data validation revised october 2007

Documentation Required Documentation Required for Data Validation for Data Validation

Presented by:Presented by:

Planning & Research DivisionPlanning & Research Division

Rural Opportunities, Inc.Rural Opportunities, Inc.

Overall ETA Data ValidationOverall ETA Data ValidationProject Goals Project Goals

Develop a comprehensive, systematic data validation system to ensure data integrity across programs

Increase uniformity in data definitions and data Increase uniformity in data definitions and data collection across similar programscollection across similar programs

Strike the proper balance between data integrity and burden to achieve acceptable, sustainable level of error

Coordinate closely with DOL Dept. of Inspector General on methods and approach

Validity and VerificationValidity and VerificationDept. of Labor PerspectiveDept. of Labor Perspective

Develop reputation for reliable and Develop reputation for reliable and accurate program dataaccurate program data

Administration’s focus on Administration’s focus on management and accountabilitymanagement and accountability

Improve basis for incentives and Improve basis for incentives and sanctionssanctions

Basis for continuous improvementBasis for continuous improvement

Programs IncludedPrograms Included Unemployment Insurance Benefits and Tax (UI)Unemployment Insurance Benefits and Tax (UI) Workforce Investment Act (WIA)Workforce Investment Act (WIA) Trade Adjustment Assistance (TAA and NAFTA-TAA)Trade Adjustment Assistance (TAA and NAFTA-TAA) Labor ExchangeLabor Exchange Migrant and Seasonal Farm Worker Program (NFJP)Migrant and Seasonal Farm Worker Program (NFJP) Division of Indian and Native American Programs Division of Indian and Native American Programs

(DINAP)(DINAP) Senior Community Service Employment (SCSEP)Senior Community Service Employment (SCSEP) Office of Apprenticeship, Training, Employment, Office of Apprenticeship, Training, Employment,

and Labor Services (OATELS)and Labor Services (OATELS)

NFJP Data ValidationNFJP Data Validation TEGL 3-03, Change 3 mandates validation in TEGL 3-03, Change 3 mandates validation in

February 2006, to be reported by June 2006*February 2006, to be reported by June 2006*

No performance reports for grantees to No performance reports for grantees to submitsubmit

Report will not be accurate if the data being Report will not be accurate if the data being used by the software are wrongused by the software are wrong

Requires checking data elements against Requires checking data elements against source documentation to verify compliance source documentation to verify compliance with federal definitionswith federal definitions

NFJP Data Validation NFJP Data Validation (continued)(continued)

Handbooks contain instructions and Handbooks contain instructions and examples of acceptable source documents examples of acceptable source documents for each data element validatedfor each data element validated Grantees can identify grantee-specific source Grantees can identify grantee-specific source

documentation to reflect the variability of MIS documentation to reflect the variability of MIS systems and documentation standardssystems and documentation standards

Self-reported elements such as race, Self-reported elements such as race, gender, and ethnicity are not validatedgender, and ethnicity are not validated

Analysis of Performance Analysis of Performance OutcomesOutcomes

Develop an audit trail to support the Develop an audit trail to support the numerators and denominators for each numerators and denominators for each performance outcomeperformance outcome

Classifying participant records into Classifying participant records into performance outcome groups enables performance outcome groups enables non-technical staff to analyze program non-technical staff to analyze program outcomesoutcomes

Software Allows Grantees to Software Allows Grantees to Analyze PerformanceAnalyze Performance

Software will report by user-selected time Software will report by user-selected time period (weekly, monthly, quarterly, period (weekly, monthly, quarterly, annually)annually)

Users can also select reports by state or Users can also select reports by state or sub-state breakouts, including grantee sub-state breakouts, including grantee number, WIB, office, or case managernumber, WIB, office, or case manager Not multiple offices per participant Not multiple offices per participant

unless grantee loads separate filesunless grantee loads separate files Users can sort participant records by any Users can sort participant records by any

field within performance outcome groupsfield within performance outcome groups

Overview of NFJP Data Overview of NFJP Data ValidationValidation

Grantees build a file of NJFP exiters based Grantees build a file of NJFP exiters based upon an existing participant record upon an existing participant record format -- WIASPR participant recordformat -- WIASPR participant record

Grantees validate data for NFJP exitersGrantees validate data for NFJP exiters Grantees do not validate youth participantsGrantees do not validate youth participants

Grantees with multiple grants validate Grantees with multiple grants validate each grant separatelyeach grant separately- Goal is to assess the accuracy of the annual - Goal is to assess the accuracy of the annual

report for each grantreport for each grant

Extract FileExtract File Grantees create an extract file of one year Grantees create an extract file of one year

of exiter recordsof exiter records Grantees use the format for the WIASPR record Grantees use the format for the WIASPR record

submission with the addition of 5 fields – submission with the addition of 5 fields – observation number, WIB name, office, case observation number, WIB name, office, case manager name, user field – which are needed manager name, user field – which are needed to perform the validationto perform the validation

NFJP calculates performance for a program NFJP calculates performance for a program year, so the extract file should contain all year, so the extract file should contain all exiters from July through Juneexiters from July through June

Element #1

Date of Enrollment

For each client we will need an EDF/Program Enrollment with signature.

Date of Birth

For each client we will need only one document for identification. Example a copy of ID, Baptismal record, birth certificate, driver's license, , Federal, state or local identification card, hospital record of birth, passport, public assistance/social service records, school record or ID cards, work permit, cross match with Department of Vital Statistics, tribal records.

Element #2

Qualify for Sec. 167 Program as a Farmworker or dependent or spouse of a Farmworker

Ex. NB-XXXXX-01 Farmworker

NB-XXXXX-02 or greater dependent or spouse of Farmworker

For each client we will need pay stubs, W-2 forms, IRS 1040 forms, case management/counselor intake notes, self attestation.

Element #3

Farmworker Status

Ex. Migrant or Seasonal

For each client we will need pay stubs, W-2 forms, IRS 1040 forms, case management/ counselor intake notes, self attestation.

Element #4

Number of Individuals in the Family

For each dependent we will need only one document for identification. Example a copy of birth certificate, family bible or IRS 1040 forms.

Element #5

Element#6

Employment Status at Participation

Pay Stubs, case notes showing information collected from participant

Six Month Pre-Program Earnings

For each client we will need Pay stubs, W-2 forms, Employer payroll records, IRS 1040 forms and Administrative wage records.

Element #7

Information source:

EDF/Program Enrollment

Note: For dependents being enrolled this info will come form the program enrollment

Long-term Agricultural employment

IRS 1040 forms, pay stubs, intake application, case manager/counselorprogress notes, self-attestation

Element #8

Element #9

Date of First Intensive Services

Case manager/counselor certification signature, IEP assessment and diagnostic testing. WE. GED and ESL are some of the contract that we use for Intensive services.

Element #10

Date of First Training Services: Case manager/counselor certification signature, employer signed document, attendance records from institution or instructor.Data Source: Training contracts

Element #11

Date of Exit

Ex. Exit status

Grantee Administrative Records.

Element #12

Category of Exit

Ex. Exit status

Grantee Administrative Records.

Element # 13

Other Reason for Exit

Grantee Administrative Records

Date Entered Unsubsidized Employment

Case manager/counselor progress notes; letter from employer

Element # 14

Elements # 15, 16 and 17

Employed in the First, Second, and Third Quarter after Exit Quarter

Pay stubs; employer payroll records; IRS tax forms, administrative/UI wage records, case manager/counselor progress notes with signature

Wages 2nd and 3rd Quarters after Exit Quarter

Pay stubs, employer payroll records, IRS tax forms, administrative/UI wage records; case manager/counselor progress notes with signature

Element#18

Back of the Employment Follow-up form to be used when validating Elements # 15, 16, 17 and 18.