Department of Labor: DV Ben Tutorial v1-1

8/14/2019 Department of Labor: DV Ben Tutorial v1-1

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Data Validation State WebSoftware

Version 1.1Benefits Application Tutorial

U.S. Department of LaborEmployment and Training AdministrationOffice of Workforce Security

Unemployment Insurance ProgramNovember 2007


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Table of Contents

Table of Contents.................................................................................................i About ThisTutorial.............................................................................................1 Technical Support...............................................................................................1 Software Training................................................................................................1 Typographic Conventions..................................................................................1

Software Requirements......................................................................................2

Fixes and New Features Included in Version 1.1.............................................2 Introduction.........................................................................................................4

TheDataValidationProgram.......................................................................................4 Definitions.....................................................................................................................5 NavigatingtheSystem..................................................................................................5

Logging On..........................................................................................................7 Viewing the RecordLayouts............................................................................10Importing an Extract File..................................................................................12

CancellingaLoad.......................................................................................................20 Viewing Errors...................................................................................................22

ViewingDuplicateRecords........................................................................................25 Viewing the Source Table................................................................................28Viewing Validation Counts...............................................................................31

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Viewing the Report Validation Screen............................................................34Viewing Samples...............................................................................................37

PrintingSampleWorksheets......................................................................................41 EnteringValidationResultsforNon-randomSamples(Minimum,MissingSubpopulationsandOutliers) ..................... ......................... ........................ .............. 46EnteringValidationResultsforRandomSamples....................................................49

FirstTier..................................................................................................................... 49 Second Tier.................................................................................................................51

ViewingtheDataElement ValidationReport.............................................................54 Submitting Results to DOL..............................................................................56

AddingComments......................................................................................................56 TransmittingResults..................................................................................................57

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DV Benefits Software Tutorial Version 1.1

About This TutorialThis document provides a tutorial for the Benefits application of the DataValidation (DV) StateWeb Software Version 1.1.

TechnicalSupportIf any problems are encountered with the software, contact the Office ofWorkforce Security (OWS) Technical Support Staff (Hotline) at 1-800-473-0188or send an email [email protected].

Software TrainingThe

Minnesota Training

Center

offers

training on

the Data Validation State

WebSoftware. Check current offerings at http://www.tc.state.mn.us/calendar.html.

You can register for courses online, by email ([email protected] ) or bycalling the training centerat 651-297-3393.

TypographicConventionsThis document uses the following typographic conventions.

Visual Cue Meaning12

Sequenced steps to follow when completing ataskBlack boldtype ButtonBlue type Box title

Purple underlined type Links on the software that you can click on Blue underlinetype Web or email addressItalics Documents, screen names and menu options

Indicates where to click on the software screen

Note with additional informationTip

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Software RequirementsTo use the Data Validation State Web Software you will need a computer withInternet Explorer Version 6.0 orlater.You will also need a user name and a password that you can obtain fromyoursystem administrator.In order to perform data validation you need to load extract files into the software.Specifications on how to build these extract files are available inAppendix I, UIBenefits Record Layoutsof theETAHandbook 361- ABenefits. All extract filesto be loaded into the software must be copied to the /opt/dv/data/ directory inyourstateSUN server. Extractfile names must have a .txt extensionand containno spaces.

Fixes and NewFeaturesIncluded in Version 1.1The following fixes and enhancements were incorporated in the Benefitsapplication of the Data Validation StateWeb Software Version1.1:

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Feature Type DescriptionFixedProblemsPriorRelease(s)

Transm functionality has been xed sallowtransm ssion of ncompleteresuLoad funct on has been fixed that load doesnt getaborted when a row n the extract file contains a mvalue or conta ns a va n a f d that shou d be b ank.

Load ed n Benef on 3 have been fixed to acceptCWC transact ons that were rejected n the previous vers on.

Two-stage random sample funct onality has been f xed.

Benef ation 6 has been f xed to accept multi-cla mantappea th 1 claimant.

Benef Popu ons 6, 7, 8, and 9 have been xedproper y count mult -c mants.

Benef ts Popu ons 5 and 8 havebeen f xed to retrieve thecorrectreported counts.Other nor fixes, like abe corrections, etc., have beenncorporated.

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Feature Type DescriptionEnhancements When a population is loading, all the other functions have

been locked for that loading population. The importfunction for all other Benefit and Tax populations, has alsobeen locked. All other functions are available for the otherpopulations.

Size of some fields has been increased to accommodatestate codes.

Added submission date stamp to all submissions. Thesubmission date stamp will be used to distinguish amongsubmissions made or pickedup on the same day.Added last import, last RV transmit, and last DEV transmitdates to Main Menu for each population.

Random sampling algorithm has been revised to includescore rules for samples with smaller sizes than expected.

Comments size has been increased to 512 characters.Separate comments are nowavailable for Report Validationand Data Element Validation.

Groups in Benefits Report Validationhave been numbered.Report Validation of Dollars and Counts have beencombined into one screen.

New Duplicate detection criteria have been revised for someSpecifications populations.

E-mailfeatures were added to Notify the NationalOffice: when a state submit any data, and when any data is missing from the Data Pick-up

module

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Introduction

The Data Validation ProgramStates are required to file a series of standardized reports on theirUnemployment Insurance (UI) operations with the Employment and TrainingAdministration (ETA) of the U.S. Department of Labor (DOL). Reports coveredby the data validation program are required on a monthly orquarterly basis.These reports are usedto establish thevolume of activityconductedbystate UIadministrations and are a factor in establishing funding levels. They provideinformation about state compliance with UI requirements. They also provideinformation about the amount of benefits paid, the number of claimants servedand other information useful in measuring the U.S. economy and projectingtrends.Sincestate programs differsignificantly withinestablished parameters and statesutilize a variety of accounting and data processing arrangements, the issue of thecomparability among state reports has emerged. State reporting requirementsare standardized, but states use a variety of reporting procedures and mustinterpret reporting requirements within the context of their own laws andaccounting conventions.

The UI Data Validation program was established in an attempt to identify andaddress discrepancies in reported numbers. The program requires that statesrecreate reported numbers independently from their reporting process andcompare these numbers with actual numbers reported to DOL. States mustaddress any discrepancies found that exceed the established tolerance errorrate. The DV program also requires that states examine a sample of reportedcases to verify that the correct informationis being counted.The Data Validation State Web Software facilitates the validation process andgenerates standardized outputs which document the state data validation results.

Thedatavalidationprocess is divided into two main validation processes: ReportValidation (RV) and Data Element Validation (DEV). RV verifies that reportednumbers in ETAreports are accurate, i.e. that the processwhich the state usesto count transactions is correct. DEV refers to the investigation of samples ofrecords to establish that the information in individual records is accurate andconforms tofederal reportingrequirements, i.e. that the state is countingthe righttransactions.

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DefinitionsCertain terms used in the validation process have a specialized meaning withinthe context of the DV program:

1. Extract Files. These files consist of information extracted from stateproduction databases. This information is organized into rows andcolumns that representstates UI transactions. They are used as input forthe DV software.

2. Record Layouts. These documents provide detailed information on how tobuild theextractfiles. They canbefound in thesoftware (seeViewing theRecord Layouts section) or inAppendix I, UI Benefits Record Layouts ofthe ETA Handbook 361- A Benefits.

3. Module 3. State-specific document used tomap the dataelements in therecord layouts and samples to elements in individual state systems.

4. Populations. Populations are sets of state transactions specific to aparticular activity. For example Population 1, refers to the set of weeksclaimed transactions reported on the ETA 5159. An extract file must beconstructed foreach population.

5. Subpopulation. Each record in a given population is assigned to a specificsubpopulation.Forexample, in Population 1,UI weeks claimedrecords isassigned to Subpopulation 1.1, and UCFE weeks claimed records toSubpopulation 1.2. Records in subpopulations are used to reconstructreported counts.

Navigatingthe SystemThe DVsoftware is a web-based applicationwith certain characteristics that theuser should be aware of.

Multiple users. The software supports multiple, concurrent users.However, it was not designed to allow, for example, update of a singletable by multiple users at the same time.

Time Out. Youwillbeautomatically loggedout fromtheapplication if youare inactive for more than 59 minutes. To maintain your session hit akeystroke or move your mouse. You should perform save operationsfrequently if there is a danger of work being lost due to inactivity. Duringthe extract loading operation, the time-out parameter is set to four hours,to allow large extract files to be loaded without interruption.

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Exit fromScreens. Theusercanexitfroma secondarywindowwithintheapplication throughuse oftheX in theupperright cornerof thewindow.Be aware that the X at the extreme upper corner of the screen will exitthe user from the entire application. Thiswill require the user to sign onagain and may result in lost data.

Use of the Back button. The Internet browser has a Back button thatallows the user to return to aprevious screen. Users should be aware thatuseof this button may result in unexpectedresults. This problemcanbeavoidedby using the links on the software screens that were designed tonavigate to previous screens. Forexample, the Home link atthebottomofa screen willtake you back to the Benefits Selection Criteria screen.

and . will take youimmediately to the bottom of any screen and to the top.

Print Function. To printscreens,usethe printfunction onyourbrowserorif available, the print button at the bottom of the screen. Some screensizes exceed the width of a portrait print. In this case try the landscapeoption on your printer. You can also try copying the screen to Word, Excelor some other utility and print from there. System administrators shouldbe able to assist you if you encounter problems.

Save and Save As Functions. Use the Savebutton to save data in the DVapplication. Saved data for a given population are overwritten when anewextract file for that population is loaded. TheSave As button allowsyou to save a screen shotof the current software screen,outside the DVsoftware. Screen shots saved outside the application are not affectedbyloading new extract files. The Save As button can be used to save screenshots of summary reports and DEV worksheets to satisfy auditrequirements.

Help functions. The application has Help links on certain screens. Clickon this link to display information relevant to the data or functions availableon the screen.

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LoggingOnTo log on to the data validation software, follow the next steps.

1 Go to your state Unemployment Insurance Applications Menu screen,selectData Validation, and then select Main Login.

2 On the Data Validation login screen, enter your User Name. Example:dv3

i i ial mi l i ( lScreen shots n th s tutor ght ook d fferent fonts and co ors)than your screen due to your desktop andbrowser settings.

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3 Enter yourPassword.

User assi byi

iti italsl if this i

name and password are gned your state systemadm nistrator.

Passwords are case-sens ve, i.e., the operator must use capetters s part of the password.

4 Select Benefitsif is not already selected (Benefits is selectedby default)

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5 Click on the Loginbutton.

The State Menu link at the bottomof the screen returns you to the statemenu. The Feedback link accesses contact information for technicalproblems. TheHelp link accesses informationonallavailable functions onthe screen.

6 You should see the Benefits Selection Criteriascreen.

The Login link at the bottomof the screen will take you back to the loginscreen. Click on Population, Period Start Date, Period End Date, andChoose Function for additional information on these parameters.

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Viewingthe Record LayoutsIn order to use the data validation software, you need to have an extract filewhich contains the required data for the reporting period you want to validate.The data in the file should be extracted from your state production system inaccordance to the specifications described inAppendix I, UI Benefits RecordLayouts, ofthe DataValidationHandbook. Youwillneed15extract files oneforeach benefit population.

The extract files specifications, or record layouts, are also available in thesoftware. To view them, follow the next steps.

1 On the Benefits Selection Criteria screen, click on the Populationlink.

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2 To see the record layout of a population click on the populations link.

The record layout for the population will be displayed.

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Importing anExtractFileTo validate the data in an extract file, the first thing you will need to do is toimport it to the software. To import an extract file, follow the next steps.

1 Select apopulation fromthePopulationdropdown menu.

When you select a population, on the lower left corner of the screen youwill see the last date this population was imported. If you have neverimported this populationit will display Never.

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If you have already imported the population, you will see the last day itwas imported and the user that imported it. You will also see the last dateswhen the Report Validation (RV) and Data Element Validation (DEV)results were transmitted to DOL.

1

2 Enter the Period Start Date and Period EndDate for the reporting periodyou want to validate using MM/DD/YYYY format. For example, January

st, 2008 must be entered as 01/01/2008.

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You can also click on the calendar icons on the right to select start andend dates from a calendar.

Use the double arrows on the calendar to scroll through years and thesingle arrows toscroll through months and thenclick on the day youwantto use as start or enddate.

i i l li l

The t me per od entered or se ected shou d be the same used toconstruct the extract file you are go ng to oad.

Scrollyears

Scrollmonths

Clickondayyouwanttoselect

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l ll i i i i is incl i ic

l l l i i ltsi i i i

l ( ).

a lation is l the ionwi i

The software a lows you to oad extract files that do not conform toactua report ng t me per ods. Th s option uded for d agnostpurposes on y. Youshou d on y subm t to DOL data validat on resu

that correspond to t me per ods which match the t me per od covered by anactua report e.g., the ETA 5159 Report for January 1 31, 2007

The start and end dates are needed only for the import function. Oncepopu oaded, user may choose any other funct

thout enter ng these dates.

3 Select Import Data from the Choose Function drop-down menu and clickGo.

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4 Enterthe fullpath where thefile is locatedand thename of theextract fileinto the Import From Extract File box (example: /opt/dv/data/pop4.txt).

TheClearQuerybutton on the bottomof the screen will reset the ImportFrom Extract File box. The Cancel button will take you back to theBenefits Selection Criteria screen.

All i ii l i

ivel i

i l ini i

extract files must be cop ed to the /opt/dv/data/ d rectory, hencethe path name w ll a ways be /opt/dv/data/filename.txt. Th s directorywas created on the Sun servers exclus y for data validat on use.

The software w ll on y accept files text format. File names cannotconta n spaces and must end n .txt.

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5 Click on the Import button toload the extract file into the system.

This will take you to the Import Messages screen for information on theloading procedure.

On this screen youcan seewhich useris loadingthepopulation, thestartand end times of the load, thenumber of errors found in the file, and thetotal number of rows processed (including records in error).

i j i ify)logi )Incom ng extract files are sub ected to various tests to dent1) syntax errors, 2 c errors, and 3 duplicate records.

For large files, a new import message line will appear for each 5,000records.

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i i ii i is

l i l ing l li ithi i i

lati being l of itii l

lati to be inion

lati

lation i illi Re-l i l

i l l i i

Load t mes vary depend ng on the number of records n the extractfile. The t me-out parameter s setto fourhours while the softwareoading to allow ample t me for oad arge files. Most popu ations

complete load ngw n afewm nutes. Load times are affected by thes ze ofthe file, the popu on oaded, and the number error cond onsencountered dur ng the

oad.

The software allows different popu ons resident theapplicat at the same time, but not two data sets for the samepopu on.

If thesame popu s loaded a second time, thenewdata set wover-wr te the former. oad ng the same extract file wil producedentica resu ts for

report validat on, but d fferent samples.

While the file is loading youcangoback to theBenefits SelectionCriteriascreen and access screens for other populations. You cannot, however,load another population or access any of the screens of the populationbeing loaded. A message in red will appear on the screen letting you knowthat the population is being loaded and the user thatis loadingit.

In addition,the Populationdropdown menu willnot display the populationbeing loaded and the Choose Function drop down menu will not displaythe Importfunction.

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To return to the Import Messages, selectView Import Messages fromtheChoose A Function drop-down menu on the Benefits Selection Criteriascreen. You dont need to select aPopulation.

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it is displ

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ii i i i lclai

lati iti l cli i its

icati .

Messages displayed on the Import Messages screen are avadur ng the oad ng operat on, but are not availab e after the file hasbeen oaded and the operatorhas eft th s screen. Informationabout

prev ous popu ation

loads s not available. Users have the

opt on

of prthis screen when ayed, for future reference.

To accurate y validate Popu on 3 reported numbers, .e. RV, theextract file forPopulat on3amust also be oaded on thesoftware forthe same reporting per od. When the software generates the RV for

Population 3, t retr eves validat oncounts fornewand transit ona ms fromthe Popu on 3 extract file andadd ona aim counts from the Population 3aextract file. For more nformat on, please refer toAppendix A, UI BenefReport Validation Specif ons of the ETA Handbook 361- A Benefits

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Cancellinga LoadTo cancela load in progress, follow the next steps.1 To cancel a load in progress, click the Cancel Import button on the Import

Messages screen.

You should get a message saying that the load was cancelled and thetime it was cancelled.

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When you return to the Benefits Selection Criteria screen, using theReturn toMenu link, youwillseea messagein redindicatingthatthe loadwas cancelled and theLast Importdate will display Cancelled.

When you cancel a load, the only screen available for the population forwhich the load was cancelled is the Errors screen.

l l i il inii l

wi l i

If youare oading a argefile and the numberoferrors s excess ve, youdont need towait until the oad f shes, to check the type of errors youare gett ng. Instead, cancel the oad and check the Errors screen. You

ll be ab e to see the errors that were processed up to the po nt were youcancelled the load.

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Viewing ErrorsWhen extract files are loaded, the software reads each record to ensurethat allfields are valid with reference to specifications provided in theETAHandbook 361- A Benefits.

There are three kinds of error conditions detected during the import andloading process:Syntaxerrors. This refers to records that are not formattedaccordingtoinstructions in the population-specific record layouts. Example: alphacharacters in the social security number field.Parsing errors. This refers to records that cannot be assigned to asubpopulation because the values in the fields do not match the requiredcriteria for any of the subpopulations.Duplicate records. This refers torecords that are found to beduplicatesbased on the criteria described inAppendix H, UI Benefits DuplicateDetection Criteria.

All records with errors are loaded to the Errors table. Records in theErrors table are not included in any of the validation screens and hencecannot be validated. You should inspect these records and determinewhetherthe extractfile was not constructedcorrectly orthere is a problemin thestatedatabase fromwhich the datawas extracted. If the extract filewas not constructed correctly, fix the file and load it again. If the problemis in your state database, for example a field is not being captured youroffice needs to take steps to fix it.The Errors screen allows the user to view the records that were found tohave errors during theloadingoperation. To viewtheErrorsscreen followthe next steps.

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1 In the Benefits Selection Criteria screen, select the Population for whichyou want to see the errors table.

2 Select View Errors from the Choose Function drop-down menu and clickGo.

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The Errors screen displays records with errors along with an errormessage for each record.

The Errors screen displays 100 records at a time. To see the next 100records, click on the Next link at the bottom of the screen. This link isvisible only when there are more than 100 records. If the loaded filecontains more than 1,000 errors only the first 1,000 can be viewed, andthe software willdisplay ared message toinform you of this.

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Whena file is loadedwith noerrors, the Errors screen displays No RowsFoundin red.

ViewingDuplicate RecordsDuplicate errors are displayed in the Errors screen along with all othererrors, but can beviewedseparately by accessingtheDuplicate DetectionReportscreen.To access this screen follow the steps below.

1 Click on the Duplicate Detection Report link at the bottom of the Errorsscreen.

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The Duplicate Detection Reportscreen displays duplicates only.

Like in the Errors screen, the screendisplays only 100 records at a time.To see the next 100 records, click on the Next link at the bottom of thescreen. This link is visible onlywhen there are more than 100 records. Ifthe loaded file contains more than 1,000 duplicates only the first 1,000 canbe viewed, and the software will display a red message to informyou ofthis.

To goback totheErrorsscreenclick ontheAllErrors link at the bottomofthe screen.

When a file is loaded with no duplicates, the Duplicate Detection Reportscreen displays No Rows Foundin red.

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Viewingthe SourceTableThe Source Table displays all the records that were successfully loaded to theapplication. To access the Source Table follow the steps below.

1 From the Benefits Selection Criteria screen select a Population that hasbeenloaded.

2 Select View Source Table from the Choose Functiondrop-down menu andclick Go.

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The Source Table screen displays the number of errors found during theloading process and the error rate at the bottom of the screen. You canaccess theErrorsscreen fromtheSource Tablescreen by clickingontheShow Errors link at the bottom of the screen.

You can sort records by any field by clicking at the field header. Click onceto sort in ascending order, and twice for descending.

ickl i ll i ( ) i

wi

Youcansort records bya fieldto qu y findrecordsw thoutlierva ues.For example, sort on Week y Benef t Allowance WBA to f nd records

th values exceeding the stateestablished

WBA.

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TheSource Tablescreen displays100 records at a time. To seethenext100 records, click ontheNext link atthe bottomofthe screen. This link isvisible only when there are more than 100 records. If the table containsmore than 1,000 records only the first 1,000 can be viewed.

If norecord was successfully loaded, theSource Tablescreen displays awarning message in red.

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Viewing Validation CountsThe Validation Counts screen displays all the subpopulations in the populationand the number of records from the extract file that were assigned to eachsubpopulation. To view the Validation Counts screen, follow the next steps.


2 Select View Validation Counts from the Choose Function drop- downmenu and click on Go.

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Thescreenshows the subpopulations,thecorrespondingreport cells theyare counted for, the type of values expected for records in them, and thecount of howmany records were assigned to each.

3 Click on the subpopulation number to viewrecords that were parsed intothat subpopulation.

You can sort records by any field by clicking at the field header. Click onceto sort in ascending order, and twice for descending.

You can print the screen by clicking on the Print button at the bottomofthe screen.

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The screen displays 100 records at a time. To see the next 100 records,click on the Next link at the bottomof the screen. This link is visible onlywhen there are more than 100records.

4 Click on the X in the upper right hand corner of the screen to close thescreen and return to the Validation Counts screen.

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Viewingthe ReportValidation ScreenReport validation (RV) consists of establishing the extent to which reportednumbers match report counts reproduced through the data validation process.This comparison process isautomated and does notrequireadditional input fromyou once you have successfully loaded an extract file to the system.

The software retrieves reported numbers from the state UI database andcompares themto the validation numbers derived fromthe extract files. Percenterrors are displayed for each report cell, butpass/fail scores are only displayedfor groups. A group passes validationif the percent error is 2% or less, except forgroupswhich contain report cellsthatare used forGovernment Performance andResults Act (GPRA)measures, which shouldhave a percent errorof 1% or less(e.g. Groups 4.01, 4.02 and 12.04). If all groups pass, the population passesreport validation otherwise,it fails.TheReport Validationscreen displays theresults ofreport validation. To displaythe screen follow the steps below.1 From the Benefits Selection Criteria screen select a Population that has

beenloaded.

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2 Select View Report Validation from the Choose Function drop- downmenu and click on Go.

The Report Validation screen displays each report cell in the population,its description, validation count (derived from extract file), reported count(retrievedfromthe UI database), count difference, and percentdifference.It also displays cumulative counts for groups of report cells along with apass/fail score for that group. Some report cells may not be included inany group, likeforexample218B-104-20 Average Weeks, in Population2.These cells are not taken into account for pass/fail scores.

At theright bottomcornerof thescreen youcanseetheReport ValidationStatus of the population.

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To save a screen shot of the Report Validation screen outside the software,follow the next steps.

1 Select SaveAs form the drop-down menu File on the top left corner ofyour browser.

2 Select the location where you want to save the screen shot and write intheFile Name box the name you want to save the file with.

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Viewing SamplesData element validation (DEV) consists of the investigation of samples drawnfrom extract files to verify that the information in the records is accurate. Fourkinds of samples are drawn: random, missing subpopulations, outliers, andminimum, but only randomsamples are scoredandare tobesubmitted to DOL.The other samples are included for diagnostic purposes but states shouldinvestigate them and keep a record of their results for auditing purposes.However failure of a non-random sample does not require corrective action bystates.The four types of samples are:

Random. These samples are drawn from specific subpopulations withinextractfiles. These were designedas two tiersamples so that the secondtier of the sample does not have to be investigated if the results of theinvestigationofthe first tierare conclusive. Thesamples are either30/100or60/200, where the first numberindicates the size of thefirsttierand thesecond number the size of the whole sample. So, for example, in a 30/100sample, 30 cases are investigated in the first tier and 70 on the second,fora totalof100records. Thesesamples pass with anerrorrateof 5% orless.

Missing subpopulations. These samples are dependant on the randomsamples.Eachsample consists of one casefrom eachsubpopulationthatis in the universe of the related random sample but was not selected in therandom sample.

Minimum. These samples consist of two cases fromeach subpopulationincludedin the sample frame.

Outliers. These samples consist of10 records withextreme values: thefive largestand five smallestvalues for the variable of interest in the dataset.

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To view the samples of a population follow the next steps.


2 Select View Samples from the Choose Function drop- down menu andclick onGo.

The Sample ID number on the Samples screen identifies the specificsample. Sample Type describes it as one of the four types of samplesdescribed above (random, minimum, outlier or missing subpopulations).

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Sample Description is a narrative explanation of the subpopulationsincludedin the sample frame for each sample.

3 Click on the Sample ID of the sample you want to view.

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TheSample Validationscreen displays the records selected in the samplethat aretobeinvestigated.Thenumberand descriptionof thesample aredisplayed at the top of the screen.

This screen is used to enter the results of the investigation. The stepnumbers on the headers of the columns refer to the steps inModule 3ofthe data validationhandbook.

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PrintingSample WorksheetsBefore you start investigating each record in a sample it is recommended thatyou print the worksheets for all records. You can annotate validation results inthese worksheets and later enterall results in the Sample Validation screen. Toprint the worksheets follow the next steps.

1 Click the PrintWorksheetsbutton. This button isdisplayedat thetopandbottom of the Sample Validation screen. Click on either button.

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2 Start Row and End Row boxes will be displayed at the bottom of thescreen. Enter the range of rows that you want to print and click Go. Forexample,enter1in StartRow and 4in End Row and clickGo, to printsample worksheets for rows 1 to 4.

i l ii i

To pr nt the worksheet of on y one record, enter the row number of therecord in the Start Row and End Row boxes. For example, to pr nt therecord n the second row, enter 2 n both the Start Row and End Row

boxes.

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The worksheets display the records with all fields and correspondingvalues in portrait orientation.

3 Scroll to the end of the screen and click on Print Preview.

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If instead of printing you want to add more records to print, click on GetMore Rows. Start Row and End Row boxes will be displayed at thebottom of the screen. Enter the range of rows that you want to add andclick Go.

Then click onPrint Preview.4 Click Print on the left top corner of the screen.

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5 Select aprinter and click Print.

can

it to asin case you subj an Office ofl (OIG) i

You

keep

worksheets for

samples you subm the

DOLevidence of the work done, are ect toInspectorGenera aud t.

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EnteringValidationResults forNon-randomSamples (Minimum,Missing Subpopulations and Outliers)Afteryou investigateeachrecord, youneed to enter the results of the validationinto the software. To enter results for non-random samples, go to the SampleValidation screen of the sample you are investigating andfollow the next steps.1 For each data element, go to the box next to it, click on the drop down

menu and select pass orfail according to your findings.

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If all elements in a record have passed you dont have to enter resultsindividually foreach data element. Youcaninsteadclick onthePass Rowboxatthe beginningoftherowand allboxes forthat row willbefilled withPass.

l

il

For a record that has on y a few elements failed and the rest of theelements passed, you can select Fail for the elements that failed andthen check the Pass Row boxatthe beginn ng of therowtochange the

remaining b ank boxes to Pass.

If all of the records within the sample have passed all data elements youcan select the Check All boxon the top leftcornerof the table to changeall blank boxes to Pass.

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can lei l

You enter Fail for the elements that have failed for the whosample and then click on Check All box to change the remain ng b ankboxes to Pass.

2 Click Save to saveall enteredresults.Whenyou clickSave the softwarewill display a summary of your results at the bottom of the screen,including the number of cases reviewed and the number of cases in error.

The Save As button displayed at the top andbottom of the screen can be used tosave a screen shot of your results outside the software. To do this, follow thenext steps.

1 Click on Save As.

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2 Select the location where you want to save the screen shot and write intheFile name box the name you want to save the file with. Click on Save.

Entering ValidationResults for Random SamplesWhen validating random samples you first have to validate records on the firsttier of the sample. If the results are conclusive, you dont need to validate thesecondtier(rest ofthe sample). If results areinconclusive youneed to goto thesecond

tier

and enter

results for

the rest

of the

sample.

To enter

results for

random samples follow the next steps.

First Tier

1 When you first open the Sample Validation screen for a random sampleyou will see the records in the first tier of the sample, i.e. the first 30records for a 30/100 sample or the first 60 records for a 60/200 sample.Entervalidationresults forallrecords onthe screen by followingthe samesteps describedin the previous section fornon-random samples.

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i is l /i i i less 30 or 60

i l isel the on the will to

If thesamples un versesize ess than 30for30 100 samples or60for 60/200 samples, .e. f the extract f le has thanrecords respect vely to se ect from for that sample, you w ll see all

records ected for sample screen and you not havecomplete a second tier.

2 Click Save. If the results are conclusive, the screen willdisplay a summaryof your results at the bottomof the page, along with a pass or fail score.You have finished the validation and dont need to complete the secondtier.

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If theresults are inconclusive,when you click on Save, a pop up windowwill inform you thatresults areinconclusiveandthatyouneedto goto thesecond tier. ClickOK.

i ll ll lts.

Also, i i i i (

i i i lts.

If you need to ex t the software before entering a your resu ts, clickSave before you do so, so that you dont oose any of your resu

f you are go ng to be inact ve for more than 59 m nutes thetime out lim t), save your work before you do so, to avo d loos ng your resu

Second Tier3 To go to the second tier, click on one of the Switch to Tier 2 buttons

available at the top and bottom of the screen.

The first tiers records are going to be disabled but still visible on thescreen and therecords forthe second tier are going tobe displayed.

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If youwant toedit results forany records onthefirst tier, you canclick onany of the Back to Tier 1 buttons available at the top and bottomof thescreen.

However, if you had entered any results for records on the second tier,you will loose them. The software will give you a warning before goingback to tier 1. Click OK if you want to go to tier 1 or Cancel to return toTier 2.

4 Enterresults forallrecords onthesecond tier thesame way youenteredresults onthe first tier. ClickingontheCheckAllbox atthetopleft cornerof the table will change all blank boxes in the second tier to Pass.

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5 When you finish entering results click Save. A summary of your results willbe displayed at the bottom of the page along with a pass or fail score.

6 If you want to save a screen shot click Save As and follow the stepsdescribed in the previous section.

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Viewing the Data Element ValidationReportTheDataElement ValidationReportscreen provides summary informationaboutcompleted sample investigations for a given population. This report is forinformational purposes only. It provides, for example, the number of cases inerror and the derived percent of errors established through the sampleinvestigation process. The report can be printed and/or saved outside theapplication, but there is no Transmit button for export to DOL. To access thisscreen follow the next steps.

1 Click on the link Data Element Validation Report screen located at thebottom of the Samples screen.

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The screen will show results that you have entered for all samples. Youcanprint this screen by clickingonPrintandsave it outside thesoftwareby clicking on Save As.

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Submitting Results toDOLAdding CommentsYoucanadd comments to yourRVand sample results before transmitting themto DOL by using the Comments button at the bottom of the RV and samplescreens.To add comments, follow the steps below.1 Click on the Comments button. In the RV, the Comments button is

located at the bottom of the screen.

In the sample screen, the Comments button is displayed at the top andbottomof the screen. Click on either one.

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2 Write your comments in the comment box and click Save. You have a limitof 512 characters.

3 Close the comments windowby clickingon theX locatedon the toprightcornerof the window.

The Clear button at the bottom of the Comments screen will erase thecomment box. The Reset button will erase any additional commentswritten after the comments were last saved.

TransmittingResultsAfter you complete RV and DEV, you can transmit the results to DOL with orwithoutcomments. Only completedand conclusive sample investigations canbetransmitted. Results are transmitted independently for RV and DEV individualsamples.

i li i l i i

lati l be l l lation isi i i

Youmay choosenot tosubm t theresu ts of avalidationexercise, butkeep n m nd that any resu ts res dent n the software for a givenpopu on wil ost when a new extract fi e for that popu

mported and overwr tes pr or data.

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it l ly i ii ion indivi

is i to DOL. is ivei i

i i l l li i

i i lati ldi i

i

When you transm resu ts to DOL, on summary nformat on andcomments are transm tted. Detailed informat from dualrecords not transm tted Th means that sensit

nformat on, such as SSNs, stays at the statelevel.

DEV and RV validat ons for a g ven popu ation shou d preferab y beperformed us ng the same extract file. However, f the same extractfile s not used, then the latest subm tted RV for a popu on shou

be froma laterper od than theperiodused forallDEVsamples subm tted forthat populat on.

You can forward RV and DEV results to DOL using the Transmit button at thebottom of the Report Validation and Sample Validation screens. Submissionsare transferred to DOL

overnight, so they will

be received the next day. To submitresults along with comments saved if any, follow the next steps.

1 Click on the Transmit button. In the Report Validation screen, theTransmit buttonis located atthe bottom of the screen

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In the Sample Validation screen, the Transmit button is displayed at thetop and bottomof the screen. Click on either one.

2 Click OK on the pop up window if you want to transmit the results. ClickCancel if you dont.

You will get a popup window confirming youraction. Click OK.

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When you return to the Benefits Selection Criteria screen, the Last RVTransmit date should reflect the date when you last transmitted the RVresults to DOL and the Last DEV Transmitdate should reflect the date youlastsubmitted results forany of thesamples. If youhaveneversubmittedresults thefield would display Never.