue resolution phase, a

letter of exception must be submitted to OSSE documenting the missed resolution period within five

business days of the missed resolution period. Even if a letter is submitted, the decision to allow the

exception remains with OSSE. The letter can be sent via email to osse.enrollmentaudit@dc.gov.

8.2. Duplicative Enrollments

If a student is enrolled in more than one CBO or LEA, OSSE will use documentation from the CBOs and

attendance records to make an enrollment determination. To resolve a duplicative enrollment, CBOs are

required to submit all applicable documentation listed in the hierarchy tables below through the EACCA

by Oct. 24, 2022. OSSE will evaluate the documents using the hierarchy order identified below to make a

determination.

OSSE will first consider the documentation shared within the first level of the hierarchy identified below.

If this documentation does not provide clear and convincing evidence of the student’s enrollment for

the current school year, then OSSE will consider the totality of the documentation shared in the first and

second levels of the hierarchy. If this documentation does not provide clear and convincing evidence of

the student’s enrollment for the current school year, then OSSE will consider the totality of the

documentation shared in the first, second and third levels of the hierarchy and make a final

determination.

Hierarchy order for

Duplicative Enrollment in a

CBO and an LEA

Acceptable Documentation

1. Enrollment/Withdrawal

Forms

The CBO shall provide current school year enrollment or withdrawal

documentation signed by the parent/guardian. The documentation

should identify the date the student entered or exited the program

and include signatures from the enrolling parent/guardian and a

program official. Additionally, if available, the program should

provide the Request for Student Records or confirmation from the

receiving CBO verifying enrollment or withdrawal.

2. Attendance/Discipline

Records

OSSE will review attendance records from Sept. 28 through Oct. 26.

For CBOs with an intersession break scheduled during the specified

time period, an equivalent number of days for in-school attendance

will be added to the end of the stated time. Additionally, if available,

the CBO should submit Discipline Records and/or Unusual Incident

Report (UIR) for this stated time period.

3. Schoolwork

The CBO shall submit two pieces of schoolwork or exam

documentation that include the student’s name, in the student’s

handwriting where possible, and the date of the work from Sept. 28

through Oct. 26.

8.3. Demographic Data Elements

Demographic data entries for students must be entered directly into the EACCA. For resolving issues

with demographic data elements, CBOs must confirm all student demographic data is correct in the

EACCA.

If a CBO is unable to fix a demographic issue, an email request should be sent to

osse.enrollmentaudit@dc.gov describing the technical issue the CBO has incurred. All enrollment audit

technical issue requests must be submitted by CBOs no later than Oct. 28, 2022 to ensure adequate

time for OSSE to respond before the end of the issue resolution phase.

CBOs have until Nov. 14, 2022 at 4 p.m. to resolve and correct data directly in the EACCA. CBOs may

submit questions about data values for specific students and request support from OSSE on resolving

data errors and anomalies through the Box request, particularly for data elements that come from other

District agencies.

The following table lays out the data elements tested during the audit and the pathways for resolving

errors in the student record during the issue resolution phase. (Please also see Appendix A for a full list

of all data elements used in the enrollment audit and their source systems). OSSE recommends resolving

errors as quickly as possible within the issue resolution period to make sure all necessary changes from

the source system to the EACCA are accurately reflected.

Resolving Demographic Conflict After Second Certification

Audit Category

Audited data

element

Initial Enrollment Audit

Determination

Resolution Path for CBO

DC Residency

Residency status

OSSE auditor via site visit

Provide corrected

residency documents

Duplicative

Enrollment Across

CBOs and LEAs

Duplicative

Enrollment

OSSE determination after

receiving documentation

from CBOs, if applicable

prior to or on Oct. 24,

2022

Provide required

duplicative hierarchy

documentation to claim

the student as enrolled

Student Demographic

Information

Name;

Date of Birth;

Address;

Gender;

Ethnicity;

Race;

Grade

CBO uploads into EACCA

No appeal - data

corrected through EACCA

by Nov. 14, 2022

At-risk

Homeless

CBO entry of homeless

at-risk indicator

No appeal– data

corrected through EACCA

during issue resolution

phase by Nov. 14, 2022

SNAP/TANF

DC Department of

Human Services (DHS)

feed

No appeal – CBO submits

Box request to resolve

inconsistencies by Oct.

28, 2022

Under the care of

CFSA

DC CFSA feed

No appeal – CBO submits

Box request to resolve

inconsistencies by Oct.

28, 2022

In the event a CBO has completed all the steps in the table above and has been unable to fix the

demographic issue(s) after second certification, a request must be submitted via Box, including the CBO

Data Template with the relevant data fields completed.

After the request is submitted, the CBO must email [email protected]v and

osse.enrollmentaudit@dc.gov to provide notification of the request.

9. Second Certification: Final Demographic Data Elements Certification

CBOs shall submit the Second Certification (Final Demographic Data Elements Certification) directly in

the EACCA no later than 5 p.m. (EST) on Nov. 15, 2022.

Through the second certification, the CBO acknowledges that the Nov. 14 student demographic data

entered in the EACCA are accurate, valid and complete (outside of residency and duplicative

enrollment).

Failure to complete this certification means that OSSE will consider the CBO’s data to be accurate

through passive approval for the purposes of demographic data (excluding disputed residency and

duplicative enrollment determinations) for the enrollment audit and will utilize that enrollment roster,

as is, for the audit.

10. Final Appeals

If the CBO disagrees with OSSE’s determination of residency, the CBO can request a final appeal through

the EACCA. All requests for final appeals for residency status must be received by 11:59 p.m. on Dec.

2, 2022. Technical instructions can be found in the EACCA CBO User Guide located under the EACCA

menu.

If the CBO does not respond to an auditor’s decision during issue resolution, the auditor’s decision is

final and the opportunity for a final appeal is forfeited. If the CBO does respond to an auditor’s decision

during issue resolution, but is not successful in resolving, a final appeal can be submitted.

10.1. Final Appeal Submission

Final appeal submissions are processed through the EACCA. To submit a final appeal to resolve residency

determinations, CBOs must have:

1. Attempted to resolve the residency determination during the issue resolution phase;

2. Submitted additional supporting documentation that verifies the student’s District residency

status by 11:59 p.m. Dec. 2, 2022; and

3. Uploaded compliant residency documentation for review. It is strongly suggested that CBOs

submit documentation as soon as corrected/updated documentation is available for upload in

the EACCA.

OSSE reviews all documentation submitted for the student during initial documentation review, issue

resolution and final appeal. If upon review, the student’s documentation is approved, the status is

updated in the EACCA. If OSSE cannot approve the documentation provided, OSSE may follow-up with

the CBO or schedule a meeting to review unique cases. If time allows, OSSE may provide instructive

comments on the student record on how the CBO may resolve any outstanding issues. CBOs should

review the student-level comments section regularly.

The outcomes of final appeals are updated in the EACCA prior to the final certification. The decision

from the final appeal is irrevocable. CBOs are able to view all final determinations by Dec. 14, 2022.

11. Third Certification: Final Audited Enrollment Numbers

Acknowledgement

The third certification shall be completed by the CBO Pre-K Manager POC via electronic signature in the

EACCA. The CBO Pre-K Manager shall confirm the final audited enrollment numbers no later than 5 p.m.

on Dec. 15, 2022. This certification ensures that CBOs have received and reviewed the outcome of the

2022-23 school year enrollment audit.

If a CBO does not confirm the final, audited enrollment numbers by the deadline, additional follow up

may be conducted directly with the Pre-K Manager.

12. Reporting

After receipt of the third and final audited enrollment certification, OSSE produces and disseminates the

final enrollment audit report in January 2023.

13. Appendices

13.1. Appendix A: 2022-23 Enrollment Audit Data Elements

Category

Data Element

Definition

Source

System

Permitted Values

Student

Demographic

USI

The official state identifier

for all students attending a

District of Columbia high-

quality pre-k program;

assigned by OSSE.

Enrollment

Audit and

Child Count

Application

10-digit numeric

Student

Demographic

Local ID

A unique number of

alphanumeric codes

assigned to a student by

the CBO.

Enrollment

Audit and

Child Count

Application

Alphanumeric

Student

Demographic

Last Name

The legal last name of the

student.

Enrollment

Audit and

Child Count

Application

Alpha

Student

Demographic

Middle Name

The legal middle name of

the student.

Enrollment

Audit and

Child Count

Application

Alpha

Student

Demographic

First Name

The legal first name of the

student.

Enrollment

Audit and

Child Count

Application

Alpha

Student

Demographic

Date of Birth

The day, month, and year

on which the student was

born.

Enrollment

Audit and

Child Count

Application

Numeric - mm/dd/yyyy

Student

Demographic

Gender

A coded value representing

the student’s gender;

gender is a person’s actual

sex or perceived sex.

OSSE

Authoritative

F – female

M – male

X – non-binary

Student

Demographic

Ethnicity

An indication that a

student identifies as

Hispanic or Latino.

Enrollment

Audit and

Child Count

Application

H – Hispanic/Latino;

N – not Hispanic/

Latino

Student

Demographic

Race

CBOs are required to

categorize students in one

or more of the permitted

race categories.

Enrollment

Audit and

Child Count

Application

AS – Asian

BL – Black/African

American

AM – American

Indian/Alaskan Native

PI – Pacific

Islander/Native

Hawaiian

WH – White/Caucasian

Student

Demographic

Student

Street

Address

The number and name of

the unit and street (and

apartment, if applicable)

where the student resides.

Enrollment

Audit and

Child Count

Application

Alphanumeric

Student

Demographic

Student City

The city where the student

resides.

Enrollment

Audit and

Child Count

Application

Alpha

Student

Demographic

Student State

The abbreviation for the

state (within the United

States) or outlying area in

which the student resides.

Enrollment

Audit and

Child Count

Application

Two-letter standard

state abbreviation

Student

Demographic

Student ZIP

Code

The number that identifies

the postal delivery area in

the United States in which

the student resides.

Enrollment

Audit and

Child Count

Application

5-digit or 5+4-digit

numeric

Student

Demographic

Student Ward

Student's ward of

residence for students

residing within the District

of Columbia.

Generated

by the DC

Master

Address

Repository

(MAR) based

on CBO

reported

Student

Street

Address,

Student City,

Student

State and

Student ZIP

Code

1, 2, 3, 4, 5, 6, 7, 8

Program

information

Ward of State

Indicator

An indication that the

student is under DC foster

care.

Populated by

OSSE using

data

provided by

CFSA

Yes – the student is

under the care of the

District's foster care

system

No – the student is not

under the care of the

District's foster care

system

Program

information

At-Risk

Indicator

An indication that the

student is homeless, in the

District’s foster care

system, qualifies for TANF

Derived by

OSSE based a

student

having at

Yes – the student is

considered at-risk

No – the student is not

considered at-risk

or SNAP, or that the high

school student is one or

more years older, than the

expected age for the CBO-

identified grade level.

least one

indicator

Program

information

Homeless

Indicator

An indication that the

student is experiencing

homelessness.

Enrollment

Audit and

Child Count

Application

and

populated by

OSSE based

on data

received

through

homeless

data feeds

(TCP)

Yes – the student has

been identified as

homeless

No – the student has

not been identified as

homeless

Student

Enrollment

CBO-

Identified

Grade Level

The grade level or primary

instructional level at which

a student enters and

receives services in a

school or an educational

institution during a given

academic session.

Enrollment

Audit and

Child Count

Application

PK3 – Pre-kindergarten

(3-year-olds)

PK4 - Pre-kindergarten

(4-year-olds)

Student

Enrollment

UPSFF Grade

Level

The translation of the

student's CBO-identified

grade level to the UPSFF

weighting according to the

student's CBO-identified

grade level.

Derived by

OSSE using

CBO

identified

grade level

and special

program

designations;

students

with missing

or invalid

CBO

identified

grade levels

PK3 – Pre-kindergarten

(3 years old by Sept.

30)

PK4 – Pre-kindergarten

(4 years old by Sept.

30)

are placed

into age-

appropriate

grades

Student

Enrollment

Entry Date

The month, day and year

on which the student

enters and begins to

receive instructional

services in a school or an

institution during a given

school year.

CBO

Numeric - mm/dd/yyyy

Student

Enrollment

Duplicative

Enrollment

Indicator

An indication that the

student is enrolled at more

than one school and/or

CBO.

Derived by

OSSE based

on the

student's

school of

enrollment

and USI in

the daily

data feeds

Yes – the student is

currently enrolled at

multiple schools

No – enrolled at only

one school

13.2. Appendix B: Additional Resources

Title

Location

Enrollment Audit and Child

Count policy questions

Email: Osse.enrol[email protected]v

[email protected]

Office of Enrollment and

Residency Handbook

osse.dc.gov/node/1525206

EACCA Credential Support

To request access or reset your EACCA password, email

sled.osse.dc.gov

13.3. Appendix C: Box Constraints and Troubleshooting

The following guidance is for CBOs experiencing upload or file format issues when utilizing Box for their

e-file upload.

File Type Constraints

Box Drive will not sync files that the program ignores or blocks. Ignored files include those that are

invisible in Windows Explorer or Finder, such as temporary or system files. Blocked files include file

types that Box Sync or Box Drive does not recognize. Box Sync still requires read permissions on these

files in order to determine if the file should be blocked or ignored during the scanning process.

Preferred File Types:

• .pdf

• .jpeg

• .jpg

• .png

Box Drive ignores or deletes the following file types and shortcuts which can also cause an error:

• Temporary files and folders (.tmp and files starting with the ~ character)

• Backup copies of files (.bak)

• System and hidden files (hidden folders are synced but hidden files are not synced: such as

._dstore, desktop.ini, thumbs.db)

• File names that start with a dot "." are considered hidden files

• Hiding any file or folder in Sync also deletes that content

• Shortcuts created via Windows Explorer or Finder

• Hard links (a file that has multiple directory entries associated with it will not be synced)

• Symbolic links

• Shortcuts created via Windows Explorer or Finder (.lnk)

• File names that are exactly eight uppercase hexadecimal digits (0,1,2,3,4,5,6,7,8,9,A,B,C,D,E, or

F) with no extension – for example: 1234AD38 or ABE32BD0

• File names containing special characters

• Web based documents (such as .gdoc, .gsheet, and bookmarks) will not sync to the Box Drive

folder

• .qbi files

While the following file types can be uploaded and stored in Box via the Box website, Box Sync will not

recognize them. They will not be synced even if they are in a synced folder. Box Drive blocks the

following file types:

• .pst

• .qbw

• .nd

• .qbw.tlg

• .tlg

• .des

• .qba

• .qba.tlg

• .qbr

• .qby

• .qdt

• .pdx

Due to the saving behavior of Microsoft Access, it's likely that Box Drive will create duplicate copies of

.accdb and .mdb files. Even one user working on a file can cause conflicting copies due to how

frequently Access makes changes to the database file. Box Drive users can copy the file out of the Box

folder and copy the file back into the Box folder after the changes are made to upload the changes to

Box.

Box Drive does not support (.app) Mac package files. You will see an error from Finder if you attempt to

copy a package file into Box Drive. Package files uploaded by Box Sync will appear as problem items in

Box Drive.

Folder Name Constraints

Some operating systems do not support item names containing some special characters. If you attempt

to sync files or folders names containing these characters, Box Sync prompts you to rename the item

using the underscore character.

Box does not support "/" and "\" anywhere in a file or folder name or whitespaces at the beginning or

end of a file or folder name.

Windows OS has additional restrictions. The following won’t be supported:

• < (less than)

• > (greater than)

• : (colon)

• " (double quote)

• / (forward slash)

• \ (backslash)

• | (vertical bar or pipe)

• ? (question mark)

• (asterisk)

In addition, Windows does not support folder names that end with a . (period) character. If Windows

does not support certain characters in file or folder names, Box marks them as problem files.

Similarly, Mac OS has additional restrictions. The following won’t be supported:

• opening spaces

• Mac’s character conversion in file names (for example, Mac changes any occurrence of/to in file

names).

If Mac does not support certain characters in file or folder names, Box marks them as problem files.

Contact Apple support for recommendations on renaming files, folders or disks.

If the item on Box has an unsupported name, rename the item on Box and Box Drive will re-process the

download. If the local file has an unsupported name, rename the file locally.

File Size Constraints

The maximum file size limit for individual uploads to Box Enterprise is 15 GB. To confirm the file size limit

for your account, log into Box. In the upper – right hand corner, click your account icon. From the menu

that displays, click Account Settings. On the page that displays, scroll down to the Account Details

section. Your max file size is listed in this section. You will have an Enterprise file size, with respect to

OSSEs Box account, which is an Enterprise Account.

Troubleshooting Uploads to Box

If you are having trouble uploading files or folders, please try the following troubleshooting steps:

• Ensure your web browser is the latest version of Internet Explorer, Safari, Firefox or Chrome.

• Try clearing your browser's cache.

• Verify that you are using one of the recommended operating systems.

• Verify that the file's name is valid. Box only supports file or folder names that are 255 characters or

less. File names containing non-printable ascii, "/" or "\" names with leading or trailing spaces, and

the special names “.” and “..” are also unsupported. Box supports only Unicode Basic Multilingual

Plane (BMP) characters in file and folder names.

• Verify that the file or folder's path on Windows machines is under the 255-character Windows

limitation. Folder paths that exceed 255 characters may truncate the content's name before

uploading to Box.

• Make sure you are uploading files smaller than the maximum for your account type.

• Try uploading using the Upload Files method instead of Upload Folders, or vice versa.

• Internet Explorer does not support Upload Folder, only Upload Files. If you need to upload folders,

use a different web browser.

• Check your network connection to Box. If connected to the internet with a wireless card, check to

see if the connection to the internet drops intermittently. If this is the case, it’s recommended to

use the Upload Folders method.

• Try temporarily disabling or configuring your firewall to allow Box as a trusted site. You may find

that your anti-virus software includes a built-in firewall. If you are attempting to access Box from an

office setting and experience upload issues, contact your IT administrator or internal Help Desk.

• Proxy servers may sometimes cause failed uploads. If you see the error message: An error occurred

with the upload. Refresh the page and try again. Contact your IT department or Help Desk and ask

them to check your proxy configuration.

• Box Accelerator is a global data transfer network that improves the speed of your uploads. If you

are having issues with uploads, try turning this off temporarily:

o Go to Account Settings and click the Sharing tab along the top. Select/deselect the Enable

Box Accelerator option under Uploading Content. Click Save.

o It’s recommended to leave the Enable Box Accelerator option checked since slowness is

usually a temporary network condition that will clear itself.

Potential Causes of Slow Uploads:

Slow upload speeds can have a variety of causes. Box does not limit, throttle, cap or shape upload

bandwidth for individual files. Box does perform processing on each file which can impact the total time

it takes to complete an upload, particularly when uploading multiple files. But this does not limit the

bits/second of your machine's connection to Box. If you find that your upload is taking longer than it

should, we have listed a few reasons that may affect upload speeds.

• Firewalls can slow down or block the upload process. If you use third-party software, try

temporarily turning off firewalls, like the built-in Windows or Mac firewall, or any others. Try

configuring your firewall to allow the Box domains and this may solve the issue.

• Users accessing Box from an office setting may find that their IT department has blocked or slowed

down connections to Box. Try consulting your IT department on restrictions they may have placed

on uploads or unapproved websites. You can determine this by leaving your company network

(e.g., try a coffee shop with Wi-Fi) and seeing if the issue persists.

• VPNs may cause your IP address to be misplaced and inadvertently place your computer in another

geographic location other than your actual location. This can affect your upload speeds. Ask your

network/IT department if a VPN could be changing your actual location on the internet.

• Try a different browser or computer. Users may find that their upload speeds increase on

alternative browsers.

• Try a different computer to help isolate the issue. If your upload speed increases on another

computer, then you will know that the first computer itself was causing the slower speed. If your

speed does not increase, then this is most likely an issue with your internet connection.

• Sometimes slow upload speeds are the fault of your Internet Service Provider. Try a high-speed

internet connection with high upload speeds. Often with Cable and DSL, the upload speed is

significantly slower than the download speed. This will result in fast loading times for most websites

and file downloads, but slow uploads. Bandwidth allowance determines the amount of data that

can pass from the Internet to your web browser in a given amount of time. A smaller bandwidth

results in a longer time that it takes Internet data to transfer on your web browser.