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 Utilization of the eForm drop down menus eForms OPS002 and OPS003

Eform OPS002 and OPS003 and Data Validation All data fields requiring data validation or verification have drop down menus associated with them. eForms OPS002 and OPS003

Eform OPS002 and OPS003 and Data Validation 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. eForms OPS002 and OPS003

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.

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. Copies and Faxes

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.

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%. Knowledge Check

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 un der “Training”=> “ Automated Forms” => “ Age and Income Eligibility Form.