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pdfUNITED STATES DEPARTMENT OF LABOR
Division of Older Worker Programs
SENIOR COMMUNITY SERVICE
EMPLOYMENT PROGRAM
(SCSEP)
DATA VALIDATION HANDBOOK
Revision 14 (November 2020)
CONTENTS
Chapter
Page
I. INTRODUCTION ........................................................................................................................1
A. TIMING OF DATA VALIDATION .......................................................................2
B. OVERVIEW OF HANDBOOK ..............................................................................4
II. OVERVIEW OF SCSEP DATA VALIDATION .......................................................................5
A. SELECTING DATA ELEMENTS TO VALIDATE ..............................................6
B. SELECTING SAMPLES OF PARTICIPANT RECORDS TO VALIDATE .........7
1. Eligibility Sample ............................................................................................7
2. Performance Sample ........................................................................................7
3. Records Sampled without Regard to Sub-grantee ...........................................7
4. Sample Sizes Vary by Grantee Size .................................................................8
5. Sample Drawn by Enrollment ..........................................................................8
6. Excluding Records from a retired Sub-grantee ..............................................10
7. Sample Drawn on Frozen Data ......................................................................10
8. A Note on Final Performance ........................................................................10
C. SUMMARY OF SCSEP DV PROCESS ...............................................................12
D. PREPARING FOR DV ............................................................................................13
III. SCSEP DATA VALIDATION PROCEDURES .....................................................................15
A. VIEWING THE SCSEP DV PAGES AND DV SAMPLES ................................15
1. Summary DV Worksheet Column Descriptions ............................................17
2. Other Field Descriptions ................................................................................19
B. CONDUCTING DV OF INDIVIDUAL RECORDS IN DV SAMPLES .............21
1. Individual DV Worksheet Column Descriptions ...........................................23
2. Other Field Descriptions ................................................................................24
C. ENTERING COMMENTS FOR THE SAMPLE..................................................30
D. VIEWING SUMMARY AND ANALYTICAL REPORT ...................................31
1. Summary and Analytical Report Column Descriptions .................................34
2. Other Field Descriptions ................................................................................34
E. SCSEP DV PROCESS AT-A-GLANCEERROR!
BOOKMARK
NOT
DEFINED.
IV. SCSEP DATA VALIDATION INSTRUCTIONS ..................................................................38
A. VALIDATION RULES .........................................................................................39
B. SOURCE DOCUMENTATION ............................................................................41
1. Official Documents or Business Records ......................................................41
2. Confirmation of Signature and Dates.............................................................42
3. Detailed Case Notes .......................................................................................42
4. Participant or Third-Party Signed Attestation................................................43
C. VALUES AND RECORDS NOT VALIDATED .................................................44
GLOSSARY ..................................................................................................................................72
APPENDIX ....................................................................................................................................75
LIST OF TABLES
Tables
Page
TABLE I.1 TIMING OF SCSEP ELIGIBILITY VALIDATION ................................................. 3
TABLE I.2 TIMING OF SCSEP PERFORMANCE VALIDATION........................................... 3
TABLE II.1 ELIGIBILITY SAMPLE SIZES PER GRANTEE ................................................... 9
TABLE II.2 PERFORMANCE SAMPLE SIZES PER GRANTEE ............................................. 9
TABLE II.3 PREPARING FOR DV ........................................................................................... 14
TABLE IV.1 ELIGIBILITY SAMPLE VALIDATION INSTRUCTIONS ............................... 45
TABLE IV.2 PERFORMANCE SAMPLE VALIDATION INSTRUCTIONS ......................... 60
LIST OF FIGURES
Figures
Page
FIGURE II.1 FINAL PERFORMANCE (FU3) DURING PROGRAM YEAR .......................... 11
FIGURE III.1 MAIN SPARQ HOMEPAGE ............................................................................... 15
FIGURE III.2 SCSEP DV PAGE TO SELECT SAMPLE TYPE AND Program Year ............. 16
FIGURE III.3 SCSEP DV PAGE TO SELECT SUB-GRANTEE .............................................. 16
FIGURE III.4 SUMMARY DV WORKSHEET PAGE............................................................... 17
FIGURE III.5 ALL PRINTABLE WORKSHEET ...................................................................... 20
FIGURE III.6 SELECTING INDIVIDUAL RECORD IN SAMPLE ......................................... 21
FIGURE III.8 TOGGLE BAR WARNING MESSAGE .............................................................. 23
FIGURE III.9 CASE FILE MISSING SELECTION WARNING MESSAGE ........................... 25
FIGURE III.10 INVALID RECORD SELECTION WARNING MESSAGE ............................ 25
FIGURE III.11 COMMENT WARNING MESSAGE ................................................................. 26
FIGURE III.12 CHANGING TO NO RECORD EXCLUSION WARNING MESSAGE .......... 26
FIGURE III.13 VIEW DATA COMMENTS FOR AN ELIGIBILITY RECORD...................... 27
FIGURE III.14 VIEW DATA COMMENTS FOR A PERFORMANCE RECORD .................. 27
FIGURE III.15 COMMENTS FOR INDIVIDUAL RECORD IN THE SAMPLE ..................... 29
FIGURE III.16 COMMENTS FOR THE SAMPLE .................................................................... 30
FIGURE III.17 SUMMARY AND ANALYTICAL REPORT .................................................... 33
FIGURE III.18 PRINTED SUMMARY AND ANALYTICAL REPORT .................................. 35
FIGURE III.19 COMMENTS IN PRINTED SUMMARY AND ANALYTICAL REPORT ..... 35
FIGURE III.20 SCSEP DV AT-A-GLANCE .............................................................................. 37
I. INTRODUCTION
I. INTRODUCTION
In December 2007, data validation (DV) functionality was added to the SCSEP Performance And
Results QPR (SPARQ). This functionality supports the ETA’s DV initiative for SCSEP. This
initiative requires that all grantees validate the information that is used to establish participant
eligibility and to measure grantee performance.
The Data Validation Handbook contains an overview of the data validation process, describes the
procedures for data validation, and provides detailed instructions for the validation of each
element. DV sets forth the minimum standards for validation. In addition, grantees can set their
own, higher standards, in order to simplify the choices for case workers and/or improve the quality
of the data or service to participants. While the DV process does not validate “negative” values, it
is important for grantees to establish policies to help case workers document/support a negative
value. For example, if an applicant does not claim a waiver factor, the case worker would still have
done the work necessary to support a “no” in SPARQ. It is advisable that case workers would
indicate in a case note that the waiver was explored with the client and then indicate how the “no”
determination was made.
The DV Handbook will generally not suffice as the only authority for validators. In the Source
Document section of the chapter on DV Instructions, reference is made to regulatory definitions,
for which validators will need to consult the Data Collection (DC) Handbook. Validators will also
want to refer to the regulations and TEGLs themselves. Finally, they will need access to the
grantee’s own policies for certain items.
In the limited situations where DV requirements change after data are collected but before
validation is conducted, validators are instructed to use the requirements in effect on the date they
do the validation. This has not been an issue since the PY16 validation of the PY15 data. The data
elements and source documentation requirements largely remained unchanged from PY13 through
PY17. Since Revision 13 of this handbook was released in July 2019, the following changes have
been made:
•
•
•
•
Item E6 (If exit is not due to unsubsidized employment, other reason for exit) has been
removed
Item E9a (Exclusion discovered after exit) has been removed.
The following performance elements have been removed:
o U28c (Any wages for first quarter after exit quarter?)
o U29c (Any wages for second quarter after exit quarter?)
o U29e (Any wages for third quarter after exit quarter?)
o U30c (Any wages for fourth quarter after exit quarter?)
o U29d (Earnings for second quarter after exit quarter)
o U29f (Earnings for third quarter after exit quarter)
The self-attestation and third-party attestation forms for items U28c, U29c, U29e, U30e
have been removed.
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I. INTRODUCTION
A. TIMING OF DATA VALIDATION
SCSEP DV will begin each year after the Program Year data are finalized and the final QPR is
calculated for each grantee. Table I.1 and Table I.2 provide additional details on the timing of the
SCSEP DV eligibility and performance samples for this year and subsequent years.
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I. INTRODUCTION
TABLE I.1
TIMING OF SCSEP ELIGIBILITY VALIDATION
If Initial Assignment Date
Record could be in
Which is
is between
Eligibility Sample for PY Validated during PY
7/1/2019 and 6/30/2020
2019
2020
7/1/2020 and 6/30/2021
2020
2021
7/1/2021 and 6/30/2022
2021
2022
TABLE I.2
TIMING OF SCSEP PERFORMANCE VALIDATION
If Exit Date
Record could be in
Which is
is between
Performance Sample for PY Validated during PY
7/1/2018 and 6/30/2019
2019
2020
7/1/2019 and 6/30/2020
2020
2021
7/1/2020 and 6/30/2021
2021
2022
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I. INTRODUCTION
B. OVERVIEW OF HANDBOOK
The Handbook proceeds as follows:
•
Chapter II provides an overview of DV, describes how the samples are drawn, and
explains the validation preparation responsibilities of key grantee staff.
•
Chapter III describes step-by-step instructions that grantees need to access and use the
DV utility within SPARQ; how to obtain the necessary source documentation; and how
to complete each worksheet.
•
Chapter IV provides details for every data element to be validated, including the
validation rules and definitions of source documents.
After reviewing this Handbook, grantees should email any policy questions to their Federal
Project Officer and copy their National Office Liaison.
For technical questions about
at https://scsephelp.zendesk.com/.
Revision 14 (November 2020)
the
DV
process,
please
contact
SCSEP
Help
4
II. OVERVIEW OF SCSEP DATA VALIDATION
II. OVERVIEW OF SCSEP DATA VALIDATION
SCSEP DV is an efficient method for monitoring sub-grantee and local area data collection,
reporting, and performance. By having all SCSEP grantees perform a standardized DV
methodology, ETA is able to confirm the quality of the information used to assess the effectiveness
of the SCSEP program. More specifically, DV is designed to accomplish the following goals:
1. Provide tools that help grantees analyze participant eligibility and the causes of
performance successes and failures.
2. Match data elements against source documents to verify compliance with federal
definitions, which provides grantees the opportunity to correct any identified problems.
3. By calculating an error rate for each data element validated, DV helps to ensure that
critical eligibility and performance data used to meet ETA’s Government Performance
and Results Act (GPRA) responsibilities and grantees’ Congressionally-mandated
performance goals are reasonably accurate
4. Minimize the burden on grantees by providing a web-based DV system that displays
individual participant records by grantees or sub-grantees and provides built in random
samples, validation worksheets, and automated validation reports.
5. Further minimize the burden on grantees by selecting the smallest possible validation
samples necessary to calculate valid error rates.
In the limited situations where DV requirements change after data in the performance sample
was collected, validators are required to use the requirements in effect on the date when they
do the validation. This will enable grantees to see where there needs to be changes in practice
or additional training in order to comply with the current rules.
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II. OVERVIEW OF SCSEP DATA VALIDATION
A. SELECTING DATA ELEMENTS TO VALIDATE
DV assesses the accuracy of key data elements in SPARQ used to calculate the SCSEP QPRs by
examining a sample of participant records. When a participant record is selected for validation,
grantee staff compare specified data elements in SPARQ to source documentation located in case
files for that participant.
DV results in an error rate for each data element selected for validation. Data elements are selected
for validation based on two factors:
1. Feasibility—ETA can validate data elements only when it is practical and efficient to
locate and examine supporting evidence within the grantee case files. Therefore, data
elements such as race, ethnicity, and gender are not validated because these elements
are self-reported by participants and it is not practical to locate the participants to verify
these characteristics.
2. Importance—Data elements are selected for validation based primarily on their
importance to the integrity of the individual participant records, for generating
performance outcomes and calculating the QPRs. All data elements selected for
validation are used to determine program eligibility or to calculate grantee performance
in the QPRs.
The complete list of data elements to be validated for the eligibility sample and the performance
sample are included in Chapter IV.
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II. OVERVIEW OF SCSEP DATA VALIDATION
B. SELECTING SAMPLES OF PARTICIPANT RECORDS TO VALIDATE
DV is designed to measure grantee data accuracy in a timely fashion. Validation of performance
cannot be conducted until the retention rates have been finalized in SPARQ, which is up to seven
(7) quarters after a participant exits the program. Consequently, it would be impossible to develop
timely validation results for the data elements used to support program eligibility if a single sample
of participants were drawn for validation. In that case, the eligibility data might have been captured
several years before the validation would be done. Therefore, the SPARQ DV process selects two
separate samples of participant records, both of which are validated at the same time.
1.
Eligibility Sample
The eligibility sample is a simple random sample. It validates those data elements used to
demonstrate program eligibility for a sample of participants who enrolled in SCSEP during the PY
being validated. In order to ensure timely feedback to the grantee on data quality and to limit the
number of community service assignments (CSA) to be validated, all CSA data that can be
collected during the first year of an enrollment will be validated as part of the eligibility sample.
Enrollments that were transferred from another grantee will not be sampled. Enrollments that were
transferred to another grantee will be sampled.
2.
Performance Sample
The performance sample is a stratified sample. It validates those data elements used in the
performance calculations for a sample of participants whose final performance was included in the
QPR for the PY being validated. Data collected at re-certification and for waiver of durational
limits is also validated in this sample since those data are more likely to be included in the records
of the performance sample than of the eligibility sample. The stratified nature of the performance
sample is similar to a simple random sample, except for the fact that each record is assigned a
weight and records are selected based upon their weight. For example, a participant who has an
unsubsidized employment (UE) record with wages in each of the three quarters after exit is
assigned a weight of 3; a participant who has a UE record with wages in the first quarter after exit,
but not all three quarters is assigned a weight of 2; and, all other participants whose final
performance is included in the QPR for the PY are assigned a weight of 1. Enrollments that were
transferred between grantees are not sampled.
3.
Records Sampled without Regard to Sub-grantee
Participant records are randomly sampled at the grantee level, without regard to the sub-grantee.
The process for selecting eligibility samples and performance samples is completely separate.
Therefore, it is likely that many sub-grantees may not have any records sampled and that some
sub-grantees may have performance samples but not eligibility samples or vice versa. For these
reasons, DV samples are valid at the grantee level but not at the sub-grantee level. Although it is
not possible to generalize the DV results to the entire sub-grantee database, DV can nonetheless
be extremely useful at the sub-grantee level, for example, to identify training needs.
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II. OVERVIEW OF SCSEP DATA VALIDATION
4.
Sample Sizes Vary by Grantee Size
The sampling process is designed to select the smallest random sample that will produce valid
results. Sample sizes for both eligibility and performance will vary by grantee size. Grantees with
fewer enrollees or exiters will have smaller sample sizes but will validate a higher proportion of
cases than larger grantees. This is because, as the number of records in the population increases,
the proportion that must be reviewed to obtain valid estimates of error rates decreases. To reduce
this relative burden, ETA requires less precision for the validation results for smaller grantees.
For smaller grantees, the validation results will be within plus or minus 4 percent of the actual
error rates. For larger grantees, the validation results will be within plus or minus 3.5 percent of
the actual error rates.1 To further limit the potential burden on grantees, ETA has set a maximum
sample size for the performance sample at 250 records.2 In addition, grantees will never validate
the same data element twice even if the same participant is selected in the two samples in different
years because there are different data elements being validated in the two samples.
As shown in Table II.1, the eligibility sample size is based on the number of participants who were
enrolled in the program during the PY. For example, if a grantee has 399 participants who enrolled
in the program during the PY, SPARQ selects an eligibility sample of 89 records to validate in
order to provide a level of precision of 4 percent. If a grantee has 1,000 participants who were
enrolled in the program during the PY, SPARQ selects an eligibility sample of 130 records to
validate in order to provide a level of precision of 3.5 percent.
Similarly, as shown in Table II.2, the performance sample size is also based on the number of
participants whose final performance was reported during the PY. For example, if a grantee has
100 participants whose final performance was reported during the PY, SPARQ selects a
performance sample of 70 records to validate in order to provide a level of precision of 4 percent.
If a grantee has 500 participants whose final performance was reported during the PY, SPARQ
selects a performance sample of 187 records to validate to provide a level of precision of 3.5
percent.
5.
Sample Drawn by Enrollment
The sample is drawn at the enrollment level, not at the participant level. Therefore, it is possible
for a participant who has had more than one enrollment to appear twice in the sample. The same
participant could also be selected in the eligibility sample one year and in the performance sample
in a subsequent year. The application date in the header of the Individual Worksheet identifies the
enrollment that needs to be validated.
1
The level of precision is stated as the half-width of the confidence interval with 95 percent certainty. Therefore, we
can be 95 percent certain that if the measured error rate for a large grantee is 5 percent, then the real error rate is +/3.5 percent, which is between 1.5 percent and 8.5 percent.
2
An artificial maximum sample size is not needed for the eligibility measures because the nature of the sample (e.g.
simple random sample) and the calculation to determine its size will produce, at most, 149 records.
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II. OVERVIEW OF SCSEP DATA VALIDATION
TABLE II.1
ELIGIBILITY SAMPLE SIZES PER GRANTEE
Number of Participants
Enrolled During PY
1 – 99
100 – 199
200 – 299
300 – 399
400 – 549
550 – 699
700 – 849
850 – 999
1,000 – 1,999
2,000 – 4,999
5,000 +
Sample Size
Level of Precision
1 – 53
54 – 73
73 – 83
83 – 89
109 – 118
118 – 123
123 – 127
127 – 130
130 – 139
139 – 145
145 – 149
4.0%
4.0%
4.0%
4.0%
3.5%
3.5%
3.5%
3.5%
3.5%
3.5%
3.5%
TABLE II.2
PERFORMANCE SAMPLE SIZES PER GRANTEE
Number of Exiters with Final
Performance Reported During PY
1 – 99
100 – 199
200 – 299
300 – 399
400 – 499
500 – 749
750 – 999
1,000 – 1,250
1,251 – 1,516
1,517 +
Revision 14 (November 2020)
Sample Size
Level of Precision
1 – 70
70 – 107
107 – 130
130 – 146
146 – 157
187 – 214
214 – 230
230 – 241
241 – 249
250
4.0 %
4.0 %
4.0 %
4.0 %
4.0 %
3.5%
3.5%
3.5%
3.5%
3.5%
9
II. OVERVIEW OF SCSEP DATA VALIDATION
6.
Excluding Records from a retired Sub-grantee
Whenever a sub-grantee is no longer being used by a grantee and all of the participants in that subgrantee have been moved to a different sub-grantee, the grantee should contact SCSEP HELP
at https://scsephelp.zendesk.com/, which will mark the former sub-grantee as retired in SPARQ.
Records in any sub-grantee marked as retired will not be included in the pool from which future
DV samples are drawn. However, records moved to a new sub-grantee will be included in the pool
for the eligibility sample if the initial assignment date is within the program year of the data being
validated. Similarly, records moved to a new sub-grantee will be included in the pool for the
performance sample if the exit date is within the program year of the data being validated.
7.
Sample Drawn on Frozen Data
The sample is drawn from the data that were in SPARQ as of the end of the PY. If the data have
been changed since that time, the value that appears in the worksheets may differ from the value
that appears in SPARQ at the time validation is conducted. The determination of “Pass” or “Fail”
must be made based on the data displayed in the worksheets, including when a fail is due to a data
entry error. The validator may add a comment that the sub-grantee corrected or updated the data
prior to the validation in order to acknowledge that the sub-grantee is aware of and has addressed
the issue. If data entry errors are discovered during data validation, the data can and should be
corrected in the Web Data Collection System (WDCS).
8.
A Note on Final Performance
The performance sample is based on the number of records where final performance was reported
during the PY. Figure II.1 identifies four groups of participants who all exited during the previous
PY, yet whose last follow-up occurred during the PY being validated. (The highlighting shows the
quarters during which the follow-ups could have been conducted.) For example, a participant in
the Exiters 2 cohort exits the program during the second quarter of the previous PY. A grantee is
required to perform only the first follow-up (FU1) with that participant by the end of that previous
PY. The grantee would be required to perform the second follow-up (FU2) and the third followup (FU3), which constitutes final performance, before the end of the PY being validated. Similarly,
a participant in the Exiters 4 cohort exits the program during the fourth quarter of the previous
PY. In this scenario, however, a grantee is required to perform all three follow-ups with that
participant by the end of the PY being validated.
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II. OVERVIEW OF SCSEP DATA VALIDATION
FIGURE II.1
FINAL PERFORMANCE (FU3) DURING PROGRAM YEAR
Note: the highlighting shows the quarters during which the follow-ups could have been conducted.
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II. OVERVIEW OF SCSEP DATA VALIDATION
C. SUMMARY OF SCSEP DV PROCESS
All data to be validated will be displayed on summary and individual worksheets, which are
accessed through SPARQ using the usual login procedures. Only those users with a validator role
will have access to the worksheets. The official grantee contact person must assign a validator role
to the account(s) of grantee staff involved in the validation process. To ensure the integrity of the
validation process, the following persons may not be granted a validator role:
• sub-grantee staff,
• local project staff, or
• personnel at any level who are involved in the collection or data entry of participant data
or the determination of eligibility.
Grantee validation staff will validate each data element on the worksheet by reviewing source
documents to verify compliance with federal definitions. Again, sub-grantee staff are not permitted
to participate in the validation effort. Grantee validation staff will then indicate the results by
marking “Pass” or “Fail” for each of the data elements. The worksheets in SPARQ will display
the data submitted to SPARQ by the grantee for the participant. The online worksheet will clearly
indicate which data elements need to be validated.
Validation can be conducted on-site or at a central location, although on-site reviews allow better
access to information and better communication with the sub-grantee and local project staff
responsible for the data. Some grantees validate each sub-grantee, one at a time, as part of an
annual monitoring and evaluation visit; others do all the validation over the same period.
Communication with the sub-grantee and local project staff should not include discussions as to
whether an element should pass or fail and should only occur after all validation for that subgrantee is complete. Sub-grantees should also be informed that the sample is NOT valid at the subgrantee level. While the sub-grantee may learn something important from the review of the
individual records in the sample, it will not be possible to generalize from those records to the
entire sub-grantee database.
In cases where DV reveals systematic errors in the data for an element, the grantee and/or subgrantee should not make corrections to the data in SPARQ until all validation is complete. The
data in the DV worksheets are the data that were in SPARQ when the final QPR for the program
year was frozen. If the sub-grantee has made a correction to the data in SPARQ between the time
that the final QPR was frozen and the time that the data are validated, the element must be marked
as “Fail.” A comment may be entered indicating that the sub-grantee had already detected and
corrected the error. If an error in the data of an exited participant is corrected after validation is
complete, the grantee should use the SPARQ Home Participant Search to find out if the participant
has been reenrolled with any other grantees. If so, the grantee should contact SCSEP HELP
at https://scsephelp.zendesk.com/, which will notify the other grantee(s) if necessary.
Grantees should notify sub-grantee and local project staff of when the validation will occur to
ensure that local staff are available to assist in the validation when validation is conducted on-site.
The grantee should apply the rule of reason when deciding how much notice, if any, to give. In
most cases, notice of approximately five business days will balance the need of making the review
more efficient, while minimizing the likelihood that changes can be made to the files. In some
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II. OVERVIEW OF SCSEP DATA VALIDATION
cases, however, the grantee may find it necessary to provide less notice (or even no notice) when
the sub-grantee is small.
Case files must be copied and shipped to the grantee validator when validation is conducted at a
central location. Copies of the files should be sent to a specifically named individual, via a
traceable delivery method, such as a private overnight delivery carrier or the US Postal Service’s
certified mail. It is not efficient or secure to email or fax the documentation.
It is acceptable to collect only the documents in the file pertaining to all activities prior to exit for
records included in the eligibility sample, and all the documents in the file pertaining to exit and
all subsequent follow up activities for records included in the performance sample. It is NOT
acceptable to collect less than the complete set of documents pertaining to either the eligibility or
performance sample.
Note that when the documentation involves medical records, which are required to be kept in
secure files separate from other participant records, it will be necessary for the validator and the
sub-grantee administrator to make special arrangements to preserve the confidentiality of those
records.
At the end of the DV process, SPARQ will generate a Summary and Analytical report with the
error rate for each data element. All supporting documentation must be maintained for three
program years after the program year in which the validation is completed to allow for auditing of
the results by ETA and DOL’s Office of the Inspector General. Documentation includes all case
files and all worksheets for sampled records, not just the records that failed. The grantees may
store documentation in whatever manner they deem to be safest and most efficient.
D. PREPARING FOR DV
Chapter III of this handbook describes the steps that grantees should follow to complete DV.
Responsibility for completing these steps will be divided among various staff.
The official grantee contact person is responsible for assigning the validator role to one or more
grantee staff or other personnel not involved in the collection or entry of participant data.
Grantee Administrators are responsible for assuring that validators have the resources needed to
complete the validation on time, as required by ETA.
Validators conduct DV once the random samples have been selected. Validators must be grantee
staff or other personnel who are independent of the data collection process so that an independent
analysis can be obtained. Users with a validator role and no other role will only have access to the
DV utilities and My User Info in SPARQ. In other words, local project staff cannot validate their
own data. To preserve the integrity of the DV process, the following persons may not be granted
a validator role:
• sub-grantee staff,
• local project staff, or
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II. OVERVIEW OF SCSEP DATA VALIDATION
•
personnel at any level who are involved in the collection or data entry of participant data
or the determination of eligibility.3
Table II.3 summarizes the preparation tasks that grantees should complete before embarking on
the validation effort, as well as the staff who will likely be responsible for completing each
preparation task. All parties should be thoroughly familiar with these tasks so that the grantee can
maximize the time available to validate its eligibility and performance samples.
TABLE II.3
PREPARING FOR DV
Preparation Activity
Responsible Staff
Handbook Reference
Assemble validation team
Grantee administrator
Not applicable
Assign validator role to appropriate
accounts
Official grantee contact
person
Review handbook
Validators
All chapters
Develop a DV schedule and make
staff assignments
Grantee administrator,
validators
Chapter II
Review DV steps. Confirm case files
contain source documentation.
Validators
Chapter III
3
Participant staff assigned to the grantee office who are not involved in data collection or data entry may be designated
as validators
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III. SCSEP DATA VALIDATION PROCEDURES
III. SCSEP DATA VALIDATION PROCEDURES
This chapter provides a step-by-step description of how to view the SCSEP DV pages within
SPARQ, select the eligibility and performance samples, display the data elements to be validated,
and enter the validation results. It also gives an overview of the six key steps that must be followed
by validators as they validate SCSEP data and includes a flowchart that illustrates those six
fundamental steps in the DV process.
A. VIEWING THE SCSEP DV PAGES AND DV SAMPLES
Validators can access the SCSEP DV pages within SPARQ (www.sparq.doleta.gov) using normal
SPARQ user login procedures.
Step 1: Select Data Validation under the System Tools section (Figure III.1).
FIGURE III.1
MAIN SPARQ HOMEPAGE
Step 1
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III. SCSEP DATA VALIDATION PROCEDURES
Step 2: On the SCSEP DV page (Figure III.2), select the Sample Type and Program
Year.
FIGURE III.2
SCSEP DV PAGE TO SELECT SAMPLE TYPE AND PROGRAM YEAR
Step 2
Step 2
Click on the Sample Type drop-down menu to select either the eligibility sample or the
performance sample. (Please refer to Chapter II of this handbook for a detailed discussion of both
types of SCSEP DV samples, including selection criteria and sample sizes).
Select the applicable Program Year of Data. For the validation done during PY 2020, select PY
2019. Click GO.
Step 3: Click on the Sub-grantee drop-down menu and select a specific sub-grantee or all subgrantees to view the records included in the specified DV sample. Selecting all sub-grantees will
display a list of all of the participants included in the sample. Selecting a specific sub-grantee will
display a list of participants for only the specific sub-grantee selected. If validators choose to select
specific sub-grantees, they must ensure that they separately select each of the sub-grantees from
the drop-down list to ensure that all sampled records are validated (Figure III.3).
FIGURE III.3
SCSEP DV PAGE TO SELECT SUB-GRANTEE
Step 3
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Click Continue after making a sub-grantee selection.
Step 4: Depending on the sample type chosen in Step 2, either the Eligibility Summary or the
Performance Summary worksheet page for the selected sub-grantee will be displayed. Both of
these summary worksheets have three tabs. They are: Worksheets, Report, and Comments
(Figure III.4.)
FIGURE III.4
SUMMARY DV WORKSHEET PAGE
The Worksheets tab displays a summary worksheet with a list of Participants in Sample for a
specific sub-grantee, or for all the sub-grantees of a specific grantee (depending on the choice
selected in Step 3), and the validation status for each participant record in the selected sample. The
Report and Comments tabs will be discussed later in this chapter.
1.
Summary DV Worksheet Column Descriptions
As shown in Figure III.4, the summary DV worksheet includes eight columns: Sub-grantee Code,
Last Name/First Name, PID, Pass, Fail, Incomplete, and Status. The columns are the same for both
the eligibility sample and the performance sample.
•
The Sub-grantee Code column shows the codes of the selected sub-grantee(s) in the
sample. This column can be sorted alphabetically by clicking on the column header.
This is useful when all sub-grantees are selected in Step 3.
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•
The Last Name/First Name column lists the names of the participants included in the
sample. This column can be sorted alphabetically by clicking on the column header.
Clicking on a specific name will open the individual validation worksheet for that
record. (The individual validation worksheet will be discussed in more detail in Section
B of this chapter.)
•
The PID column displays the seven-digit Participant ID of each participant included in
the sample. This column can be sorted numerically by clicking on the column header.
•
The Grant Indicator column displays the words “Regular” for each participant record
in both samples. In previous years, the column could have displayed the words
“Regular” or “Recovery,” depending upon whether the participant was funded with
SCSEP annual grant funds (regular) or ARRA funds (recovery). We are retaining this
column as confirmation to the validators that the records are only being drawn from the
regular grant.
•
The Pass column shows the number of elements within a record that have passed DV.
(Section B of this chapter provides instructions on when to select “Pass” for an
element.)
•
The Fail column shows the number of elements within a record that have failed DV.
(Section B of this chapter provides instructions on when to select “Fail” for an element.)
•
The Incomplete column shows the number of elements within a record that have not
yet been validated (i.e., have not passed or failed DV yet). When no element in the
sample has passed or failed DV, the number in the Incomplete column equals the total
number of elements to be validated for that record. For example, the first record in
Figure III.4 has 0 in both the Pass and Fail columns, and 7 in the Incomplete column,
indicating that there are 7 elements to be validated for that record, and none of them
have been validated yet. If the validator selects “Pass” for one element and “Fail” for
another element, then the numbers will change to 1 in both the Pass and Fail columns,
and 5 in the Incomplete column. Each record in the eligibility sample has 25 elements,
and each record in the performance sample has 17 elements (see Table IV.1 and Table
IV.2 at the end of Chapter IV for a complete list of data elements in both samples).
However, the number of elements that need to be validated will not equal 25 (eligibility
sample) or 17 (performance sample) when there is a null (blank field) or a “negative
value” for a given data element because it is not feasible to validate either nulls or
negative values. When a data element is not validatable due to a null or a negative
value, there will be no Pass, Fail, or Incomplete radio buttons to select in the individual
validation worksheet for that data element.
• The Status column shows whether a record has been completely validated (i.e. all
validatable elements have passed or failed and there are no unvalidated elements in the
Incomplete column). A green check mark
will appear in the Status column when a
record is completely validated.
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2.
Other Field Descriptions
•
The # Complete/# in Sample field shows the number of records that have been
completely validated and the total number of records in the sample.
•
The Sample Status field shows the sample’s validation status. Once all records in the
sample have been completely validated, the Sample Status will be “Complete”;
otherwise, it will be “Incomplete.”
•
The Case File Missing field shows the total number of records in the sample that are
missing case files and thus cannot be validated. There is an option for “Case File
Missing” in the Record Exclusion drop-down menu in the individual validation
worksheet of each record, as discussed in more detail in Section B of this chapter.
•
The Invalid Records field shows the total number of records in the sample that are
invalid and thus cannot be validated. There is an option for “Invalid Record” in the
Record Exclusion drop-down menu in the individual validation worksheet of each
record, as discussed in more detail in Section B of this chapter.
•
The Export to CSV link is a function that creates a .csv file for analytical purposes.
When this link is selected, a spreadsheet is created where the rows of the file are all
data elements of each of the records displayed on the summary worksheet, and the
columns are the Grantee Name, Program Year, Sample Type, Sub-Grantee Code, Last
Name/First Name, PID, Form#, Data Element Name, Reported Value, Validatable?,
Pass/Fail, and Validation Date.
• The ALL Printable Worksheet link is a function that opens a new browser window
with a printer-friendly version of the validation worksheets for all of the records of
either all sub-grantees or a specific sub-grantee, depending on the option chosen in Step
3 (Figure III.5). Elements that are not validatable due to nulls (blanks) or negative
values are marked as N/A in the Pass/Fail column. Elements that are validatable, but
have not been validated, are blank in the Pass/Fail column. Elements that have been
validated are marked as “Pass” or “Fail” in the Pass/Fail column. The Sample Status
and Worksheet Status are also shown at the top of each worksheet.
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FIGURE III.5
ALL PRINTABLE WORKSHEET
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B. CONDUCTING DV OF INDIVIDUAL RECORDS IN DV SAMPLES
Based on the Sample Type, Program Year, and Sub-grantee selected, SPARQ will display the
sample of records and their respective data elements to be validated.
Step 1: Click on the name of the individual record (in the Last Name/First Name column) in the
summary worksheet (Figure III.6).
FIGURE III.6
SELECTING INDIVIDUAL RECORD IN SAMPLE
Step 1
Step 2: This will open the individual worksheet page that lists all data elements to be validated for
the selected record, along with radio buttons for indicating whether an element passed or failed.
(Figure III.7).
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FIGURE III.7
INDIVIDUAL DV WORKSHEET PAGE
Step 2
The top part of the screen shows the Sample Type, Program Year, Grantee name, Sub-grantee
name, # Complete/# In Sample, and Sample Status, (the same fields are on the summary DV page
shown in Figure III.4). The individual DV worksheet page also has a Worksheet Status field that
shows whether all validatable data elements for this record have been completely validated
(Complete) or not (Incomplete).
To toggle between records, use the arrows that appear in the center of the screen. The arrows on
the far left and right navigate to the first and last record in the sample, respectively. The middle
arrows allow navigation to the record immediately before and immediately after the record
currently selected. In between the middle arrows is displayed the number of the worksheet
currently selected of the total number of worksheets in the sample. This toggle bar also appears at
the bottom of the screen. If validators make any changes to the record currently displayed on the
screen, and use the toggle bar, a box will appear asking if validators want to save the changes
(Figure III.8). Make the appropriate selection before navigating to the next screen.
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FIGURE III.8
TOGGLE BAR WARNING MESSAGE
Under the arrows used for toggling between records, the participant’s last name, first name, and
the seven-digit PID are displayed. In addition, for records in the eligibility sample, the Application
Date, Assignment Date, and Break Start Date (if available) are also shown; for records in the
performance sample, the Start Date is also shown.
1.
Individual DV Worksheet Column Descriptions
As shown in Figure III.7, the individual DV worksheet includes seven columns: No., Form#, Data
Element Name, Reported Value, Pass, Fail, and Incomplete. These columns are the same for both
the eligibility sample and the performance sample.
•
The No. column shows the sequential numbers of the data elements in the record.
•
The Form# column shows the corresponding form numbers of the data elements in the
record.
•
The Data Element Name column shows the names of the data elements in the record.
•
The Waiver Field Last Updated Date column appears only in the performance
sample, and displays a value for four elements, all of which appear in that sample.
Those elements are
P51, Severe Disability?
P52, Frail?
P53, Old enough for but not receiving SS Title II?
P54, Severely limited employment prospects in area of persistent unemployment?
For each of those elements, the date on which the field was last updated in SPARQ will
be displayed.
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•
The Reported Value column shows the values that the sub-grantee reported for the
data elements.
• The Pass, Fail and Incomplete columns contain radio buttons to select for each data
element that needs to be validated. Only one of these buttons can be selected for a
particular data element. If the wrong button was selected, select the correct button
instead. This will remove the incorrect mark and correct the error. As discussed in
Section A of this chapter, data elements that are not validatable due to null (blanks) or
negative values will not have radio buttons in the Pass, Fail, or Incomplete columns.
2.
Other Field Descriptions
•
Click on the DV Sample Select link to return to the sub-grantee selection screen.
•
Click on the Eligibility Summary or Performance Summary link to return to the
summary DV worksheet for the selected sample.
•
The Save button saves all of the entered validation values. It appears at both the top
and bottom sections of the worksheet. After the Save button is clicked, a message “The
validation data has been updated for this record” will appear in the top section of the
screen above the Save button.
It is imperative that validators click the Save button before leaving an
individual worksheet that has been updated. Failing to do so will result in
the loss of all changes made to that worksheet.
•
The Print Version link opens a new browser window with a printer-friendly version
of the validation results for all data elements of the selected record. It works the same
way as the ALL Printable Worksheet function of the summary DV worksheet and has
the same layout (Figure III.4), except that it only contains data for the one record
currently being validated, instead of all the records in the summary worksheet.
•
The Record Exclusion drop-down menu has three choices: None, Case File Missing,
and Invalid Record. By default, it is set to “None” for all records, which activates the
Pass, Fail, or Incomplete radio buttons and allows them to be selected.
When the case file for a record cannot be located, “Case File Missing” should be
selected. When “Case File Missing” is selected, all of the data elements in the
worksheet will be set to “Fail,” and the Pass and Incomplete radio buttons will be
grayed out. A message box will appear asking for confirmation (Figure III.9). Make
the appropriate selection before navigating to the next screen.
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FIGURE III.9
CASE FILE MISSING SELECTION WARNING MESSAGE
When a record is invalid, “Invalid Record” should be selected. When “Invalid Record” is
selected, all elements in the worksheet that have radio buttons will automatically be nullified and
grayed-out, indicating that the record is excluded from validation. A message box will appear
asking for confirmation (Figure III.10). Make the appropriate selection before navigating to the
next screen. When the “Invalid Record” option is selected, SPARQ will send an automatic email
to https://scsephelp.zendesk.com/ including the record’s Grantee, Sub-grantee, Program Year (of
sample), Sample Type, Last Name, PID, and a message saying “This record has been marked as
an ‘Invalid Record’ in Data Validation.” SCSEP Help will verify whether the record has been
properly marked as invalid. If the record is not actually invalid, SCSEP Help will reset Record
Exclusion to “None” and notify the grantee administrator.
FIGURE III.10
INVALID RECORD SELECTION WARNING MESSAGE
If either the “Case File Missing” or the “Invalid Record” option is selected, a reason
must be provided for the selection in the Comments field before saving the validation
result of the record. If no comment is entered for such a record, a message box warning
will appear when the save button is clicked (Figure III.11).
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FIGURE III.11
COMMENT WARNING MESSAGE
If the case file for the record is located later, or if a record is marked as invalid by
mistake, select “None” in the Record Exclusion drop-down menu. This will reset the
selected individual worksheet to the default of Incomplete for all data elements. A
message box will appear to confirm the change (Figure III.12). Make the appropriate
selection. If OK is clicked, validators will be able to select “Pass” or “Fail” for each of
the data elements of the record.
FIGURE III.12
CHANGING TO NO RECORD EXCLUSION WARNING MESSAGE
•
The Clear All link removes all of entries of “Pass” or “Fail” and returns the selected
individual worksheet to the default of Incomplete for all data elements.
•
When the View data comments for this record link is clicked, the worksheet page is
refreshed and the comments on the record from SPARQ are displayed. Validators can
view these comments for the record to help them with validation. For records in the
eligibility sample, the comments displayed include personal characteristics comments,
enrollment comments, and community service assignment comments (Figure III.13).
For records in the performance sample, the comments displayed include
recertification/waiver comments, exit comments, unsubsidized employment
comments, and follow-up comments (Figure III.14). Click on the “Hide data
comments for this record” link to hide these comments. Note that the comments
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displayed are those that were in the data when the final QPR for the program year was
frozen.
FIGURE III.13
VIEW DATA COMMENTS FOR AN ELIGIBILITY RECORD
FIGURE III.14
VIEW DATA COMMENTS FOR A PERFORMANCE RECORD
Step 3: Assemble all of the supporting documentation and complete the validation of each data
element of the selected record. There are two options for where to conduct the validation:
Option 1: Go to the sub-grantee’s office and review all of the case files on-site; this may be
preferable when there are few sub-grantees that have a large number of cases to be validated.
In this case, validators may choose to select specific sub-grantees in the DV Sample Select
step and print the validation worksheets for each selected sub-grantee.
Option 2: Have all of the case files that need to be validated sent to the grantee’s office; this
may be preferable when there are numerous sub-grantees with a small number of cases in
order to avoid having to make many short duration trips. In this case, validators may choose
to select All sub-grantees in the DV Sample Select step and print the validation worksheets
for all sub-grantees.
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Step 4: Enter validation results for each data element of each record. There are three options to do
this:
Option 1: Print out all of the worksheets that need to be validated and record the results on
paper while reviewing the files. The results then need to be entered separately into the relevant
online SPARQ DV worksheet page.
Option 2: Export all of the worksheets to a CSV file and record the results in a spreadsheet
while reviewing the files. The results then need to be entered separately into the relevant
online SPARQ DV worksheet page.
Option 3: Enter the results online while validation is being conducted using the SPARQ DV
page, which is available wherever there is an Internet connection.
The validation process itself involves comparing the sub-grantee reported information to the
participant case files. This process includes the following steps:
1. Use the participant’s name given on the validation worksheet to locate his/her case file.
2. Go through the list of data elements on the worksheet and compare the reported value
with the information contained in the case file. Using the source documentation (see
Chapter IV) to make a decision, determine if the information contained in the case file
meets the specifications for the reported value.
3. If the information included in the participant’s file supports/matches the value for the
data element, then select “Pass.” However, if the source documents do not
support/match the data element, then select “Fail.” For example, the participant’s date
of birth is one element that requires validation. If the reported date on the individual
worksheet is 06/06/1930 and the source document within the case file says 06/06/1930,
then the data element is valid and “Pass” should be selected. However, if the date on
the source document within the case file shows any other date, then “Fail” should be
selected. If no source document with a date of birth can be located in the case file,
“Fail” must be selected for that data element. A green check mark
will appear in
the Status column on the Summary page when all data elements for a record are
completely validated.
In situations where DV requirements have changed since data in the performance
sample was collected, validators must use the requirements in effect on the date they
do the validation. If a record lacks the documentation presently required, it must be
marked “Fail.” No grantee will be put at a competitive disadvantage because of this
change in requirement, nor will any grantee suffer adverse consequences. Grantees may
enter a comment noting that the requirement was not in effect at the time of the
recertification.
Note: Due to the manner in which data are stored in SPARQ, for date and money
fields, validators may come across differences in how the values display. For
example, a date field may be displayed as either 01/01/2008 or 01-JAN-2008, and a
money field that contains whole dollars may be displayed either with two decimals
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(5.00) or with no decimals (5). Regardless of the format, the substance of the values
in SPARQ must match the source documentation.
If an entire case file cannot be located, or if the record is invalid, “Case File Missing”
or “Invalid Record” from the Record Exclusion drop-down list in the worksheet must
be selected. In this case, all elements of the worksheet with radio buttons will
automatically be nullified and grayed-out. If the file is located later, or an invalid record
is later considered valid, the “Case File Missing” or “Invalid Record” selection can be
changed to “None” and the appropriate “Pass” or “Fail” values may be entered. When
a case file is missing or a record is invalid, explanatory notes must be entered in the
Comments field at the bottom of the individual worksheet.
4. Repeat this process for every data element on each individual worksheet. Some data
elements do not need to be validated and have no Pass, Fail, or Incomplete buttons.
This occurs when the reported values of those elements are null (blank) or negative
values, which cannot be validated.
5. Make copies of relevant source documents when selecting “Fail” for a data element.
The copied materials will help support that a discrepancy exists between the reported
value for a data element and the documentation in the case file. The copied materials
can also be used to discuss the discrepancy with sub-grantee staff, which will help them
correct the errors and prevent the same types of errors from recurring in the future.
Also make copies of relevant source documents when there is a question as to whether
the information in the case file supports the reported values for the data elements. This
can be especially helpful when validation is conducted on-site but a final decision will
not be made until a later date.
6. Before navigating to another webpage or worksheet, click the Save button. If changes
to the worksheet are not saved, then all of the radio buttons will return to the position
they were in when the worksheet was last saved.
To avoid the potential loss of validation results, click the Save button before leaving
a worksheet.
Step 5: Enter relevant comments for the individual record being validated (Figure III. 15). The
Comments box is located at the bottom of the individual worksheet, and up to 1,000 characters
may be entered. Comments can include the reason why a data element failed. Comments are
mandatory for case file missing records and invalid records (see Step 2 of this section). Always
click the Save button after comments have been entered.
FIGURE III.15
COMMENTS FOR INDIVIDUAL RECORD IN THE SAMPLE
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C. ENTERING COMMENTS FOR THE SAMPLE
Validators may enter comments for the entire sample being validated by clicking on the
Comments tab after the Worksheet and Report tabs at the top of the screen (Figure III.16). This
opens the comments box for the entire sample. Up to 1,000 characters may be entered here.
Comments can describe the validation results for the entire sample, explain why multiple case files
are missing for a single reason, or some other sample-specific message. Click the Save button after
comments have been entered.
Comments can be printed along with the Summary and Analytical Report, which is described in
Section D of this chapter.
FIGURE III.16
COMMENTS FOR THE SAMPLE
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D. VIEWING SUMMARY AND ANALYTICAL REPORT
SPARQ generates a Summary and Analytical Report that shows the number of errors and the
error rates for each validated data element. This report is used for grantee and ETA staff to analyze
the accuracy of the data elements submitted to SPARQ.
Three types of error rates4—Running Error Rate, Overall Error Rate, and Reported Error
Rate—are calculated using the information entered on the worksheets by validators. For each data
element, the rates are calculated as follows:
•
The Running Error Rate is the total number of records in which that particular data element
has been marked as “Fail” divided by the total number of records in which that data element
has been validated. This measure reflects how well that data element has done relative to
how many times it has been validated. This error rate starts at 0 percent and increases only
when an element fails.
•
The Overall Error Rate is the total number of records in which that data element is in error
divided by the total number of records sampled that are not Invalid. A data element can be
“in error” in one of two ways: it is marked as “Fail,” or it could be validated but is not
validated. This measure reflects how well that data element has done relative to the entire
sample. Because elements that are not validated are treated as if they were marked as
“Fail,” this error rate starts at 100 percent and decreases each time the element passes5.
•
The Reported Error Rate is the total number of records in which that data element is in
error divided by the total number of records in which that data element can be validated.
A data element can be “in error” in one of two ways: it is marked as “Fail,” or it could be
validated but is not validated. This measure reflects how well that data element has done
but takes into account the fact that values may not be present for every data element in each
record sampled. This error rate starts at 100 percent for those elements that are validatable
in every record sampled and decreases each time the element passes.
4
Because the Performance sample is a stratified sample based on the weights of individual records (see discussion in
Section II.B above), the performance sample error rates must necessarily include the weights in their calculations.
5
In certain circumstances the overall error rate may be less than 100 percent due to invalid records calculations.
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To illustrate the three types of Error Rates, assume we have an element with these counts:
# records in sample:
20 (none of them are Invalid)
# values that can be validated:
15
# values that have been validated:
10
# values that Passed:
8
# values that Failed:
2
Then, the Error Rates for this element in this sample would be:
Running:
2 / 10 = 20%
Overall:
(2 + (15-10)) / 20 = 7 / 20 = 35%
Reported:
(2 + (15-10)) / 15 = 7 / 15 = 46.67%
After validation is complete6—meaning that all the elements that can be validated are actually
validated (Pass or Fail)—the Running Error Rate and the Reported Error Rate will be the same.
Since records marked as Invalid are by definition treated as if they should not be in the sample at
all, they are excluded from all Error Rate calculations.
The Summary and Analytical Report can be viewed while validation is in progress, but the results
should not be considered final until validation for all data elements in all of the sampled records
has been completed. The Overall Error Rate and the Reported Error Rate are only valid at the
grantee level. These error rates are not calculated for specific sub-grantees and the relevant
columns will appear blank when reviewing the results at the sub-grantee level. However, because
the Running Error Rate is simply a real-time tally of validation and not a statistically valid
indication of performance, it can be viewed at the grantee and sub-grantee level.
Following the close of each DV cycle, nationwide results are analyzed, and a report is provided to
all grantees. Although ETA has not developed data quality standards for data element validation,
grantees may compare the estimate of their error rates in the SPARQ Summary and Analytical
Report to the results presented in the nationwide report. However, it should be noted that the error
rates presented in the nationwide report only provide estimates of the error rates, not the “actual”
error rates. Since some data elements are not validated for some sampled records and, for the
performance sample, the probability of selecting a record is proportional to the size (i.e. weight)
of the record, it is not possible to determine the precision of these estimates. To estimate the
precision of the error rates it would be necessary to calculate the standard error for the sample and
for the relevant population.
Validators should follow these steps to access the Summary and Analytical Report.
Step 1: Click on the Report tab on the top of the worksheet to open the Summary and Analytical
Report.
6
If a grantee has ended its validation efforts but a data element is marked as Incomplete, the Running Error Rate and
the Reported Error Rate may not be the same.
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Step 2: The Summary and Analytical Report page of the selected sample will be displayed (Figure
III.17).
FIGURE III.17
SUMMARY AND ANALYTICAL REPORT
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1.
Summary and Analytical Report Column Descriptions
As shown in Figure III.17, the Summary and Analytical Report includes eight columns: No., Data
Element Name, Form#, Number Validated, Number of Errors, Running Error Rate, Overall Error
Rate, and Reported Error Rate.
2.
•
The No. column shows the sequential numbers of the data elements.
•
The Form# column displays the corresponding form number of each data element.
•
The Data Element Name column displays the names of the data elements validated
for the selected sample. These elements are the same as the ones in the corresponding
individual validation worksheets.
•
The Number Validated column shows the total number of each data element that has
been validated (has either passed or failed validation) in the selected sample.
•
The Number of Errors column shows the number of each data element that has failed
validation in the selected sample.
•
The Running Error Rate column calculates the running error rate for each data
element in the selected sample.
•
The Overall Error Rate column calculates the overall error rate for each data element
in the selected sample. Because the overall error rate is valid only at the grantee level,
this column will be blank when viewing the results for a specific sub-grantee.
•
The Reported Error Rate column calculates the reported error rate for each data
element in the selected sample. Because the reported error rate is valid only at the
grantee level, this column will be blank when viewing the results for a specific subgrantee.
Other Field Descriptions
•
The fields at the top of the screen are Grantee, Sub-Grantee, Program Year,
# Complete/# In Sample, Sample Status, Case File Missing, and Invalid Records, which
are similar to the fields in the summary and individual validation worksheets.
•
The Export to CSV link creates a .csv file for analytical purposes. The columns of the
file are Grantee Name, Program Year, Sample Type, Sub-Grantee Code, No. (of data
element), Form Number, Data Element Name, Number Validated, Number of Errors,
Overall Error Rate, and Reported Error Rate.
• The Printable Version link opens a new browser window with a printer-friendly
version of the Summary and Analytical Report (Figure III.18). The printed version is
similar to the online version, except that comments for the entire sample are displayed
at the bottom of the page (Figure III.19). See Section C of this chapter for instructions
on how to enter comments for a sample.
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FIGURE III.18
PRINTED SUMMARY AND ANALYTICAL REPORT
FIGURE III.19
COMMENTS IN PRINTED SUMMARY AND ANALYTICAL REPORT
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E. SCSEP DV PROCESS AT-A-GLANCE
Another way to conceive of the SCSEP DV process is to view it graphically. Figure III.20 is a
flowchart that summarizes the six key steps in the validation process for both the eligibility and
the performance samples. The six key steps are:
Step 1: Access the DV worksheets for either the eligibility sample or the performance sample and
retrieve the case files corresponding to those records. After obtaining the case file for a sampled
record, use the validation worksheet to locate the first relevant data element that must be validated.
Fields that are null (blank) or contain a “negative value” are not validated, and the applicable row
on the worksheet will not display a radio button in the Pass, Fail, or Incomplete columns. The
negative values for each data element, if any, are listed in Table IV.1 and Table IV.2 at the end of
Chapter IV.
Step 2: For elements where data are present, use the validation instructions in Chapter IV to
determine whether the data element meets the validation criteria based on the information in the
source documents.
Step 3: If the source documentation supports/matches the data element, click on the radio button
in the Pass column of the worksheet.
Step 4: If the source documentation does not support/match the data element (or there is no source
documentation for the element), click on the radio button in the Fail column of the worksheet. If
the case file for a particular record is missing from the sub-grantee’s office where it is supposed to
be kept, or if a record is invalid, select “Case File Missing” or “Invalid Record” in the Record
Exclusion drop-down menu on the individual validation worksheet for that record, and provide an
explanation in the Comments field.
Step 5: Proceed through each data element for each sampled record in the same manner. The
Comments section of the worksheet can be used to record notes or to document issues for a specific
record that may be helpful for future validations.
Step 6: After each data element has been validated for every sampled record, review the Summary
and Analytical Report generated by SPARQ. The Comments tab can be used to provide additional
information relevant to the validation of the entire sample.
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1. III. SCSEP DATA VALIDATION PROCEDURES
FIGURE III.20
SCSEP DV AT-A-GLANCE
•
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IV. SCSEP DATA VALIDATION INSTRUCTIONS
IV. SCSEP DATA VALIDATION INSTRUCTIONS
This section presents the list of data elements that require data validation in the eligibility sample
and the performance sample, along with their associated Form Number, Field Name, Valid Values,
Negative Values, Source Documentation Requirements, and Validation Instructions. (See Table
IV.1 and Table IV.2, respectively, at the end of this chapter.)
The DV Handbook is not designed to provide validators with all the authority they need to conduct
DV. The Source Document section below references regulatory definitions which validators will
need to consult in the Data Collection Handbook. Validators are also encouraged to refer to the
regulations and TEGLs themselves, and to review the grantee’s own policies for certain items.
These additional sources will provide the validators with the standards that may be needed to make
an accurate DV determination.
Grantees will be required to validate one, and only one, assignment per enrollment in the eligibility
sample. That is, if a new enrollee has more than one assignment during the PY being validated,
the SPARQ DV software will select the assignment that has the earliest assignment date. All other
CSA data elements (i.e. Start Assignment Date, End Assignment Date, Total Hours Paid, Reason
for Approved Break, etc.) will be driven by the selection of that earliest assignment.
Similarly, grantees will be required to validate one, and only one, placement per exiter in the
performance sample. That is, if an exiter whose final performance was reported during the PY
being validated has more than one placement, SPARQ DV will select the placement that has the
most recent start date. All other data elements in the performance sample (i.e. End Placement Date,
Wages, and Earnings) will be driven by the selection of that most recent placement.
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IV. SCSEP DATA VALIDATION INSTRUCTIONS
The following changes have been made to the SPARQ DV Source Documentation Requirements
since Revision 13 of this handbook was released in July 2019.
•
•
•
•
Item E6 (If exit is not due to unsubsidized employment, other reason for exit) has been
removed
Item E9a (Exclusion discovered after exit) has been removed
The following performance elements have been removed:
o U28c (Any wages for first quarter after exit quarter?)
o U29c (Any wages for second quarter after exit quarter?)
o U29e (Any wages for third quarter after exit quarter?)
o U30c (Any wages for fourth quarter after exit quarter?)
o U29d (Earnings for second quarter after exit quarter)
o U29f (Earnings for third quarter after exit quarter)
The self-attestation and third-party attestation forms for items U28c, U29c, U29e, U30e
have been removed.
A. VALIDATION RULES
Validators conducting SCSEP DV will apply one of two basic types of validation rules for each
data element:
1. If the validation instruction cell says MATCH: Click on the radio button in the pass
column if the data on the validation worksheet match the data in the source
documentation. Click on the radio button in the Fail column if the data on the worksheet
do not match the data in the source documentation or if no source documentation is
found for this element.
To match, the data on the worksheet must be the same as the data in the source
documentation. For example, if the worksheet says a participant’s date of birth is
07/01/1942, then the source documentation must also have July 1, 1942 as the birth
date. For income, earnings, and hours fields (listed below), no variance is allowed. If
the difference is small, this can be noted in comments.
P14, Total includable family income
P45, Recert: Total includable family income
A19.1, Total hours paid in Q1
A19.2, Total hours paid in Q2
A19.3, Total hours paid in Q3
A19.4, Total hours paid in Q4
A21.1, Total hours of paid training received in Q1
A21.2, Total hours of paid training received in Q2
A21.3, Total hours of paid training received in Q3
A21.4, Total hours of paid training received in Q4
U33c, PY18 earnings for second quarter after exit quarter
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IV. SCSEP DATA VALIDATION INSTRUCTIONS
2. If the validation instruction cell says SUPPORT: Click on the radio button in the pass
column if the data on the validation worksheet are supported by the data in the source
documentation. Click on the radio button in the Fail column if the data on the worksheet
are not supported by the data in the source documentation or if no source
documentation is found. To support, the data on the worksheet must be similar to the
data in the source documentation. This instruction is used when information must be
interpreted or processed before it can be applied to the participant’s records. For
example, source documentation can support low literacy skills in different ways: by
self-attestation, by results of literacy testing, or case notes from observation of
participant.
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IV. SCSEP DATA VALIDATION INSTRUCTIONS
B. SOURCE DOCUMENTATION
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:
•
Government records – includes Social Security Administration records;
immigration records; driver’s license; federal, state, or local government
identification card; Veteran’s Administration records; Department of Defense
records.
•
Medical records – includes actual medical records; physician’s statement;
psychologists’ diagnosis; rehabilitation evaluation; certification from a medical
professional; disability records; worker’s compensation records; vocational
rehabilitation letter.
•
Grantee, sub-grantee, or host-agency business records – a broad category of
documents meant to include records created in the normal course of business. This
subcategory would include, but is not limited to: time-sheets, payroll records,
written communications (letters, memos, faxes, email) to an external entity (for
example, a letter from sub-grantee to host agency or vice versa; an email from host
agency to participant; or a fax from host-agency to sub-grantee).
•
Other official or third-party business records – a broad category of documents
meant to provide flexibility for grantees to use documents received from external
entities (e.g. bank statements, payroll records, letters from employers) not explicitly
listed above, yet that could clearly establish the facts being considered. Such
documents could be received from the external entity directly or delivered from the
participant or a third party. These documents are prepared by a disinterested party,
are generally used by the entity in the course of its business, and are presumed to
be reliable. This category also includes religious records, such as baptismal
certificates or other religious documents that provide evidentiary information, such
as date of birth.
Examples of Official Documents or Business Records that are listed for the data elements in
Table IV.1 and Table IV.2 below are meant to be illustrative. Validators should use the
guidance above to determine whether particular sources meet the standards of proof. For
example, if a document is not on the list, but the type of information contained in the unlisted
document and the circumstances under which the document was prepared are the same as those
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IV. SCSEP DATA VALIDATION INSTRUCTIONS
which are present on the documents that are listed, then such a document may be acceptable.
Official documents and business records, however, do not automatically constitute sufficient
support for a data element; they must be relevant and must encompass the specific
requirements of the element at issue. 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.
In most cases, you are more likely to use the facts found by the other agency, e.g., that
the applicant is married and lives with his or her spouse and no other persons, than the
legal conclusion the agency drew, because most programs have their own definitions
of family and includable income. Even when you can use the facts from another
agency's determination, you may have to determine that those facts remain true at the
time you make your eligibility determination.
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 at the end of this section 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.
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:
•
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.
•
Case notes must include the name or initials of the person making the note.
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IV. SCSEP DATA VALIDATION INSTRUCTIONS
•
Case notes must contain all relevant dates:
o the date on which the event occurred, where applicable,
o the date on which the information was obtained, and
o the date on which it was recorded, if different.
Initials next to changed data on eligibility or attestation forms do not constitute case notes.
Case notes can be stored in any format, including hand-written notes, standardized forms, or
electronic records (see note on electronic documentation at the end of this section for more
information). No particular format is required as long as the information listed above is present.
The term “detailed” does not correlate to length or amount of information, but instead
recognizes that the case notes need to provide sufficient information so that a reasonable person
could make a determination as to specific events or decisions.
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. DOL has provided a
form that can be used for all items for which signed attestation is permitted. Please note that
the applicant’s signature on the participation form does not constitute self-attestation. Signed
attestation suffices ONLY IF there is no evidence in the case file that contradicts the statements
made through attestation.
Important notes: Except where specifically stated, when more than one category of source
documentation requirement is listed for a data element, grantees and sub-grantees only have to
provide a source document from one category. In addition, grantees and sub-grantees do not
have to provide all the specific documents listed under the official documents and business
records category. Instead, grantees and sub-grantees 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.
Although the DV rules permit the use of multiple data sources, a grantee is free to set higher
standards or to otherwise limit the sources that its sub-grantee may use to fewer than those
permitted in the Handbook. A grantee may wish to limit documentation to the most reliable sources
feasible in order to ensure consistency among all sub-grantees or to simplify the process of
documentation for sub-grantee staff. If the grantee does establish higher standards, it should follow
the rules in the Handbook for determining which elements pass or fail the official validation. It
will have to keep separate notes to record when a sub-grantee has not complied with the grantee’s
standards.
Electronic documentation
When a sub-grantee uses electronic forms and signatures, the grantee must have a written
procedure that describes the process for entering the data and the required signatures. The grantee
must either issue its own policy or adopt the sub-grantee’s policy in writing and provide both the
policy and the adoption to the validator. Each year, the lead validator should check with the grantee
administrator to obtain an updated procedure or confirm in writing the continuing validity of the
existing procedure. The written procedure must specifically detail how and where in the case file
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IV. SCSEP DATA VALIDATION INSTRUCTIONS
a validator can determine that the electronic signatures and dates are valid. There must be a
documentation trail or a process document to establish the validity of signatures.
C. VALUES AND RECORDS NOT VALIDATED
The DV process does not validate negative values. For each data element, the Negative Values
column in Table IV.1 and Table IV.2 identifies which values, if any, of the possible valid values
are not validated. When the negative value is present for the relevant data element, there are no
radio buttons for the validator to select “Pass,” “Fail,” or “Incomplete,” as discussed in Chapter
III. In general, validating negative values would be difficult, if not impossible, because the
validator would be searching the case file to confirm that something was not present or an event
did not occur. Similarly, blanks are not validated because the validator would be searching the
entire case file to confirm that there was no valid value with which to populate that particular data
element.
SCSEP DV provides for two exclusions, Case File Missing and Invalid Record, as discussed in
Chapter III. Case File Missing means that a record’s case file cannot be located and, if selected,
all the data elements for that record will be set to “Fail.” Invalid record means that a particular
participant’s record is included in a grantee’s database in error. When a validator has compelling
reason to believe that a record has been included in error, the “Invalid Record” option should be
selected. In such cases, SPARQ will send an automatic email to https://scsephelp.zendesk.com/
for confirmation. If it is determined that the record was legitimately included, the record will be
reset to incomplete, and the grantee administrator(s) will be notified by email.
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IV. SCSEP DATA VALIDATION INSTRUCTION
TABLE IV.1
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ELIGIBILITY SAMPLE VALIDATION INSTRUCTIONS
Form
Field Name
Number
1 P6.c/P7 State of Mailing
address/
State of
residence
#
Validatable
Values
State
abbreviation
Negative
Values
Source Documentation Requirements
Instructions
NOTE: Validation of this data element is a two-step process:
(1) validate State of mailing address/State of residence if different from mailing address; and
(2) validate consistency with program requirements, i.e., participant must have documentable
proof of in-state residence, or there must exist a cross-border agreement between the participant’s
state of residence and the state in which the grantee operates; or the participant must be
homeless, and this has been validated in element P8.
Both requirements must be met for a “Pass.”
Match
OFFICIAL DOCUMENTS AND BUSINESS RECORDS:
Official records that substantiate the participant’s state of residence, including but not limited to:
Approved cross-border or multi-state agreements; valid driver’s license or State, Federal or Tribal
ID Card; current (e.g., within the last 3 months) home utility bill or other billing statement providing
documentation of residence or mailing address (if different than address on license or ID);
document from a public or private institution (independent living housing, CBRF or AL) or housing
authority; official government mail dated within the last 30 days; current bank statement; current
Social Security Statement; current rental agreement; homeowners or rental insurance policy or
statement; valid voter registration card.
NOTES:
(1) The address to be verified is that which was in effect at the time the DV sample was drawn.
(2) A homeless individual is considered a resident of the state in which he or she applied.
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IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
2
P8
Homeless
Validatable
Values
#
Revision 14 (November 2020)
Y
Negative
Values
N
Source Documentation Requirements
Instructions
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official records that establish that the regulatory definition as explained in the DC Handbook has been
met are acceptable, including but not limited to:
Letter or written statement from director of shelter or institution providing temporary living
accommodations; written statement from an individual providing temporary residence; statement
from a Social Service agency; statement from a Veteran’s hospital/rehab center.
Support
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail:
(1) how the participant’s living condition meets the regulatory definition as explained in the DC
Handbook, and
(2) how that determination was made.
OR
SIGNED ATTESTATION:
Participant signed self-attestation is acceptable.
Signed attestation from a third-party who has knowledge of the participant’s living condition is
acceptable.
3
P8a
Urban/
Rural
Rural
Urban
NOTE: A homeless individual is considered a resident of the state in which he or she applied.
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Enter zip code in the Rural Urban Commuting Area (RUCA) look-up table in SPARQ.
Support
Alternatively, use the census track look-up provided in SPARQ to determine if the participant’s
residence is considered rural. If the census track is used, grantees must document steps taken to
make that determination.
4
P10
Date of
birth
Date Format
MM/DD/YYYY
>= 1/1/1900
Note: The RUCA tables are available
•
in SPARQ, in the SPARQ Home Participant Search and in the enrollment record in the
WDCS,
•
on the Older Workers Community of Practice at
https://olderworkers.workforce3one.org/page/resources/1001433762029873206, and
•
on the SCSEP Help website at http://www.scsephelp.com/Documentation/DataValidation.aspx.
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official government record that verifies the participant’s date of birth, including but not limited to:
birth certificate; DD-214, Report of Separation; driver’s license; marriage license or divorce
decree; Federal, state or local identification card; passport; hospital record of birth; public
assistance/social service records; school records or ID card; work permit; cross match with
Department of Vital Statistics; tribal records; Social Security award letter; baptismal record.
Match
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IV. SCSEP DATA VALIDATION INSTRUCTION
5
P11
Number in
family
Integer > 0
A. For all cases, to establish the number in family at time of application the following are
acceptable:
Revision 14 (November 2020)
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official government records or other official records are acceptable, including:
A HUD form; a lease; beneficiary forms (to substantiate a spouse for a family size of 2)
NOTE: TEGL 12-06 requires that the record of documents must be jointly signed by applicant and grantee
interviewer.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, to establish the number in family at the time
of application, case notes must also detail:
(1) the number in family as defined by TEGL 12-06, and
(2) the rationale for accepting information from that individual without a signature.
NOTE: Case notes are not acceptable for establishing family-of-one is due to disability
OR
SIGNED ATTESTATION:
Signed attestation from a third-party who has knowledge of the participant’s number in family and reflects
the living situation at time of application.
NOTE: Participant signed self-attestation is prohibited by the eligibility TEGL.
B. In addition, to establish a family-of-one due to disability the following are required:
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official government or other official records are acceptable, including but not limited to:
Receipt of Social Security Disability Insurance (SSDI), other Social Security Administration records; school
records; sheltered workshop certification; social service records or referrals
Alternatively, certification from a medical professional or medical records that establish specific facts that
meet the regulatory definition as explained in the DC Handbook are acceptable, including but not limited to:
Letter from Drug or Alcohol rehabilitation agency; medical records; physician’s statement; psychologist’s
diagnosis; rehabilitation evaluation; disability records; Veteran’s medical records; vocational
rehabilitation letter; worker’s compensation record; Assessment results; verification from an aging,
information and referral assistance (I&A or I&R)/case management program; Aging and Disability
Resource Center (ADRC); Independent Living Center (ILC); certification from a medical professional
NOTES:
(1) A ‘Disability Identification Card’ issued by the State is only acceptable if there is documentation that
the medical standards used to issue the card meet the regulatory definition as explained in the DC
Handbook.
(2) Case notes and signed attestation are prohibited. Signed attestation from a third-party (as opposed
to a medical professional) is not acceptable in establishing family-of-one is due to disability.
Match
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IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
6
P13
Employed
prior to
participation?
#
Validatable
Values
Revision 14 (November 2020)
003 Not
employed
Negative
Values
001
Employed
002
Employedbut-withnotice-oftermination
Source Documentation Requirements
Instructions
NOTE: Validation of this data element is a two-step process:
(1) validate applicant’s employment status prior to participation; and
(2) validate consistency with program requirements, i.e., that the applicant was unemployed at the
point of enrollment.
Both requirements must be met for a “Pass.”.
Support
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Government records or other official records are acceptable to establish no employment at time of
application, including but not limited to:
Record indicating firm date of separation from military service, unemployment insurance
documents, notice of termination from employer.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail no employment at time of
application.
OR
SIGNED ATTESTATION:
Participant signed self-attestation or signed attestation from a third-party who has knowledge of the
participant’s employment status prior to participation is acceptable to establish no employment at time
of application.
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IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
7
P14
Total
includable
family income
(12-month or 6month
annualized
#
Validatable
Values
Revision 14 (November 2020)
Number with 2
decimal places
between 0.00
and 100000.00
Negative
Values
Source Documentation Requirements
Instructions
NOTE: Validation of this data element is a two-step process:
(1) validate that total includable family income was correctly calculated in accordance with
TEGL12-06, including the verification of
a. which amount (6-month annualized or 12-month) was used,
b. that all appropriate income was included (all sources of income must be documented and
identified as includable or excludable; the amount of includable income must be
documented, the amount of excludable income does not need to be documented), and
c. the accuracy of calculations; and
(2) validate consistency with program requirements which stipulate that in order for a participant to
be eligible, his or her family income must be less than or equal to 125% of the federal poverty limit
for the appropriate family size in effect at the time of the determination.
Both requirements must be met for a “Pass.”
Match
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Validation requires that both:
(1) official documents and business records establish includable income, and
(2) attestation establishes that no other includable income exists.
Government records or other official records that establish the amount of income for the 6-month or
12-month look-back period are acceptable, including but not limited to:
Pay stubs; Social Security Award letters; earning statements from employers; pension statements;
bank statements showing interest.
NOTES:
(1) TEGL 12-06 requires that there be a record or listing of all documents used to establish income
and that this record be signed by the applicant and the interviewer. If the record contains a
statement that the documents listed are the only sources of income for the applicant, the record
satisfies the requirement for certification that the applicant has no other sources of income.
(2) Income tax returns can often be a helpful part of the documentation, but they will rarely be
sufficient in themselves to establish the amount of income for the 6-month or 12-month look-back
period because they cover a complete calendar year. Additional documentation will usually be
required to establish includable income for the entire look-back period.
(3) Participants can obtain Social Security Award letters by contacting their local SSA office, either
in person or by phone, or on the SSA website. Information is available at
https://faq.ssa.gov/link/portal/34011/34019/Article/3705/How-can-I-get-a-benefit-verification-letter.
CONTINUED ON NEXT PAGE
49
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
7
P14
Total
includable
family income
(12-month or 6month
annualized
#
Validatable
Values
Revision 14 (November 2020)
Number with 2
decimal places
between 0.00
and 100000.00
Negative
Values
Source Documentation Requirements
Instructions
Match
CONTINUED FROM PREVIOUS PAGE
OR
DETAILED CASE NOTES: (For Claims of Zero Income Only)
Case notes based on information from a knowledgeable third-party are acceptable to
(1) explain how participant supported self if zero income is claimed, or
(2) document that no other includable income exists.
In addition to the standard requirements for all case notes, those case notes must also:
(1) confirm zero income and/or that no other family income exists,
(2) explain how participant supported self, and
(3) detail how that confirmation was made.
OR
SIGNED ATTESTATION: (For Claims of Zero Income Only)
If zero income is claimed, participant signed self-attestation or signed third-party attestation that
explains how participant supported self is required.
Beyond establishing total includable family income through official documents and business
records, participant signed self-attestation is also required to document that no other includable family
income exists.
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IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
8
P22
Limited
English
Proficiency
Validatable
Values
#
Revision 14 (November 2020)
Y
Negative
Values
N
Source Documentation Requirements
NOTES FOR SCSEP VALIDATORS:
•
Documentation for this element must be dated as of the time of enrollment. If there is
documentation of limited English proficiency as of a later date, it may be used for waiver
purposes but not for validating the priority of service.
•
The field for low literacy skills does not apply to participants who are LEP. If both P22 and
P24 are “Y,” then P24 must be marked as “Fail.”
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official records that establish limited English proficiency are acceptable, including but not limited to:
Results of standardized test results.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also explain:
(1) that the participant has limited English proficiency,
(2) how assessment was made, e.g., participant appeared with an interpreter or directly
communicated to case worker that she does not speak English, and
(3) the date that assessment was made.
OR
SIGNED ATTESTATION:
Participant signed self-attestation or signed third-party attestation.
Instructions
Support
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IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
9
P24
Low literacy
skills?
Validatable
Values
#
Revision 14 (November 2020)
Y
Negative
Values
N
Source Documentation Requirements
NOTES FOR SCSEP VALIDATORS:
•
Documentation for this element must be dated as of the time of enrollment. If there is
documentation of low literary skills as of a later date, it may be used for waiver purposes but
not for validating the priority of service.
•
The field for low literacy skills does not apply to participants who are LEP. If both P22 and
P24 are “Y,” then P24 must be marked as “Fail.”
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official records that establish low literacy skills are acceptable, including but not limited to:
Literacy testing; standardized test results.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also explain:
(1) that the participant has low literacy skills,
(2) how that assessment was made, and
(3) the date that assessment was made.
OR
SIGNED ATTESTATION:
Participant signed self-attestation or signed third-party attestation
Instructions
Support
52
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
10
P25
Veteran (or
eligible spouse
of veteran)?
#
Validatable
Values
Revision 14 (November 2020)
a Veteran
b Eligible
spouse of
veteran
Negative
Values
c Noncovered
person
Source Documentation Requirements
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official government document that verifies veteran status, such as:
Military discharge papers; DD-214; cross-match with Veteran’s Database.
Veterans who do not have a DD-214 can provide a copy of military identification or other formal
documentation provided by the Department of Veterans Affairs.
OR
DETAILED CASE NOTES:
For veterans discharged prior to 1950, case notes are acceptable in all cases.
For more recent veterans, if official documentation cannot be attained, other evidence of military
service along with self-attestation may be accepted.
In addition to the standard requirements for all case notes, must detail
(1) the veteran status of the participant, including the branch served in and the approximate dates
of service, and
(2) how that determination was made.
OR
SIGNED ATTESTATION:
For veterans discharged prior to 1950, participant signed self-attestation is acceptable in all cases.
For more recent veterans, if official documentation cannot be attained, other evidence of military
service along with self-attestation may be accepted.
Instructions
Support
53
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
11
P26
Disability?
#
Validatable
Values
Revision 14 (November 2020)
Y DOC
Negative
Values
Y SELF
N DNVR
Source Documentation Requirements
Instructions
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Documentation should be an official government record or other official record that indicates that
(1) a medical professional made a determination of disability and
(2) describe how the determination of disability meets the SCSEP regulatory definition as
explained in the DC Handbook, including but not limited to:
Receipt of Social Security Disability Insurance (SSDI), other Social Security Administration
records; school records; sheltered workshop certification; social service records or referrals;
community-based aging and disability organizations; social service agency record or referral;
independent Living Center statement; letter from Group Home administrator.
Note: Not all official documents will suffice to establish disability. For example, a state disabled parking
placard and registration are an official document, but they do not establish disability for SCSEP
purposes unless the state employs the SCSEP definition and standard of disability.
Support
Alternatively, certification from a medical professional or medical records that establish specific facts
that meet the regulatory definition as explained in the DC Handbook are acceptable, including but not
limited to:
Letter from Drug or Alcohol rehabilitation agency; medical records; physician’s statement;
psychologist’s diagnosis; rehabilitation evaluation; disability records; Veteran’s medical records;
vocational rehabilitation letter; worker’s compensation record.
The letters following a Social Security or Medicare number that appear on a recent check stub or letter
may be acceptable for participants under age 65. However, benefit determination letters should always
be obtained in questionable cases. Participants can obtain Social Security Award letters by contacting
their local SSA office, either in person or by phone, or on the SSA website. Information is available at
https://faq.ssa.gov/link/portal/34011/34019/Article/3705/How-can-I-get-a-benefit-verification-letter.
54
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
12
P27
At risk of
homelessness?
Validatable
Values
#
Revision 14 (November 2020)
Y
Negative
Values
N
Source Documentation Requirements
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Records that establish the participant is “at risk” for homelessness, including but not limited to:
Eviction notice, letter from official at homeless shelter.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail that the participant meets
the definition of “at risk” for homelessness.
For example, rent/mortgage unpaid or overdue; often borrows to pay rent/mortgage; real estate taxes
unpaid or overdue; temporarily sharing space with family or friend; involuntarily moved several times
in last year; credit history or background disqualifies from most rental/lease agreements; cannot pay
rent/mortgage most months; frequently has unpaid or overdue electric/gas/water bills; evicted from a
residence in the last 12 months; lived in a shelter during the past 12 months.
OR
SIGNED ATTESTATION:
Participant signed self-attestation.
Or, signed attestation from a third-party who has knowledge of the participant’s living situation.
Instructions
Support
55
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
13
P29
Failed to find
employment
after using
WIOA Title I?
Validatable
Values
#
Revision 14 (November 2020)
Y
Negative
Values
N
Source Documentation Requirements
NOTES:
(1) Participants receiving only core services may be included or excluded based on enrollment
rules of WIOA program in your area. It is essential that the one-stop office confirm whether the
participant was officially enrolled in WIOA.
(2) Validation of this data element is a two-step process:
(a) validate with the WIOA provider that the participant was enrolled in WIOA Title I (adult
services), and
(b) validate that the participant was not employed subsequent to the WIOA enrollment.
Unless there is documentation of enrollment in WIOA, the element must be marked FAIL.
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
To establish WIOA Title I enrollment, official government records are acceptable, such as:
WIOA correspondence with participant, written crosscheck request, or other program related
document.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, to establish WIOA Title I enrollment,
case notes must also detail:
(1) that a crosscheck against WIOA enrollment data was made, and
(2) how it was made (e.g., phone call).
OR
SIGNED ATTESTATION:
To establish no employment at time of application, participant signed self-attestation is
acceptable.
NOTE: WIOA enrollment cannot be confirmed by self-attestation. It must be documented by an
official document or case notes.
Instructions
Support
56
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
14
P30
Low
employment
prospects?
Validatable
Values
#
Revision 14 (November 2020)
Y
Negative
Values
N
Source Documentation Requirements
NOTE FOR SCSEP VALIDATORS:
The following barriers may already have been successfully validated (i.e. PASS):
P8 – Homeless,
P22 – Limited English proficiency,
P24 – Low literacy skills?
P26 – Disability?
If any were successfully validated, the validator would be able to automatically check PASS for this
data element IF the case file establishes that one of these barriers was relied on to establish low
employment prospects.
For all other barriers that are relied upon for this element, any of the following sources may be used.
Regardless of the source used, the documentation must explain how the barrier results in the
participant having low employment prospects. Not all possible barriers will meet this standard. At risk
of homelessness by itself does not meet the definition of the kinds of barriers that count for this factor.
However, the underlying facts may support another barrier.
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official government records, medical records, or other official records that establish one of more
significant barrier to employment exist, including but not limited to:
Receipt of Social Security Disability Insurance (SSDI), other Social Security Administration
records, school records, sheltered workshop certification, social service records or referrals; Letter
from director of shelter or institution providing temporary living accommodations, results of literacy
testing, standardized test results; certification from a medical professional or actual medical
records.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail:
(1) participant has one or more significant barrier to employment;
(2) how the determination was made that the condition described in the official case notes or
attestation form contributes to low employment ,
(3) the source of the information,
(4) the contact at the source, and
(5) the date that information was obtained.
OR
SIGNED ATTESTATION:
Participant self-attestation that establishes one or more significant barrier to employment exists is
acceptable, except for disability, severe disability and frail, which require a higher level of
documentation. Information on the attestation form should include identification of the situation
itself and specific information which explains why the attester’s situation can be considered a
significant employment barrier.
Instructions
Support
57
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
15
P33
Date of signing
#
Revision 14 (November 2020)
16
P43
Date of
eligibility
determination
Validatable
Values
Negative
Values
Source Documentation Requirements
Date Format
MM/DD/YYYY
>= 1/1/1973
NOTE: Validation of this data element is a two-step process:
(1) confirmation of the presence of the participant’s signature in field P32, and
(2) matching the date in field P33 with the date entered in SPARQ.
Both requirements must be met for a “Pass.”
Date Format
MM/DD/YYYY
>= 1/1/1973
CONFIRMATION OF SIGNATURE OR DATE:
Confirm date that applicant signed and presence of signature on eligibility determination.
NOTE: Validation of this data element is a two-step process:
(1) confirmation of the presence of the signature of an authorized project official in field P42, and
(2) matching the date in field P43 with the date entered in SPARQ.
Both requirements must be met for a “Pass.”
Instructions
Match
Match
CONFIRMATION OF SIGNATURE OR DATE:
Confirm date that director or authorized representative signed and presence of signature on
participant form.
17 A15b.1
Reason for
approved
break in
participation
i Family/
health
ii Personal
iii Administrative
iv Other
NOTE: The validator should be provided with a list of project officials who are authorized to make final
eligibility determinations.
NOTE: Validation of this data element is a three-step process:
(1) verification of the existence of a written grantee policy regarding breaks in participation.
Without evidence of such a policy, no break in participation will pass validation.
Once the existence of a policy regarding breaks in participation is verified, validation of this data
element requires two additional steps:
(2) valid entry for A 15 (start date) and A15c (end date) if applicable, and
(3) confirmation that the reason entered is within the policy of the grantee concerning breaks in
participation.
All three requirements must be met for a “Pass.”
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official grantee or sub-grantee records that establish the reason for the break in participation and that
the break was authorized pursuant to the grantee’s written policy.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail:
(1) the reason for the break in participation,
(2) the start date and (if applicable) end date of the break in participation, and
(3) that the break was authorized pursuant to the grantee’s written policy.
Support
58
IV. SCSEP DATA VALIDATION INSTRUCTION
Form
Field Name
Number
18 A19.1 Total hours
paid in Q1
#
Revision 14 (November 2020)
19
A19.2
Total hours
paid in Q2
20
A19.3
Total hours
paid in Q3
21
A19.4
Total hours
paid in Q4
22
A21.1
23
A21.2
24
A21.3
25
A21.4
Total hours of
paid training
received in Q1
Total hours of
paid training
received in Q2
Total hours of
paid training
received in Q3
Total hours of
paid training
received in Q4
Validatable
Values
Integer
between 1
and 560
Integer
between 1
and 560
Integer
between
1and 560
Integer
between 1
and 560
Integer
between 1
and 560
Integer
between 1
and 560
Integer
between 1
and 560
Integer
between 1
and 560
Negative
Values
0
0
0
0
0
0
0
0
Source Documentation Requirements
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official grantee, sub-grantee, or host-agency records that establish hours paid during the quarter, either
payroll records or time records showing quarterly hours, as long as grantee uses the same method
consistently for all participants in all quarters. If you use the payroll method, you must include all paychecks
issued during the quarter even if they cover some hours worked in the prior quarter or exclude some hours
worked in the current quarter.
NOTES:
(1) Grantees are required to validate one, and only one, assignment per enrollment. If there is more than
one assignment, the fields being validated apply to the assignment with the earliest assignment date.
The hours to be validated must match the documented number of hours for that assignment.
(2) The total hours paid in the quarter must equal the number of paid community service hours plus paid
training hours in the quarter (field 21). Training hours are a subset of total hours
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official grantee, sub-grantee, or host-agency records or other official records that establish the number of
hours of paid training during the quarter, including but not limited to:
Payroll or time records showing quarterly hours; records from training provider; reports and print-outs
from web-based tools
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail:
(1) the number of hours of paid training,
(2) when the training was provided, and
(3) who provided the training
Instructions
Match
Match
Match
Match
Match
Match
Match
Match
59
IV. SCSEP DATA VALIDATION INSTRUCTION
TABLE IV.2
Revision 14 (November 2020)
PERFORMANCE SAMPLE VALIDATION INSTRUCTIONS
#
1
Form
Number
P40c
Field Name
Date of last IEP
Validatable
Values
Date Format
MM/DD/YYYY
>= 1/1/1973
Negative
Values
Source Documentation Requirements
NOTE: Validation of this data element is a three-step process:
(1) verification of the existence and date of the most recent IEP that had been completed at the
time the DV sample was drawn;
(2) verification of the existence and date of the assessment on which the IEP is based; and
(3) confirmation that the content of the assessment and IEP meet the grantee’s standards.
All three requirements must be met for a “Pass.”
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official grantee or sub-grantee records that establish the existence of the assessment and last IEP
and the dates on which they were conducted.
Instructions
Support
60
IV. SCSEP DATA VALIDATION INSTRUCTION
#
2
Form
Number
P44
Field Name
Revision 14 (November 2020)
Recert: Number
in family
Validatable
Values
Integer > 0
Negative
Values
Source Documentation Requirements
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
To establish the number in family at the time of recertification, official government records or
other official records are acceptable, including but not limited to:
A HUD form, or a lease.
To establish a family-of-one is due to disability, official government or other official records are
acceptable, including but not limited to:
Receipt of Social Security Disability Insurance (SSDI), other Social Security Administration
records; school records; sheltered workshop certification; social service records or referrals.
Alternatively, certification from a medical professional or medical records that establish specific facts
that meet the regulatory definition as explained in the DC Handbook are acceptable, including but not
limited to:
Letter from Drug or Alcohol rehabilitation agency; medical records; physician’s statement;
psychologist’s diagnosis; rehabilitation evaluation; disability records; Veteran’s medical records;
vocational rehabilitation letter; worker’s compensation record.
NOTES:
(1) TEGL 12-06 requires that the record of documents must be jointly signed by participant and
grantee interviewer.
(2) A 'Disability Identification Card' issued by the State is not acceptable unless there is
documentation that the medical standards used to issue the card meet the regulatory definition as
explained in the DC Handbook.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, to establish the number in family at the
time of application, case notes must also detail:
(1) the number in family as defined by TEGL 12-06, and
(2) the rationale for accepting information without a signature.
NOTE: Case notes are not acceptable for establishing family-of-one is due to disability.
OR
SIGNED ATTESTATION:
To establish the number in family at the time of recertification, signed attestation from a thirdparty who has knowledge of the number in family and reflects the living situation at time of
recertification.
NOTE: Participant self-attestation is prohibited.
Instructions
Match
61
IV. SCSEP DATA VALIDATION INSTRUCTION
#
3
Form
Number
P45
Field Name
Revision 14 (November 2020)
Recert: Total
includable family
income (12month or 6month
annualized)
Validatable
Values
Number with 2
decimal
places
between 0.00
and
100000.00
Negative
Values
Source Documentation Requirements
Instructions
Validation of this data element is a two-step process:
Match
(1) validate that total includable family income was correctly calculated in accordance with
TEGL12-06, including verification of
a. which amount (6-month annualized or 12-month) was used,
b. that all appropriate income was included (all sources of income must be documented
and identified as includable or excludable; the amount of includable income must be
documented, the amount of excludable income does not need to be documented),
and
c. the accuracy of calculations; and
(2) validate consistency with program requirements which stipulate that in order for a participant to
be eligible, his or her family income must be less than or equal to 125% of the federal poverty limit
for the appropriate family size in effect at the time of the determination.
Both requirements must be met for a “Pass.”
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Validation requires that both:
(1) official documents and business records establish includable income, and
(2) signed attestation establishes that no other includable income exists.
Government records or other official records that establish the amount of income for the 6-month or
12-month look-back period are acceptable, including but not limited to:
Pay stubs; Social Security Award letters; earning statements from employers; pension statements;
bank statements showing interest.
NOTES:
(1) TEGL 12-06 requires that there be a record or listing of all documents used to establish income
and that this record be signed by the applicant and the interviewer. If the record contains a
statement that the documents listed are the only sources of income for the applicant, the record
satisfies the requirement for certification that the applicant has no other sources of income.
(2) Income tax returns can often be a helpful part of the documentation, but they will rarely be
sufficient in themselves to establish the amount of income for the 6-month or 12-month look-back
period because they cover a complete calendar year. Additional documentation will usually be
required to establish includable income for the entire look-back period.
(3) Participants can obtain Social Security Award letters by contacting their local SSA office, either
in person or by phone, or on the SSA website. Information is available at
https://faq.ssa.gov/link/portal/34011/34019/Article/3705/How-can-I-get-a-benefit-verification-letter.
CONTINUED ON NEXT PAGE
62
IV. SCSEP DATA VALIDATION INSTRUCTION
#
3
Form
Number
P45
Field Name
Revision 14 (November 2020)
Recert: Total
includable family
income (12month or 6month
annualized)
Validatable
Values
Number with 2
decimal
places
between 0.00
and
100000.00
Negative
Values
Source Documentation Requirements
Instructions
Match
CONTINUED FROM PREVIOUS PAGE
OR
DETAILED CASE NOTES: (For Claims of Zero Income Only)
Case notes based on information from a knowledgeable third-party are acceptable to
(1) explain how participant supported self if zero income is claimed or
(2) to document that no other includable income exists.
In addition to the standard requirements for all case notes, must also:
(1) contain confirmation of zero income and/or that no other family income exists,
(2) explain how participant supported self, and
(3) how that confirmation was made.
OR
SIGNED ATTESTATION: (For Claims of Zero Income Only)
If zero income is claimed, participant signed self-attestation or signed third-party attestation that explains how
participant supported self is required.
Beyond establishing total includable family income through official documents and business records,
participant signed self-attestation is also required to document that no other includable family income exists.
63
IV. SCSEP DATA VALIDATION INSTRUCTION
4
Form
Number
P46
5
P50
#
Validatable
Values
Field Name
Revision 14 (November 2020)
Recert:
Signature of
participant
Recert:
Date of
recertification
determination
Y
Date Format
MM/DD/YYYY
>= 1/1/1973
Negative
Values
N
Source Documentation Requirements
Instructions
CONFIRMATION OF SIGNATURE OR DATE:
Confirm participant signature.
Support
NOTE: Validation of this data element is a two-step process:
(1) confirmation of the presence of the signature of an authorized project official in field P49, and
(2) matching the date in field P50 with the date entered in SPARQ.
Both requirements must be met for a “Pass.”
Match
CONFIRMATION OF SIGNATURE OR DATE:
Confirm date that director or authorized representative signed and presence of signature on eligibility
determination.
Note: The validator should be provided with a list of project officials who are authorized to make final
eligibility determinations.
64
IV. SCSEP DATA VALIDATION INSTRUCTION
#
6
Form
Number
P51
Field Name
Revision 14 (November 2020)
Severe Disability? Y
Validatable
Values
Negative
Values
N
Source Documentation Requirements
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
When a medical certification or statement is used as support, related documentation should be
an official government record or other official record that
(1) indicates that a medical professional made a determination of disability and
(2) describes how the disability meets the regulatory definition as explained in the DC Handbook,
including but is not limited to:
medical records; certification from a medical professional; physician’s statement;
psychologist’s diagnosis; rehabilitation evaluation; disability records; Veteran’s medical
records; vocational rehabilitation letter; worker’s compensation record.
When a specific medical certification or statement is not used as support, official government or
other official records may still be used as long as they establish how the disability meets the
regulatory definition as explained in the DC Handbook, including but not limited to:
Social Security Administration records; school records; sheltered workshop certification; social
service records or referrals; community-based aging and disability organizations; social service;
agency record or referral; Independent Living Center statement; letter from group home
administrator; referral from Vocational Rehabilitation
NOTES:
(1) Medical professional certifications or statements must not merely conclude that a severe
disability exists. Rather, they must clearly establish specific facts that meet the regulatory
definition as explained in the DC Handbook.
(2) Receipt of SSDI is NOT sufficient to document severe disability.
SPECIFIC WAIVER FACTOR ELEMENT INFORMATION
Waiver factor elements (P51, P52, P53 and P54) should be marked “Pass” in the Data Validation
worksheets in SPARQ only if the reported value for the element has been updated in the program year
for which the performance sample was drawn. The Validation screens will display the date that each of
the waiver factor elements was last updated. Validators should mark the element as “Pass” only if :
•
the date supported by the documentation corresponds to a date on or before the date entered
into SPARQ, and
•
the date is during the program year in which the waiver factor is claimed.
The waiver factor displayed is the factor from the program year in which the participant exited. The
documentation MUST relate to the waiver factor for that program year. Documentation from a prior
program year is not sufficient.
Instructions
Support
65
IV. SCSEP DATA VALIDATION INSTRUCTION
#
7
Form
Number
P52
Validatable
Values
Field Name
Frail?
Revision 14 (November 2020)
Y
Negative
Values
N
Source Documentation Requirements
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
When a qualified medical or professional certification or statement is used as support, related
documentation should be an official government or other official record that
(1) indicates that a qualified professional made a determination of frailty and
(2) describes how the disability meets the regulatory definition as explained in the DC Handbook,
including but is not limited to:
medical records; certification from a qualified professional; physician’s statement;
psychologist’s diagnosis; rehabilitation evaluation; disability records; Veteran’s medical
records; vocational rehabilitation letter; worker’s compensation record.
When a specific professional certification or statement is not used as support, official
government or other official records may still be used as long as they establish how the frailty meets
the regulatory definition as explained in the DC Handbook, including but not limited to:
Social Security Administration records; school records; sheltered workshop certification; social
service records; document from a rehabilitation agency/organization to include a recent
evaluation; social service agency record or referral; community-based aging and disability
organizations; Independent Living Center statement; letter from group home administrator.
NOTE: Receipt of SSDI is NOT sufficient to document frailty.
SPECIFIC WAIVER FACTOR ELEMENT INFORMATION
Waiver factor elements (P51, P52, P53 and P54) should be marked “Pass” in the Data Validation
worksheets in SPARQ only if the reported value for the element has been updated in the program year
for which the performance sample was drawn. The Validation screens will display the date that each of
the waiver factor elements was last updated. Validators should mark the element as “Pass” only if :
•
the date supported by the documentation corresponds to a date on or before the date entered
into SPARQ, and
•
the date is during the program year in which the waiver factor is claimed.
The waiver factor displayed is the factor from the program year in which the participant exited. The
documentation MUST relate to the waiver factor for that program year. Documentation from a prior
program year is not sufficient.
Instructions
Support
66
IV. SCSEP DATA VALIDATION INSTRUCTION
#
8
Form
Number
P53
Validatable
Values
Field Name
Revision 14 (November 2020)
Old enough for
but not receiving
SS Title II?
(Insufficient wage
credits to qualify).
Y
Negative
Values
N
Source Documentation Requirements
Instructions
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Support
Official government document that establishes that the participant has not worked in the U.S. for 40
quarters, including but not limited to:
Social Security Administration documents (e.g. Social Security Statement) or immigration records
that show that participant has not been in the U.S. for 40 quarters. If immigration records are used,
the relevance to this element must be established.
SPECIFIC WAIVER FACTOR ELEMENT INFORMATION
Waiver factor elements (P51, P52, P53 and P54) should be marked “Pass” in the Data Validation
worksheets in SPARQ only if the reported value for the element has been updated in the program year
for which the performance sample was drawn. The Validation screens will display the date that each of
the waiver factor elements was last updated. Validators should mark the element as “Pass” only if :
•
the date supported by the documentation corresponds to a date on or before the date entered
into SPARQ, and
•
the date is during the program year in which the waiver factor is claimed.
The waiver factor displayed is the factor from the program year in which the participant exited. The
documentation MUST relate to the waiver factor for that program year. Documentation from a prior
program year is not sufficient.
67
IV. SCSEP DATA VALIDATION INSTRUCTION
#
9
Form
Number
P54
Validatable
Values
Field Name
Revision 14 (November 2020)
Severely limited
employment
prospects in area
of persistent
unemployment?
Y
Negative
Values
N
Source Documentation Requirements
NOTE: Validation of this data element is a two-step process:
(1) validate severely limited employment prospects;
(2) validate area of persistent employment.
Both requirements must be met for a “Pass.”
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
To establish that more than one significant barrier to employment exists, official government
document, certification from a medical professional, actual medical record, or other official record is
acceptable.
NOTE: P8, Homeless, P22, Limited English proficiency, P24, Low literacy skills?, and P26, Disability?
are barriers which count towards this element if they can be successfully validated. Validators should
refer to the documentation requirements for these elements. At risk of homelessness by itself does
not meet the definition of the kinds of barriers that count for this factor. However, the underlying facts
may support another barrier.
To establish area of persistent unemployment, check county lookup table in SPARQ. If city is
used rather than county, documentation from authoritative source, such as the state Labor Market
Information office, must establish that the city had an unemployment rate at least 20% higher than the
national average for 2 of the last three years.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes,
•
to establish that more than one significant barrier to employment exists, case notes
must also detail:
o description of each of the significant barriers claimed, and
o how it was determined that those barriers exist.
•
to establish area of persistent unemployment, case notes must explain how the area of
persistent unemployment was determined.
OR
SIGNED ATTESTATION (for the validation of severely limited employment prospects only):
Participant signed self-attestation that establishes more than one barrier to employment exists, except
for disability, severe disability and frail, which require a higher level of documentation.
CONTINUED ON NEXT PAGE
Instructions
Support
68
IV. SCSEP DATA VALIDATION INSTRUCTION
#
9
Form
Number
P54
Validatable
Values
Field Name
Revision 14 (November 2020)
Severely limited
employment
prospects in area
of persistent
unemployment?
Y
Negative
Values
N
Source Documentation Requirements
Instructions
CONTINUED FROM PREVIOUS PAGE
SPECIFIC WAIVER FACTOR ELEMENT INFORMATION
The tables for persistent unemployment are updated in April of each year. For each program year for
which a sample is drawn, there will be two valid tables in existence: one for July 1-December 31, and
one for January 1-June 30. This part of persistent unemployment can be validated if either table
documents that the participant lived in an area of persistent unemployment at any time during the
program year at issue.
10
A20.c
Types of training
received OJE
Y
Waiver factor elements (P51, P52, P53 and P54) should be marked “Pass” in the Data Validation
worksheets in SPARQ only if the reported value for the element has been updated in the program year
for which the performance sample was drawn. The Validation screens will display the date that each of
the waiver factor elements was last updated. Validators should mark the element as “Pass” only if :
•
the date supported by the documentation corresponds to a date on or before the date entered
into SPARQ, and
•
the date is during the program year in which the waiver factor is claimed.
The waiver factor displayed is the factor from the program year in which the participant exited. The
documentation MUST relate to the waiver factor for that program year. Documentation from a prior
program year is not sufficient.
NOTE: Validation of this data element is a three-step process:
(1) verification that the grantee has approval for OJEs in its grant (see OWB 04-04 for the detailed
requirements for this type of specialized training);
(2) verification there is a signed contract with the employer/training provider; and
(3) verification that the employer/training provider is not a host agency
All three requirements must be met for a “Pass.”
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official grantee or sub-grantee records that establish the approval for OJEs and the existence of a
signed contract.
Support
69
IV. SCSEP DATA VALIDATION INSTRUCTION
#
11
Form
Number
E6b
Revision 14 (November 2020)
Field Name
Validatable
Values
Date of
termination letter
Date Format
MM/DD/YYYY
Negative
Values
Source Documentation Requirements
NOTE: Validation of this data element is a four-step process:
(1) verification that there is a signed termination letter in all cases involving involuntary exit;
and
(2) verification of the date of issuance of the letter; and
(3) verification that the date of termination listed in the letter is at least 30 days before the
date of exit in SPARQ; and,
(4) verification that there is not a signed termination letter in any cases not involving an
involuntary exit (except if the exit reason changed after the issuance of the letter, in which
case there should be documentation to explain the inconsistency between the exit reason
and the issuance of the termination letter).
Instructions
Support
All four requirements must be met for a “Pass.”
12
E7
Date of exit or
other closing
of record
Date Format
MM/DD/YYYY
>= 7/1/2004
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official sub-grantee records that establish the existence and date of a proper termination letter.
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Sub-grantee records, including payroll records. If participant has signed Exit waiver of confidentiality,
confirm signature on the Exit Form where the date of signing is on or within three days of the date
listed for this data element.
Match
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail the date of exit.
For example, a dated exit interview documented either by a dated form or by a detailed case note is
acceptable.
Support
70
#
13
Revision 14 (November 2020)
Form
Validatable
Field Name
Number
Values
U8
Did employer Y
provide an
OJE training
site for this
participant?
14
U32c
(revised)
15
U33c
(revised)
16
U34c
(revised)
SCSEP Requirements
DATA VALIDATION
SourceIV.
Documentation
Negative
Values
For PY18vi Yes
i No wages
any wages for supplemental
second
vii Unable
quarter after viii Excluded
exit quarter?
PY18
earnings for
second
quarter after
exit quarter.
PY18-any
wages for
fourth quarter
after exit
quarter?
INSTRUCTION
Instructions
NOTE: Validation of this data element is a four-step process:
(1) verification that the grantee has approval for OJEs in its grant;
(2) verification that there is a signed contract with the employer/training provider;
(3) verification that the employer/training provider is not a host agency; and
(4) verification that the employer is the same organization as the employer/training provider.
All four requirements must be met for a “Pass.”
Support
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official grantee or sub-grantee records that establish the approval for OJEs and the existence of
a signed contract.
FOR EXITS BEFORE 1/1/2018: IF FIELD U32C IS POPULATED, THE ELEMENT SHOULD Support
BE FAILED.
FOR EXITS BEFORE 7/1/2017: IF FIELDS U34C IS POPULATED, THE ELEMENT SHOULD
BE FAILED.
OFFICIAL DOCUMENTS OR BUSINESS RECORDS:
Official records that establish that any wages were earned by the participant, including but not limited to:
Written statement of earnings from employer; or pay stubs.
OR
DETAILED CASE NOTES:
In addition to the standard requirements for all case notes, must also detail wages were earned in quarter:
NOTE: Given that follow-ups are an integral part of case management, the documented observations by
the case manager of the participant at work would be sufficient to show that wages were received by the
participant in the applicable quarter. Also, a call to the employer documented by a detailed case note is
acceptable.
OR
SIGNED ATTESTATION:
If employer has not provided information on wages after reasonable efforts (e.g. 3 unanswered calls or
messages) were made by sub-grantee to obtain this information, participant signed self-attestation or
third-party attestation will be acceptable.
NOTE: If participant signed self-attestation or third-party attestation is used, case notes must also
document the sub-grantee’s efforts to obtain the required information from the employer.
To establish an exclusion for deceased, signed attestation from a knowledgeable third-party is
acceptable.
To establish an exclusion for health/medical, family care, or institutionalized, a participant signed
self-attestation or signed attestation from a knowledgeable third-party is acceptable.
NOTE: Please see the participant signed self-attestation and third-party signed attestation forms in the
Appendix for specific examples of the language required as source documentation
71
GLOSSARY
GLOSSARY
Case File Missing: A record’s case file cannot be located.
Data Validation (DV): The SCSEP DV initiative requires that all grantees validate the
information that is used to establish participant eligibility and measure grantee performance. DV
confirms the accuracy of key data elements in SPARQ used to establish eligibility and to calculate
the SCSEP QPRs by examining a sample of participants’ records. The DV process selects two
separate samples (eligibility and performance) of participant records. When a record is selected
for validation, validators compare specified data elements in SPARQ to source documentation
(case files) for that participant. DV results in an estimate of the error rate for each data element
selected for validation. By having all SCSEP grantees perform a standardized DV methodology,
DOL is able to monitor sub-grantee and local area data collection, reporting, and performance, and
to support the quality of the information used to assess the effectiveness of the SCSEP program.
The DV webpage is accessed through SPARQ www.sparq.doleta.gov.
Eligibility Sample: The eligibility sample is a simple random sample and validates those data
elements used to demonstrate program eligibility and most in need barriers for a sample of
participants who enrolled in SCSEP during the program year being validated.
Government Performance and Results Act (GPRA): Established in 1993, this Act holds federal
agencies accountable for using resources wisely and achieving program results. GPRA requires
agencies to develop plans for what they intend to accomplish, measure how well they are doing,
make appropriate decisions based on the information they have gathered, and communicate
information about their performance to Congress and to the public. One goal of SCSEP DV is to
ensure that critical eligibility and performance data used to meet DOL ETA’s GPRA
responsibilities and the grantees’ Congressionally-mandated performance goals are reasonably
accurate by calculating an error rate for each data element validated.
Grantee Administrator: Grantee administrators are responsible for assigning the validator role
to one or more grantee staff or other personnel not involved in the collection or entry of participant
data or the determination of eligibility. They are also responsible for assuring that validators have
the resources needed to complete the validation as required by DOL and for keeping the validation
effort on schedule. Grantee administrators themselves have access to the DV utilities in SPARQ.
Invalid Record: A particular participant’s record is included in a grantee’s sample in error. These
records are excluded from all Error Rate calculations on the Summary and Analytical report.
Negative Value: Negative values are those values for a particular data element that are not
validated. When that negative value is present for the relevant data element, the applicable row on
the worksheet is grayed out and the validator will not be able to click on a radio button. In general,
validating negative values would be difficult, if not impossible, because the validator would be
searching the case file to confirm that something was not present or an event did not occur.
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72
GLOSSARY
Overall Error Rate: The Overall Error Rate is the total number of records in which that data
element is in error divided by the total number of records sampled that are not Invalid. A data
element can be “in error” in one of two ways: it is marked as “Fail,” or it could be validated but is
not validated. This measure reflects how well that data element has done relative to the entire
sample. Because elements that are not validated are treated as if they were marked as “Fail,” this
error rate starts at 100 percent and decreases each time the element passes. In certain circumstances
the overall error rate may be less than 100 percent due to invalid records calculations.
Performance Sample: The performance sample is a stratified sample and validates only those
data elements used in performance calculations for a sample of participants whose final
performance was included in the QPR for the program year being validated. The stratified nature
of the performance sample is similar to a simple random sample, except that each record is
assigned a weight and records are selected based upon their weight.
Quarterly Performance Reports (QPRs): QPRs are generated to monitor SCSEP program
progress. They are generated at the sub-grantee, grantee, and nationwide levels, based on the data
submitted by SCSEP grantees and their sub-grantees on their SCSEP program participants.
Recovery Act Grant: The grant which is funded by the American Recovery and Reinvestment
Act of 2009.
Regular Grant: The grant which is funded with money from ETA’s regular annual budget.
Reported Error Rate: The Reported Error Rate is the total number of records in which that data
element is in error divided by the total number of records in which that data element can be
validated. A data element can be “in error” in one of two ways: it is marked as “Fail,” or it could
be validated but is not validated. This measure reflects how well that data element has done but
takes into account the fact that values may not be present for every data element in each record
sampled. This error rate starts at 100 percent for those elements that are validatable in every record
sampled and decreases each time the element passes.
Running Error Rate: The Running Error Rate is the total number of records in which that
particular data element has been marked as “Fail” divided by the total number of records in which
that data element has been validated. This measure reflects how well that data element has done
relative to how many times it has been validated. This error rate starts at 0 percent and increases
only when an element fails.
SCSEP Performance And Results QPR (SPARQ) System: SPARQ is the national repository of
SCSEP data. It is used as a case management system by SCSEP grantees and sub-grantees. It
produces quarterly progress reports used by DOL, grantees and sub-grantees.
Senior Community Service Employment Program (SCSEP): SCSEP is a part-time community
service and employment training program for low-income individuals aged 55 and over. Overseen
by the U.S. Department of Labor (DOL)’s Employment and Training Administration (ETA),
Division of Adult Services (DAS), the SCSEP program is run by grantees and their sub-grantees.
It is authorized under Title V of the Older Americans Act of 1965, as amended.
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73
GLOSSARY
Source Document/Documentation: When a record is selected for validation, validators compare
specified data elements in SPARQ to source documentation (case files) for that participant to
verify compliance with federal definitions and data collection requirements. Using the source
documentation to make the decision, validators determine if the information contained in the case
file meets the specifications for the reported value. If the value for the data element
supports/matches the source documents included in participant’s file, then validators select “Pass;”
if the source documents do not support/match the data element, then validators select “Fail.”
Summary and Analytical Report: The Summary and Analytical report is a report generated in
the DV process that shows the number of errors and the error rates for each data element validated.
This report is used by grantee and ETA staff to analyze the accuracy of the data elements submitted
to SPARQ.
Validator: Validators are the people who actually conduct the DV once the random samples have
been selected. Validators must be grantee staff or other personnel who are independent of the data
collection process. Users with a validator role and no other role will only have access to the DV
utilities and My User Info in SPARQ. Local project staff and sub-grantees cannot be validators.
Revision 14 (November 2020)
74
APPENDIX
ATTESTATION FORMS
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75
SCSEP DATA VALIDATION
SELF-ATTESTATION SIGNATURE FORMS
Instructions for SCSEP program personnel
The forms below may be used by SCSEP personnel to allow applicants or participants to attest to
information related to data elements that are validated by the SCSEP program. There is a separate form
for each of the 14 data elements that accept signed self-attestation as a form of source documentation.
This enables SCSEP personnel to print out only the form(s) that are needed in a given situation.
NOTE 1: These forms are not meant to replace the Data Collection Handbook or the Data
Validation Handbook. SCSEP personnel must refer to those sources for complete rules on the
information needed to establish each element and the allowable documentation.
NOTE 2: SCSEP personnel should be aware that participants who are able to present official
source documents that contain all of the information needed to validate any of the data elements
listed below have no need to use the relevant attestation form for that element. Official source
documents, if they contain the required elements, are, by themselves, sufficient to validate any
individual piece of information below.
Similarly, case notes and third-party attestation may be used to validate the information for certain
elements. Please refer to the DV handbook for exact instructions on when these other types of
validation are acceptable.
NOTE 3: The following data elements accept self-attestation in whole or in part:
P8 – Homeless
P13 – Employed prior to participation?
P14 – Total Includable Family Income (12 Month or 6 Month Annualized) (for claims of zero
income only)
P22 – Limited English proficiency?
P24 – Low literacy skills?
P25 – Veteran (or eligible spouse of veteran)? (for veterans discharged prior to 1950)
P27 – At risk of homelessness
P29 – Failed to find employment after using WIOA Title I? (to establish no employment at
time of application only)
P30 – Low employment prospects?
P45 – Recertification: Total includable family income (12 months or 6 months annualized)
P54 – Severely limited employment prospects in area of persistent unemployment? (for the
validation of severely limited employment prospects only)
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76
NOTE 4: For the following data element, case workers must also confirm that the participant
was actually enrolled in WIOA prior to being enrolled in SCSEP
P29 – Failed to find employment after using WIOA Title I?
NOTE 5: The following data elements require a case note explaining why the condition to which
the applicant has attested makes it unlikely that the applicant will fail to find employment without
the help of SCSEP or some other employment and training program.
P30 – Low employment prospects?
P54 – Severely limited employment prospects in area of persistent unemployment?
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77
REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P8
Homeless
On this date, I, __________________________________________ (Name of Applicant), certify that I
am homeless, that is:
1. I lack a fixed, regular, and adequate nighttime residence; or
2. I have a primary nighttime residence that is:
_____ a supervised, publicly or privately operated shelter designed to provide temporary
living accommodations (including welfare hotels, congregate shelters, and transitional
housing for the mentally ill);
______________________________________________________ (Name of Shelter)
_____ an institution that provides a temporary residence for individuals intended to be
institutionalized; or
______________________________________________________ (Name of Institution)
_____ another public or private place not designed for, or ordinarily used as, a regular sleeping
accommodation for human beings.
_______________________________________________________ (Specify Place)
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P13
Employed prior to participation?
On this date, I, __________________________________________ (Name of Applicant), certify that I am
not employed, that is:
3. I do not do any work at all as a paid employee; and
4. I do not do any work at all in my own business, profession, or farm; and
5. I do not work 15 hours or more as an unpaid worker in an enterprise operated by a member of
my family; and
6. I do not have a job or business from which I was temporarily absent because of illness, bad
weather, vacation, labor-management dispute, or personal reasons.
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P14
Total includable family income (12 months or 6 months annualized)
On this date, I, __________________________________________ (Name of Applicant), certify that my
“family income” (the combined income of my current family members, including my parent, guardian,
husband, wife, and/or dependent children, if applicable) was zero for the past
( ) six months
( ) twelve months
I have supported myself during this period of time as follows:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P22
Limited English Proficiency (LEP)
On this date, I attest that I, __________________________________________ (Name of Applicant)
have limited English proficiency, that is:
1. I do not speak English as my primary language; and
2. I have a limited ability to read, speak, write, or understand English.
3. My primary language is _____________________.
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P24
Low literacy skills?
On this date, I attest that I, __________________________________________ (Name of Applicant)
have low literacy skills, that is:
_____ I compute or solve problems, read, write, or speak at or below the 8th grade level; or
_____ I am unable to compute or solve problems, read, write, or speak at a level necessary to function
on the job, in my family, or in society.
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P25
Veteran (or spouse of veteran)?
On this date, I, __________________________________________ (Name of Applicant), certify that I am a
veteran, or a spouse of a veteran, as defined by one of the following statements:
_____ I served in the active ______________________________ (Name of Branch of Military) and was
discharged or released from such service under conditions other than dishonorable, or
_____ I was on full-time duty in the National Guard or a Reserve component, other than full-time duty for
training purposes, and was released from such duty with other than a dishonorable discharge, or
_____ I am the spouse of a person who died on active duty or of a service-connected disability, or
_____ I am the spouse of a member of the Armed Forces serving on active duty who at the time of
application for assistance under this part, is listed in one or more of the following categories:
_____ missing in action;
_____ captured in the line of duty by a hostile force; or
_____ forcibly detained or interned in the line of duty by a foreign government or power;
or
_____ I am the spouse of a person who has a total disability permanent in nature resulting from a serviceconnected disability as determined by the VA; or
_____ I am the spouse of a veteran who died while a disability so evaluated was in existence.
Additionally, I attest that I or my spouse served and was discharged from active duty as defined above
on _____________________
(Date)
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P27
At risk of homelessness?
Homelessness here is defined according to element P8 – Homeless, which states that a participant is
homeless if he or she:
1. lacks a fixed, regular, and adequate nighttime residence; or
2. has a primary nighttime residence that is:
a. a supervised, publicly or privately operated shelter designed to provide temporary living
accommodations (including welfare hotels, congregate shelters, and transitional housing for
the mentally ill); or
b. an institution that provides a temporary residence for individuals intended to be
institutionalized; or
c. a public or private place not designed for, or ordinarily used as, a regular sleeping
accommodation for human beings.
On this date, I, __________________________________________ (Name of Applicant), certify that the
specific conditions which place me at real and imminent risk of homelessness are:
_____My rent/mortgage is unpaid or overdue;
_____I often borrow to pay my rent/mortgage;
_____My real estate taxes are unpaid or overdue;
_____I am temporarily sharing space with a family member or friend;
_____I have involuntarily moved several times in the last year;
_____My credit history or background disqualifies me from most rental/lease agreements;
_____I cannot pay my rent/mortgage most months;
_____I frequently have unpaid or overdue electric, gas, or water bills;
_____I have been evicted from a residence in the last 12 months;
_____I have lived in a shelter during the past 12 months.
_____Or other specific conditions which place me at risk of homelessness (Specify Below)
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P29
Failed to find employment after using WIOA Title I?
On this date, I, __________________________________________ (Name of Applicant), certify that I have
been unable to find employment after last being enrolled in WIOA Title I services on ___ / ___ / ______.
I have not been employed since ___ / ___ / ______.
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P30
Low employment prospects?
On this date, I, __________________________________________ (Name of Applicant), certify that I have a
significant barrier to employment as described below:
(Check all conditions below which apply to you. Additional information explaining why your
situation could be considered a significant barrier to potential employment must be included
along with the identification of the condition.)
____ I lack a substantial employment history as described below:
___________________________________________________________________
___________________________________________________________________
____I lack a high school diploma or the equivalent
___________________________________________________________________
___________________________________________________________________
____ I have a disability (Requires additional higher-level documentation. See the SCSEP Data
Validation Handbook Instructions for element P26)
____ I am homeless (Further information required on the attestation from for element P8)
____ I have other significant barrier(s), as described below:
___________________________________________________________________
___________________________________________________________________
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P45
Total includable family income (12 months or 6 months annualized) at recertification
On this date, I, __________________________________________ (Name of Participant), certify that my
“family income”(the combined income of my current family members, including my parent, guardian,
husband, wife, and/or dependent children, if applicable) was zero for the past
( ) six months
( ) twelve months
I have supported myself during this period of time, as described below:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Item P54
Severely limited employment prospects in area of persistent unemployment?
On this date, I, __________________________________________ (Name of Applicant), certify that I have
at least two significant barriers to employment as described below:
(Check all conditions below which apply to you. Additional information explaining why your
situation could be considered a significant barrier to potential employment must be included
along with the identification of the condition.)
_____I lack a substantial employment history as described below:
___________________________________________________________________
___________________________________________________________________
____ I lack a high school diploma or the equivalent
___________________________________________________________________
___________________________________________________________________
____ I have a disability (Requires additional higher-level documentation, see the SCSEP Data
Validation Handbook Instructions for element P26)
____ I am homeless (Further information required on the attestation from for element P8)
____ I have other significant barrier(s), as described below:
___________________________________________________________________
___________________________________________________________________
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Items U32/U34c
Any wages for /second/fourth quarter after exit quarter?
On this date, I, __________________________________________ (Name of Exited Participant),
certify that I received wages from ___ / ___ / ______ to ___ / ___ / ______ , which is after I exited
from the SCSEP program.
These wages were compensation for working at (Employer Name) __________________________
Located at (Address of Employer) ____________________________________________________
Where I reported directly to (Name of Supervisor) _______________________________________
-------------------------------------------------------
OR
-------------------------------------------------------
On this date, I, __________________________________________ (Name of Exited Participant),
certify that I am unable to continue participating in the SCSEP program and unable to work based on
one of the following:
_____ I have a documented health/medical exclusion, that is:
1. I am in the care of Dr. ____________________________ (Name of Doctor), and
2. I have been informed by Dr. ____________________________ (Name of Doctor) that
a.
my medical condition is expected to last at least 90 days, and
b.
my medical condition prevents me from continued participation in the SCSEP program or from
working.
_____ I am institutionalized, that is:
1. I am receiving 24-hour care at _________________________ (Name of Facility), which is a facility
such as a prison or a hospital, and
2. I have been informed by _____________________________ (Name and Position) that I am expected
to remain at this facility for at least 90 days, which prevents me from continued participation in the
SCSEP program or from working.
_____________________________________
(Signature of Applicant)
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_____________________
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION
Self-Attestation Form for Items U32c/U33c/U34c
For PY18, any wages for second quarter after exit quarter?
PY 2018 earnings for second quarter after exit quarter
For PY18, any wages for fourth quarter after exit quarter?
On this date, I, __________________________________________ (Name of Exited Participant), certify
that I have been self-employed from ___ / ___ / ______ to ___ / ___ / ______. During this time, I have
been engaged in the business of ____________________.
During the quarter from ___ / ___ / ______ to ___ / ___ / ______ , I received gross income from selfemployment of $_________ and incurred business expenses of $__________.
_____________________________________
_____________________
(Signature of Applicant)
(Date)
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SCSEP DATA VALIDATION
THIRD-PARTY ATTESTATION SIGNATURE FORMS
Instructions for SCSEP program personnel
The forms below are to be used by SCSEP personnel to allow third parties who have a relationship with
a SCSEP applicant or participant to attest to information related to data elements that are validated by the
SCSEP program. There is a separate form for each of the 14 data elements that accept signed third-party
attestation as a form of source documentation. This enables SCSEP personnel to print out only the form(s)
that are needed in a given situation.
The information attested to by third parties should amount to more than what the applicant or participant
told the third party. On each form, then, the attester will be asked to provide specific information about
his or her relationship to the applicant/participant, as well as an explanation of how he or she is in a
knowledgeable position to attest to the facts cited.
NOTE 1: These forms are not meant to replace the Data Collection Handbook or the Data
Validation Handbook. SCSEP personnel must refer to those sources for complete rules on
allowable documentation.
NOTE 2: SCSEP personnel should be aware that participants who are able to present
documentation that can be used to validate any of the data elements listed below have no need to
rely on third parties to attest to the specific facts or use the relevant attestation form for that
element. Relevant official source documentation can be sufficient, by itself, to validate any
individual piece of information below.
Similarly, case notes and self-attestation may be used to validate the information for certain
elements. Please refer to the DV handbook for exact instructions on when these other forms of
validation are acceptable.
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NOTE 3: The following data elements accept third-party attestation in whole or in part:
P8 – Homeless
P11– Number in family (signed third-party attestation, as opposed to a medical professional,
is not acceptable in establishing family-of-one is due to disability)
P13 – Employed prior to participation
P14 – Total Includable Family Income (12 Month or 6 Month Annualized) (for claims of zero
income only)
P22 – Limited English proficiency?
P24 – Low literacy skills?
P27 – At Risk of Homelessness
P44 – Recertification - Number in family
P45 – Recertification: Total Includable Family Income (12 months or 6 months annualized)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P8
Homeless
On this date, I attest that __________________________________________ (Name of Applicant)
is homeless, that is
1. he/she lacks a fixed, regular, and adequate nighttime residence; or
2. he/she has a primary nighttime residence that is:
_____ a supervised, publicly or privately operated shelter designed to provide temporary living
accommodations (including welfare hotels, congregate shelters, and transitional
housing for the mentally ill);
______________________________________________________ (Name of Shelter)
_____ an institution that provides a temporary residence for individuals intended to be
institutionalized; or
______________________________________________________ (Name of Institution)
_____ another public or private place not designed for, or ordinarily used as, a regular sleeping
accommodation for human beings.
______________________________________________________ (Specify place)
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the fact(s) cited above is required. (Note: Use the back of this form
if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________
____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Applicant)
_____________________________________
__________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P11
Number in family
On this date, I attest that the household of ______________________________ (Name of Applicant) has
a total of ______ people living together as part of a family, including the applicant.
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the fact(s) cited above is required. (Note: Use the back of this form
if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_______________________________________
(Name of Attesting Individual)
________________________________________
(Relationship of Attesting Individual to Applicant)
___________________________________
_____________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P13
Employed prior to participation?
On this date, I attest that __________________________________________ (Name of Applicant)
is not employed at the time of application, that is:
1. he/she does not do any work at all as a paid employee; and
2. he/she does not do any work at all in his/her own business, profession, or farm; and
3. he/she does not work 15 hours or more as an unpaid worker in an enterprise operated by a
member of his/her family; and
4. he/she does not have a job or business from which he/she was temporarily absent because
of illness, bad weather, vacation, labor-management dispute, or personal reasons.
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information
below (Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_________________________________________
(Name of Attesting Individual)
__________________________________________
(Relationship of Attesting Individual to Applicant)
_____________________________________
_______________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P14
Total includable family income (12 month or 6 month annualized)
On this date, I attest that __________________________________________ (Name of Applicant)
had a “family income” (the combined income of his/her current family members, including parent,
guardian, husband, wife, and/or dependent children, if applicable) of zero for the past
( ) six months
( ) twelve months
He/she has supported himself or herself during this period of time as follows:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information
below (Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
________________________________________
(Name of Attesting Individual)
__________________________________________
(Relationship of Attesting Individual to Applicant)
_____________________________________
_________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P22
Limited English Proficiency (LEP)
On this date, I attest that __________________________________________ (Name of Applicant)
has limited English proficiency, that is:
1. the applicant does not speak English as his or her primary language; and
2. the applicant has a limited ability to read, speak, write, or understand English.
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information
below (Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________
_____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Applicant)
_____________________________________
___________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P24
Low literacy skills?
On this date, I attest that __________________________________________ (Name of Applicant)
has low literacy skills, that is:
_____ the applicant computes or solves problems, reads, writes, or speaks at or below the 8th grade
level; or
_____ the applicant is unable to compute or solve problems, read, write, or speak at a level
necessary to function on the job, in the individual’s family, or in society.
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information
below (Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________
_____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Applicant)
_____________________________________
___________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P27
At risk of homelessness?
Homelessness here is defined according to element P8 – Homeless, which states that participant is homeless if
he or she:
1. lacks a fixed, regular, and adequate nighttime residence; or
2. has a primary nighttime residence that is:
a. a supervised, publicly or privately operated shelter designed to provide temporary living
accommodations (including welfare hotels, congregate shelters, and transitional housing for
the mentally ill);
b. an institution that provides a temporary residence for individuals intended to be
institutionalized; or
c. a public or private place not designed for, or ordinarily used as, a regular sleeping
accommodation for human beings.
On this date, I attest that the following specific conditions
place __________________________________________ (Name of Applicant) at risk of homelessness:
_____His or her rent/mortgage is unpaid or overdue;
_____She / he often borrows to pay rent/mortgage;
_____His / her real estate taxes are unpaid or overdue;
_____She/he is temporarily sharing space with a family or friend;
_____He/she has involuntarily moved several times in last year;
_____Her/his credit history or background disqualifies her/him from most rental/lease agreements;
_____He/she cannot pay rent/mortgage most months;
_____She /he frequently has unpaid or overdue electric/gas/water bills;
_____He/she has been evicted from a residence in the last 12 months;
_____She/he has lived in a shelter during the past 12 months
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information below
(Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________
_____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Applicant)
_____________________________________
___________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P44
Number in family at recertification
On this date, I attest that __________________________________________ (Name of Participant)
has ______ people living with him/her as part of his/her family.
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information
below (Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________
_____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Participant)
_____________________________________
___________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item P45
Total includable family income (12 months or 6 months annualized) at recertification
On this date, I attest that __________________________________________ (Name of Participant)
had a “family income” (the combined income of his/her current family members, including parent,
guardian, husband, wife, and/or dependent children, if applicable) of zero for the past
( ) six months
( ) twelve months
He/she has supported him or herself during this period of time as follows:
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information
below (Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________
_____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Participant)
_____________________________________
___________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item E9
Exclusion discovered after exit
On this date, I attest that __________________________________________ (Name of Participant)
_____ is deceased.
_____ is unable to continue participating in the SCSEP program and unable to work based on one of the
following:
_____ He/She has a documented health/medical exclusion, that is:
1. he/she is in the care of Dr. ____________________ (Name of Doctor), and
2. I have been informed by Dr. ____________________ (Name of Doctor) that
a. his/her medical condition is expected to last at least 90 days, and
b. his/her medical condition prevents him/her from continued participation in the
SCSEP program and from working.
_____ He/She has a documented family care exclusion, that is:
1. he/she is providing care for _____________________________ (Name of Relative and
Relationship to Participant) , who is a member of his/her family, and
2. the family member is in the care of Dr. ____________________________ (Name of Doctor),
and
3. I have been informed by Dr. ____________________________ (Name of Doctor) that the
medical condition is expected to last at least 90 days, and
4. the family member requires a level of care which prevents me from continued participation in
the SCSEP program or from working.
_____ He/She is institutionalized, that is:
1. he/she is receiving 24-hour care at _________________________ (Name of Facility), which is
a facility such as a prison or a hospital, and
2. I have been informed by _____________________________ (Name and Position) that he/she is
expected to remain at this facility for at least 90 days, which prevents him/her from continued
participation in the SCSEP program and from working.
Specific information about your relationship to the applicant and an explanation of how you are in a
knowledgeable position to attest to the facts cited above is required. Please provide this information below
(Note: Use the back of this form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________
_____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Participant)
_____________________________________
___________________
(Signature of Attesting Individual)
(Date)
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REFER TO THE DATA COLLECTION AND DATA VALIDATION HANDBOOKS FOR COMPLETE INSTRUCTIONS ON DOCUMENTATION.
Third-Party Attestation Form for Item U32c/U34c
Any wages for second/fourth quarter after exit quarter?
On this date, I attest that __________________________________________ (Name of Participant) received wages from
___ / ___ / ______ to ___ / ___ / ______, which is after he/she exited from the SCSEP program.
-------------------------------------------------------
OR
-------------------------------------------------------
On this date, I attest that __________________________________________ (Name of Participant)
_____ is deceased.
_____ is unable to continue participating in the SCSEP program and unable to work based on one of the following:
_____ He/She has a documented health/medical exclusion, that is:
1. he/she is in the care of Dr. ____________________ (Name of Doctor), and
2. I have been informed by Dr. ____________________ (Name of Doctor) that
a. his/her medical condition is expected to last at least 90 days, and
b. his/her medical condition prevents him/her from continued participation in the SCSEP
program and from working.
_____ He/She is institutionalized, that is:
1. he/she is receiving 24-hour care at _________________________ (Name of Facility), which is a facility
such as a prison or a hospital, and
2. I have been informed by _____________________________ (Name and Position) that he/she is
expected to remain at this facility for at least 90 days, which prevents him/her from continued
participation in the SCSEP program and from working.
Specific information about your relationship to the applicant and an explanation of how you are in a knowledgeable
position to attest to the facts cited above is required. Please provide this information below (Note: Use the back of this
form if additional space is needed):
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________
_____________________________________
(Name of Attesting Individual)
(Relationship of Attesting Individual to Participant)
_____________________________________
___________________
(Signature of Attesting Individual)
(Date)
Revision 14 (November 2020)
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| File Type | application/pdf |
| File Title | MEMORANDUM |
| Author | Monica Capizzi |
| File Modified | 2020-11-10 |
| File Created | 2020-11-06 |