TEGL_7-18_Attachment_I.pdf

ETA Advisory File Text

Attachment I Source Documentation for WIOA Core Programs Joint Data Element Validation 1 Source Document Validation Instructions The attached data element source documentation table lists the 24 common data elements that States must validate. The table displays the PIRL and RSA-911 data element numbers data element names formats definitions instructions and source documentation needed to perform data element validation on each data element. Additionally the Departments have provided a list of acceptable source documents to validate these selected 24 data elements. States and grantees may conduct additional source document validation on more data elements as each State and local program deems appropriate. Each program may also implement additional source document requirements on program-specific data elements. However all State and local programs reporting performance data in accordance with section 116 d of WIOA must use the same data element definitions in the PIRL and must use data validation procedures developed by the State that are consistent with the guidelines identified in this joint guidance. A. TYPES OF SOURCE DOCUMENTATION For most data elements the validation guidelines provide multiple forms of acceptable source documentation. If the State collects multiple sources for the same data element and the sources conflict the most objective source should be used to determine if the data element is valid and accurate. These source documentation types include 1. Cross-Match A cross-match requires validators to find detailed supporting evidence for the data element in a database. An indicator or presence of a Social Security Number SSN in an administrative non-WIOA database i.e. a database not maintained by a WIOA core program such as data from the State s Department of Motor Vehicles is not sufficient evidence for a cross-match. State validators must also confirm supporting information such as dates of participation and services rendered. States must have data sharing agreements in place as appropriate. 2. Self-Attestation Self-attestation also referred to as a participant statement occurs when a participant states his or her status for a particular data element such as pregnant or parenting youth and then signs and dates a form acknowledging this status. The key elements for self-attestation are a the participant identifying his or her status for permitted elements and b signing 2 and dating a form attesting to this self-identification. The form and signature can be on paper or in the State management information system with an electronic signature. 3. Case Notes Case notes refer to either paper or electronic statements by the case manager that identify at a minimum the following a a participant s status for a specific data element b the date on which the information was obtained and c the case manager who obtained the information. 4. Electronic Records Electronic records are participant records created stored or transferred in a form that only a computer can process and maintained in the State s management information system. Records can be numeric graphic or text. They can also include magnetic storage media such as tapes or disks. NOTE For the latest versions of PIRL and RSA-911 data elements please visit DOL https doleta.gov performance reporting ED http www2.ed.gov about offices list osers rsa wioa-reauthorization.html 3 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 900 127 Date of Program Entry DT 8 Record the date on which an individual became a participant as referenced in 20 CFR 677.150 satisfying applicable programmatic requirements for the provision of services. Leave blank if this data element does not apply. YYYYMMDD One of the following Individual Plan for Employment Electronic Records Program intake documents such as eligibility determination documentation or program enrollment forms. 901 353 Date of Program Exit DT 8 Record the last date the participant received services that are not self- service information-only or follow up services. Record this last date of receipt of services only if there are no future services that are not self- service information-only or follow up services planned from the program. For Titles I II and III record the last date of funded service s . For Vocational Rehabilitation programs record the date when the participant s record of service is closed pursuant to 34 CFR 361.43 or 361.56. Leave blank if this data element does not apply to the participant. YYYYMMDD One of the following A copy of the letter sent to the individual indicating that the case was closed. WIOA status exit forms Electronic Records Attendance records Review of service records identifying the last qualifying service and lack of a planned gap 923 355 Other Reasons for Exit IN 2 Record 01 if the participant exits the program because he or she has become incarcerated in a correctional institution or has become a resident of an institution or facility providing 24-hour support such as a hospital or treatment center during the course of receiving services as a participant. Record 02 if the participant exits the program because of medical treatment and that treatment is expected to last longer than 90 days and precludes entry into unsubsidized employment or continued participation in the program. Record 03 if the participant is deceased. Record 04 if the participant exits the program because the participant is a member of the National Guard or other reserve military unit of the armed forces and is called to active duty for at least 90 days. Record 05 if the participant is in the foster care system as defined in 45 CFR 1355.20 a and exits the program because the participant has moved from the area as part of such a program or system Youth participants only . 01 Institutionalized 02 Health Medical 03 Deceased 04 Reserve Forces called to Active Duty 05 Foster Care 06 Ineligible 07 Criminal Offender 00 No One of the following File documentation with notes from program staff Information from partner services WIOA status exit forms Electronic Records Withdrawal form with explanation Information from institution or facility 4 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS Record 06 if the participant who was determined to be eligible is later determined not a have met eligibility criteria. NOTE This circumstance applies only to the VR program in which participant eligibility is routinely revisited during the participation period. For titles I II and III program eligibility is determined at the time an individual becomes a participant. Record 07 if the participant is a criminal offender in a correctional institution under section 225 of WIOA. Record 00 if the participant meets none of the above conditions. 1303 150 151 155 164 168 198 199 204 Type of Training Service 1 IN 2 Use the appropriate code to indicate the type of approved training being provided to the participant. NOTE If OJT or Skill Upgrading is being provided as part of a Registered Apprenticeship program choose Code 09. NOTE Code 06 should only be utilized when other codes are clearly not appropriate. Record 00 if the participant did not receive a training service. Leave blank if this data element does not apply to the participant. 01 On the Job Training non-WIOA Youth 02 Skill Upgrading 03 Entrepreneurial Training non-WIOA Youth 04 ABE or ESL contextualized or other in conjunction with Training 05 Customized Training 06 Occupational Skills Training non- WIOA Youth 07 ABE or ESL contextualized or other NOT in conjunction with training funded by Trade Adjustment Assistance only 08 Prerequisite Training One of the following Copy of enrollment record File documentation with notes from program staff Cross-match between dates of service and vendor training information Vendor training documentation Electronic Records Individual Training Account Attendance records 5 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 09 Registered Apprenticeship 10 Youth Occupational Skills Training 11 Other Non- Occupational-Skills Training 12 Job Readiness Training in conjunction with other training 00 No Training Service 1310 150 151 155 164 168 198 199 204 Type of Training Service 2 IN 2 If the participant received a second type of approved training record the appropriate code to indicate the type of approved training being provided to the participant. NOTE If OJT or Skill Upgrading is being provided as part of a Registered Apprenticeship program choose Code 09. NOTE Code 06 should only be utilized when other codes are clearly not appropriate. Record 00 if the participant did not receive a second training service. Leave blank if this data element does not apply to the participant. 01 On the Job Training non-WIOA Youth 02 Skill Upgrading 03 Entrepreneurial Training non-WIOA Youth 04 ABE or ESL contextualized or other in conjunction with Training 05 Customized Training 06 Occupational Skills Training non- WIOA Youth 07 ABE or ESL contextualized or other NOT in conjunction with training funded by Trade Adjustment Assistance only One of the following Copy of enrollment record File documentation with notes from program staff Cross-match between dates of service and vendor training information Vendor training documentation Electronic Records Individual Training Account Attendance records 6 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 08 Prerequisite Training 09 Registered Apprenticeship 10 Youth Occupational Skills Training 11 Other Non- Occupational-Skills Training 12 Job Readiness Training in conjunction with other training 00 No Training Service 1315 150 151 155 164 168 198 199 204 Type of Training Service 3 IN 2 If the participant received a third type of approved training record the appropriate code to indicate the type of approved training being provided to the participant. NOTE If OJT or Skill Upgrading is being provided as part of a Registered Apprenticeship program choose Code 09. NOTE Code 06 should only be utilized when other codes are clearly not appropriate. Record 00 if the participant did not receive a third service. Leave blank if this data element does not apply to the participant. Additional Note If the participant receives more than three training services record the last or most recent training services received by the participant in this field. 01 On the Job Training non-WIOA Youth 02 Skill Upgrading 03 Entrepreneurial Training non-WIOA Youth 04 ABE or ESL contextualized or other in conjunction with Training 05 Customized Training 06 Occupational Skills Training non- WIOA Youth 07 ABE or ESL contextualized or other NOT in conjunction with training funded by One of the following Copy of enrollment record File documentation with notes from program staff Cross-match between dates of service and vendor training information Vendor training documentation Electronic Records Individual Training Account Attendance records 7 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS Trade Adjustment Assistance only 08 Prerequisite Training 09 Registered Apprenticeship 10 Youth Occupational Skills Training 11 Other Non- Occupational-Skills Training 12 Job Readiness Training in conjunction with other training 00 No Training Service 1332 84 Participate d in Postsecond ary Education During Program Participatio n IN 1 Record 1 if the participant was in a postsecondary education program that leads to a credential or degree from an accredited postsecondary education institution at any point during program participation Record 0 if the participant was not a postsecondary education program that leads to a credential or degree from an accredited postsecondary education institution during program participation Leave blank if this does not apply to the participant Note This data element relates to the credential indicator denominator and those who are recorded as 1 are included in the credential rate denominator. This element is a subset of PIRL 1811. Do not record 1 if the participant was first enrolled in postsecondary education after exiting the program. 1 Yes Participated in Postsecondary Education 0 No Did Not Participate in Postsecondary Education One of the following Data match with postsecondary data system Copy of enrollment record File documentation with notes from program staff School records Transcript or report card 8 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1401 Enrolled in Secondary Education Program IN 1 Record 1 if the participant was enrolled in a Secondary Education Program at or above the 9th Grade level. A Secondary Education program includes both secondary school and enrollment in a program of study with instruction designed to lead to a high school equivalent credential. Examples may include adult high school credit programs and programs designed to prepare participants to pass recognized high school equivalency exams such as the GED HiSET or TASC. Programs of study designed to teach English proficiency skills or literacy skills below the 9th grade equivalent are not considered Secondary Education Programs. States may use this coding value if the participant was either already enrolled in education or training at the time of application to the program OR became enrolled in an education or training program at or above the 9th Grade level at any point while participating in the program. Record 0 if the participant was not enrolled in a secondary education program at or above the 9th grade level. 1 Yes 0 No One of the following Copy of enrollment record File documentation with notes from program staff School records Transcript or report card Data match to State K-12 data system 1406 376 Date Enrolled in Post Exit Education or Training Program Leading to a Recognized Postsecond ary Credential DT 8 Record the date the participant is enrolled in an education or training program that leads to a recognized postsecondary credential after program exit. Leave blank if this data element does not apply to the participant. NOTE This element only applies to participants who exited secondary education and obtained a secondary school diploma or its equivalency per sec 116 b 2 A iii . This data element applies to the Credential Rate numerator. This element is not to be confused with PIRL 1811 Date Enrolled During Program Participation in an Education or Training Program Leading to a Recognized Postsecondary Credential or Employment which encompasses all education and training program enrollment and captures those enrolled during program participation not post-exit. YYYYMMDD One of the following Copy of enrollment record File documentation with notes from program staff School records Transcript or report card. Data match with postsecondary data system 9 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1600 379 Employed in 1st Quarter After Exit Quarter IN 1 Record 1 if the participant is in unsubsidized employment not including Registered Apprenticeship or the military . Record 2 if the participant is in a Registered Apprenticeship. Record 3 if the participant is in the military. Record 0 if the participant was not employed in the first quarter after the quarter of exit. Record 9 if the participant has exited but employment information is not yet available. 1 Yes 2 Yes Registered Apprenticeship 3 Yes Military 0 No 9 Information not yet available One of the following UI wage data match Follow-up survey from program participants Pay check stubs tax records W2 form Wage record match Quarterly tax payment forms such as an IRS form 941 Document from employer on company letterhead attesting to an individual s employment status and earnings Self-employment worksheets signed and attested to by program participants Detailed case notes verified by employer and signed by the counselor 10 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1602 383 Employed in 2nd Quarter After Exit Quarter IN 1 Record 1 if the participant is in unsubsidized employment not including Registered Apprenticeship or the military . Record 2 if the participant is in a Registered Apprenticeship. Record 3 if the participant is in the military. Record 0 if the participant was not employed in the second quarter after the quarter of exit. Record 9 if the participant has exited but employment information is not yet available. 1 Yes 2 Yes Registered Apprenticeship 3 Yes Military 0 No 9 Information not yet available One of the following UI wage data match Follow-up survey from program participants Pay check stubs tax records W2 form Wage record match Quarterly tax payment forms such as an IRS form 941 Document from employer on company letterhead attesting to an individual s employment status and earnings Self-employment worksheets signed and attested to by program participants Detailed case notes verified by employer and signed by the counselor 11 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1604 386 Employed in 3rd Quarter After Exit Quarter IN 1 Record 1 if the participant is in unsubsidized employment not including Registered Apprenticeship or the military . Record 2 if the participant is in a Registered Apprenticeship. Record 3 if the participant is in the military. Record 0 if the participant was not employed in the third quarter after the quarter of exit. Record 9 if the participant has exited but employment information is not yet available. 1 Yes 2 Yes Registered Apprenticeship 3 Yes Military 0 No 9 Information not yet available One of the following UI wage data match Follow-up survey from program participants Pay check stubs tax records W2 form Wage record match Quarterly tax payment forms such as an IRS form 941 Document from employer on company letterhead attesting to an individual s employment status and earnings Self-employment worksheets signed and attested to by program participants Detailed case notes verified by employer and signed by the counselor 12 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1606 389 Employed in 4th Quarter After Exit Quarter IN 1 Record 1 if the participant is in unsubsidized employment not including Registered Apprenticeship or the military . Record 2 if the participant is in a Registered Apprenticeship. Record 3 if the participant is in the military. Record 0 if the participant was not employed in the fourth quarter after the quarter of exit. Record 9 if the participant has exited but employment information is not yet available. 1 Yes 2 Yes Registered Apprenticeship 3 Yes Military 0 No 9 Information not yet available One of the following UI wage data match Follow-up survey from program participants Pay check stubs tax records W2 form Wage record match Quarterly tax payment forms such as an IRS form 941 Document from employer on company letterhead attesting to an individual s employment status and earnings Self-employment worksheets signed and attested to by program participants Detailed case notes verified by employer and signed by the counselor 13 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1704 385 Wages 2nd Quarter After Exit Quarter DE 8.2 Record total earnings for the second quarter after the quarter of exit. Record 999999.99 if data is not yet available for this item. Leave blank if data element does not apply to the participant. 000000.00 One of the following UI wage data match Follow-up survey from program participants Pay check stubs tax records W2 form Wage record match Quarterly tax payment forms such as an IRS form 941 Document from employer on company letterhead attesting to an individual s employment status and earnings Self-employment worksheets signed and attested to by program participants Detailed case notes verified by employer and signed by the counselor 1800 N A Type of Recognized Credential IN 1 Use the appropriate code to record the type of recognized diploma degree or a credential consisting of an industry-recognized certificate or certification a certificate of completion of a Registered Apprenticeship a license recognized by the State involved or Federal Government or an associate or baccalaureate degree attained by the participant who received education or training services. Record 0 if the participant received education or training services but did not attain a recognized diploma degree license or certificate. Leave blank if data element does not apply to the participant. NOTE Diplomas degrees licenses or certificates must be attained either during participation or within one year of exit. This data element applies to both the Credential Rate indicator and the Measurable Skills Gain indicator for all programs. 1 Secondary School Diploma or equivalency 2 AA or AS Diploma Degree 3 BA or BS Diploma Degree 4 Occupational Licensure 5 Occupational Certificate 6 Occupational Certification 7 Other Recognized Diploma Degree or Certificate One of the following Data match. Copy of credential. Copy of school record. Follow-up survey from program participants Case notes documenting information obtained from education or training provider 14 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 0 No recognized credential 1801 87 88 89 90 93 94 95 Date Attained Recognized Credential DT 8 Record the date on which the participant attained a recognized credential. Leave blank if the participant did not attain a degree or certificate. YYYYMMDD One of the following Data match Copy of credential Copy of school record Follow-up survey from program participants Case notes documenting information obtained from education or training provider For RSA-911 purposes documentation is required for credentials earned after program participation begins 1806 343 Date of Most Recent Measurabl e Skill Gains Educational Functioning Level EFL DT 8 Record the most recent date the participant who received instruction below the postsecondary education level achieved at least one EFL. EFL gain may be documented in one of three ways 1 by comparing a participant s initial EFL as measured by a pre-test with the participant s EFL as measured by a participant s post-test or 2 for States that offer secondary school programs that lead to a secondary school diploma or its recognized equivalent an EFL gain may be measured through the awarding of credits or Carnegie units or 3 States may report an EFL gain for participants who exit the program and enroll in postsecondary education or training during the program year. Leave blank if this data element does not apply to the participant. YYYYMMDD One of the following Pre- and post-test results measuring EFL gain Adult High School transcript showing EFL gain through the awarding of credits or Carnegie units Postsecondary education or training enrollment determined through data match survey documentation or program notes. 15 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1807 345 Date of Most Recent Measurabl e Skill Gains Postsecond ary Transcript Report Card DT 8 Record the most recent date of the participant s transcript or report card for postsecondary education who complete a minimum of 12 hours per semester or for part time students a total of at least 12 credit hours over the course of two completed consecutive semesters during the program year that shows a participant is meeting the State unit s academic standards. Leave blank if this data element does not apply to the participant. YYYYMMDD One of the following Transcript Report card 1808 344 Date of Most Recent Measurabl e Skill Gains Secondary Transcript Report Card DT 8 Record the most recent date of the participant s transcript or report card for secondary education for one semester showing that the participant is meeting the State unit s academic standards. Leave blank if this data element does not apply to the participant. YYYYMMDD One of the following Transcript Report card 1809 346 Date of Most Recent Measurabl e Skill Gains Training Milestone DT 8 Record the most recent date that the participant had a satisfactory or better progress report towards established milestones from an employer training provider who is providing training e.g. completion of on-the-job training OJT completion of one year of a registered apprenticeship program etc. . Leave blank if this data element does not apply to the participant. YYYYMMDD One of the following OJT or Registered Apprenticeship Contract and or evaluation from employer or training provider 16 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1810 347 Date of Most Recent Measurabl e Skill Gains Skills Progression DT 8 Record the most recent date the participant successfully passed an exam that is required for a particular occupation or progress in attaining technical or occupational skills as evidenced by trade-related benchmarks such as knowledge-based exams. Leave blank if this data element does not apply to the participant. YYYYMMDD One of the following Results of knowledge-based exam or certification of completion. Documentation demonstrating progress in attaining technical or occupational skills Documentation from training provider or employer Copy of a credential that is required for a particular occupation and only is earned after the passage of an exam 1811 85 Date Enrolled During Program Participatio n in an Education or Training Program Leading to a Recognized Postsecond ary Credential or Employme nt DT 8 Record the date the participant was enrolled during program participation in an education or training program that leads to a recognized postsecondary credential including a secondary education program or training program that leads to employment as defined by the core program in which the participant participates. States may use this coding value if the participant was either already enrolled in education or training at the time of program entry or became enrolled in education or training at any point while participating in the program. If the participant was enrolled in postsecondary education at program entry the date in this field should be the date of Program Entry. This includes but is not limited to participation in Job Corps or YouthBuild or Adult Education or secondary education programs. Leave blank if the data element does not apply to the participant. NOTE This data element applies to the Measurable Skill Gains Indicator and specifically will be utilized to calculate the denominator. It encompasses all education and training program enrollment. YYYYMMDD One of the following Copy of enrollment record File documentation with notes from program staff School records Transcript or report card. Data match with postsecondary data system 17 PIRL DATA ELEMENT NO. RSA-911 DATA ELEMENT NO. DATA ELEMENT NAME DATA TYPE FIELD LENGTH DATA ELEMENT DEFINITIONS INSTRUCTIONS CODE VALUE SOURCE DOCUMENTATION REQUIREMENTS 1900 Youth 2nd Quarter Placement Title I IN 1 Record 1 if the participant is enrolled in occupational skills training including advanced training . Record 2 if the participant is enrolled in postsecondary education. Record 3 if the participant is enrolled in secondary education. Record 0 if the participant was not placed in any of the above conditions. 1 Occupational Skills Training 2 Postsecondary Education 3 Secondary Education 0 No placement One of the following Cross-match with other agencies Copy of enrollment record File documentation with notes from program staff School records Transcript or report card Vendor training provider training documentation 1901 Youth 4th Quarter Placement Title I IN 1 Record 1 if the participant is enrolled in occupational skills training including advanced training . Record 2 if the participant is enrolled in postsecondary education. Record 3 if the participant is enrolled in secondary education. Record 0 if the participant was not placed in any of the above conditions. 1 Occupational Skills Training 2 Postsecondary Education 3 Secondary Education 0 No placement One of the following Cross-match with other agencies Copy of enrollment record File documentation with notes from program staff School records Transcript or report card Vendor training provider training documentation