Data Validation
Documentation for
Enrollments
Learning Objectives
As a result of this training you will be able to:
• Describe the data validation process flow
• Explain the purpose and function of the eForms OPS002 and OPS003
data field drop down menus and how they support accurate,
consistent data validation
• Demonstrate how to use the Data Collection Handbook to find
definitions and clarification regarding enrollment data collection
• Identify the four categories of data validation source documentation
• Demonstrate how to use the Data Validation Handbook to identify
documents that are accepted by the U.S. Department of Labor for
data validation during the enrollment process
Goal:
To reduce document
rejections, eliminate
rework, expedite
enrollments, and reduce
pain suffering and
anxiety.
eForms OPS002 and OPS003
Eform OPS002 and OPS003 and Data Validation
eForms
OPS002 and OPS003
Utilization of the eForm drop down menus
Eform OPS002 and OPS003 and Data Validation
eForms
OPS002 and OPS003
All data fields requiring data validation or verification
have drop down menus associated with them.
Eform OPS002 and OPS003 and Data Validation
eForms
OPS002 and OPS003
The verification documents listed in the drop
down menus are examples of acceptable forms of
data validation that have been taken directly from
the Data Validation Handbook.
Question:
What happens if the applicant cannot supply documents from the drop
down lists, or I’m not sure if the document is acceptable?
Answer:
You need to consult the Data Validation Handbook and/or the Data
Collection Handbook to determine if the documentation presented meets
data validation criteria.
Question:
What’s the difference between the Data Validation Handbook and the Data
Collection Handbook?
Answer:
The Data Collection Handbook identifies and describes what information
needs to be collected to enroll a potential participant into SCSEP. The
Data Validation Handbook identifies the documentation required to verify
that the data collected is true and current.
Question:
Where can I find the Data Collection and Data Validation Handbooks.
Answer:
The latest versions of both handbooks are located on the Experience
Works Intranet under Operations/SCSEP->Technical Assistance ->
Resources.
Data Collection Handbook
In the Participant Form Guide section of the Data Collection Handbook you will find:
What information
needs to be
collected.
A description of the
required information
with some added
comments.
Example:
There are four categories of source
documentation requirements:
•
•
•
•
Official Documents or Business Records
Confirmation of Signature and Dates
Detailed Case Notes
Participant or Third-Party Signed Attestation
1. Official Documents or Business Records
Official Documents or Business Records include the
following four subcategories:
1. Government records
2. Medical records
3. Grantee, sub-grantee, or host-agency business
records
4. Other official or third-party business records
For example:
• A disability sticker issued by the Department of Motor
Vehicles is an official document, but it does not
support a determination that a participant is disabled
unless the state DMV uses the SCSEP definition of
disability.
• You can use official documents to establish family size
to the extent that the documents are relevant. A
determination of a state or federal agency to award
benefits to a SCSEP applicant is unlikely to be relevant
to the issue of family size for SCSEP eligibility
purposes unless the other agency uses the same
definition of family that SCSEP uses.
Copies and Faxes
Since copies of documentation are acceptable
(except when there is reasonable doubt as to their
authenticity), it does not matter whether the
copies are produced mechanically or
electronically. Therefore, faxed or scanned
documents are allowed. See note on electronic
documentation on the next slide for more
information.
2. Confirmation of Signature and Dates
Confirmation of Signature and Dates is the
simplest form of support. Validators will simply
confirm that the relevant signature exists on the
application and/or participant’s recertification
form and that the date in SPARQ matches the
date on the form.
Signatures that are produced from electronic
signature pads are acceptable as long as there is
a clear policy governing their use. See note on
electronic documentation at the end of this
section for more information.
Electronic documentation
When a grantee uses electronic forms and signatures,
the grantee must have a policy that describes the
process for entering the data and the required
signatures. The policy must specifically detail how and
where in the case file records a validator can determine
that the electronic signatures and dates are valid. This
information must be updated and provided to validators
for each annual Data Validation cycle.
3. Detailed Case Notes
Detailed Case Notes consist of the case worker’s own
documentation of his or her activities. Case notes can be
based on information derived in person or by telephone.
Every case note used to validate data must include the
following three foundation elements along with the
specific facts being documented:
1. Case notes must include the name of the person who is the source
of the information, his or her phone number, and the person’s
organization and title or relationship to the participant, whichever
is appropriate. Depending on the circumstances, this could be an
individual associated with the grantee, the employer, the host
agency, or some other party.
2. Case notes must include the name or initials of the person making
the note.
3. Case notes must contain all relevant dates:
• the date on which the event occurred, where applicable,
• the date on which the information was obtained, and
• the date on which it was recorded, if different.
4. Participant or Third-Party Signed Attestation
Participant or Third-Party Signed Attestation is used
when information is obtained directly from the
participant or, when appropriate, a knowledgeable
third party.
Important notes:
• When more than one category of source
documentation requirement is listed for a data
element you only have to provide a source document
from one category.
• You do not have to provide all the specific
documents listed under the official documents and
business records category. Instead, you should
provide the documents necessary to establish that
the program requirements for the data element have
been met; in some cases, one document will suffice;
in other cases, more than one document will be
needed.
• A grantee is free to set higher standards
• A grantee may wish to limit documentation to the
most reliable sources
• If the grantee does establish higher standards, it
should follow the rules in the Handbook
Data Validation Handbook
Table IV.1 and IV.2 provide specific guidance regarding acceptable forms of data
validation
The data element
is located in this
column
Documentation
requirements
(validation) are
listed here
Example:
Summary
• Data validation exists to provide proof that the required information that has
been collected is true, valid ,and meets the requirements for participation in
SCSEP.
• Three sources to identify the required documentation for data validation are:
• eForms OPS002 and OPS003
• The Data Collection Handbook
• The Data Validation Handbook
• The Data Collection Handbook identifies what information needs to be
collected and provides a description of the required data along with additional
comments.
• The Data Validation Handbook lists the required documentation to provide
proof that the data collected is true and current.
• eForms OPS002 and OPS003 have drop down menus associated with data
fields that require validation. The drop down menus contain acceptable forms
of documentation for that validation.
• After consulting all three resources (eForms, Data Collection and Data
Validation Handbooks) and you still have questions concerning the
acceptability of the document, contact your supervisor for additional guidance.
Don’t submit a document for validation
that you are unsure of, and hope that it
gets accepted. It will most like cause
confusion, rework, a potential audit
exception, and slow down the
applicant’s entry into the Program.
Knowledge Check
To complete this training, and receive
credit for completion, you will need to
log into the Experience Works on-line
university and pass the Data
Validation for Enrollment knowledge
check.
To pass the knowledge check you will
need to score a minimum of 80%.
Additional data validation and enrollment documentation
resources:
•
I-9 form: This form is located in the Experience Works Employee Intranet under
“Forms” => “Participant Intake”. Training for correct use of the I-9 form can be found in
the Experience Works on-line University, Employment Eligibility Verification – Form I-9
tutorial.
•
Income eligibility: Training to correctly determine participant income eligibility is
located in the Experience Works on-line University, Determining Income Eligibility
tutorial. The correct determination of income is guided through the Income Worksheet
wizard in eForms OPS002 and OPS003.
•
Federal Income Tax Withholding Form W4: This form is located in the Experience
Works Intranet under “Forms”=> “Participant Intake”. Instructions for filling out the
form are included in the form.
•
Participant Orientation Record: This form is located in the Experience Works Employee
Intranet under “Forms” => “Participant Intake”.
•
eForms OPS002 and OPS003 Training guides are located in the Experience Works
Employee Intranet under “Training”=> “ Automated Forms” => “Age and Income
Eligibility Form.