Documentation Required for Data Validation Presented by: Planning & Research Division Rural Opportunities, Inc.

Overall ETA Data Validation Project Goals Develop a comprehensive, systematic data validation system to ensure data integrity across programs Increase uniformity in data definitions and data collection 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

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

Increase uniformity in data definitions and data collection 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 Verification Dept. of Labor Perspective Develop reputation for reliable and accurate program data Administration’s focus on management and accountability Improve basis for incentives and sanctions Basis for continuous improvement

Develop reputation for reliable and accurate program data

Administration’s focus on management and accountability

Improve basis for incentives and sanctions

Basis for continuous improvement

Programs Included Unemployment Insurance Benefits and Tax (UI) Workforce Investment Act (WIA) Trade Adjustment Assistance (TAA and NAFTA-TAA) Labor Exchange Migrant and Seasonal Farm Worker Program (NFJP) Division of Indian and Native American Programs (DINAP) Senior Community Service Employment (SCSEP) Office of Apprenticeship, Training, Employment, and Labor Services (OATELS)

Unemployment Insurance Benefits and Tax (UI)

Workforce Investment Act (WIA)

Trade Adjustment Assistance (TAA and NAFTA-TAA)

Labor Exchange

Migrant and Seasonal Farm Worker Program (NFJP)

Division of Indian and Native American Programs (DINAP)

Senior Community Service Employment (SCSEP)

Office of Apprenticeship, Training, Employment, and Labor Services (OATELS)

NFJP Data Validation TEGL 3-03, Change 3 mandates validation in February 2006, to be reported by June 2006* No performance reports for grantees to submit Report will not be accurate if the data being used by the software are wrong Requires checking data elements against source documentation to verify compliance with federal definitions

TEGL 3-03, Change 3 mandates validation in February 2006, to be reported by June 2006*

No performance reports for grantees to submit

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

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

NFJP Data Validation (continued) Handbooks contain instructions and examples of acceptable source documents for each data element validated Grantees can identify grantee-specific source documentation to reflect the variability of MIS systems and documentation standards Self-reported elements such as race, gender, and ethnicity are not validated

Handbooks contain instructions and examples of acceptable source documents for each data element validated

Grantees can identify grantee-specific source documentation to reflect the variability of MIS systems and documentation standards

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

Analysis of Performance Outcomes Develop an audit trail to support the numerators and denominators for each performance outcome Classifying participant records into performance outcome groups enables non-technical staff to analyze program outcomes

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

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

Software Allows Grantees to Analyze Performance Software will report by user-selected time period (weekly, monthly, quarterly, annually) Users can also select reports by state or sub-state breakouts, including grantee number, WIB, office, or case manager Not multiple offices per participant unless grantee loads separate files Users can sort participant records by any field within performance outcome groups

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

Users can also select reports by state or sub-state breakouts, including grantee number, WIB, office, or case manager

Not multiple offices per participant unless grantee loads separate files

Users can sort participant records by any field within performance outcome groups

Overview of NFJP Data Validation Grantees build a file of NJFP exiters based upon an existing participant record format -- WIASPR participant record Grantees validate data for NFJP exiters Grantees do not validate youth participants Grantees with multiple grants validate each grant separately - Goal is to assess the accuracy of the annual report for each grant

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

Grantees validate data for NFJP exiters

Grantees do not validate youth participants

Grantees with multiple grants validate each grant separately

- Goal is to assess the accuracy of the annual report for each grant

Extract File Grantees create an extract file of one year of exiter records Grantees use the format for the WIASPR record submission with the addition of 5 fields – observation number, WIB name, office, case manager name, user field – which are needed to perform the validation NFJP calculates performance for a program year, so the extract file should contain all exiters from July through June

Grantees create an extract file of one year of exiter records

Grantees use the format for the WIASPR record submission with the addition of 5 fields – observation number, WIB name, office, case manager name, user field – which are needed to perform the validation

NFJP calculates performance for a program year, so the extract file should contain all exiters 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

E l e m e n t # 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/counselor progress 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 2 nd and 3 rd Quarters after Exit Quarter Pay stubs, employer payroll records, IRS tax forms, administrative/UI wage records; case manager/counselor progress notes with signature E l e m e n t # 18

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