H-1B PERFORMANCE REPORTING FAQ

Transcription

1 H-1B PERFORMANCE REPORTING FAQ H-1 B Technical Skills Training & Jobs Accelerator Grants June 2013 FREQUENTLY ASKED HUB REPORTING QUESTIONS The following questions, or some version of these questions, were posed during our Adventures in H-1B Performance Reporting HUB System Preview and Tutorial Webinar on May 31, The questions are grouped by main topics and sub-topics including: I. General Questions II. Process Questions III. Collecting/Reporting Data Questions IV. Data Element Questions V. H-1B SGA Guideline Questions Please let us know if you have additional questions by sending an to dsi@dol.gov or jobs.accelerator@dol.gov with a CC: to your FPO. Thank you! I. GENERAL QUESTIONS QUESTION: When will the webinar slides be available? ANSWER: The HUB Performance Reporting System Preview and Tutorial for H-1B Grantees webinar recording, PowerPoint slides and transcript are available in the H-1B Grantee Community of Practice (CoP): /info QUESTION: How do I know what cohort I m in to upload files to HUB? Cohort 1: Jobs Accelerator (JA) Round 1 Grantees Cohort 2: Technical Skills Training (TST) Round 1 Grantees Cohort 3: Technical Skills Training (TST) Round 2 Grantees Cohort 4: Jobs Accelerator (JA) Advanced Manufacturing Grantees Performance Reporting Resources Posted on the H-1B Grantee Community of Practice (CoP) Have you reviewed these resources? These documents may already have the answer you are looking for! H-1B Reporting Handbook v3.2 - NEW! H-1B Data Elements and Edit Checks Jan Tip-Sheet: Performance Quick Start Guide H-1B Tip Sheet: Data Files and Records HUB System Sample Data Files H-1B JA Reporting Documents (for JA grantees only) H-1B TST Reporting Documents (for TST grantees only)

2 QUESTION: How can I tell if I'm in Round 1 or 2? ANSWER: Below indicates when your grant period of performance date begins and aligns with your grant round. If you are still unsure your round, please contact your Federal Project Officer (FPO) TST Round 1: November 2011 TST Round 2: April 2012 JA Round 1: October 2011 JA Round 2 Adv. Manufacturing Round 2: November 2012 QUESTION: What is the upload timeframe for each Cohort? ANSWER: ETA/DSI anticipates initial file uploads and certification of all reports retroactively will take some time and will continue through August. All Grantees will receive a notification with details on how and when Grantees can access HUB. Soon after you receive these instructions, your Grant Authorized Representative will receive an with a PIN to certify reports and a Password to access HUB. Our goal is to have each grantee completely comfortable with uploading files and narrative reports, certifying reports, and ready to submit their next Quarterly Reports, due August 14th, directly into HUB. During this period you will be able to upload and re-upload files as many times as you like. However, once a QPR form is generated and certified, you will need to contact the ETA Helpdesk to reupload an amended file. QUESTION: Who will the instructions be mailed to? ANSWER: The Division of Strategic Investments (DSI) maintains a Grantee staff contact list. instructions on when and how to upload data to HUB will be sent to contacts on this list. If you have new staff that need to be added to our contact list, please send an to the appropriate mailbox listed below along with the Name and Number of your Grant, the persons' Name and Job Title (i.e. Program Manager, Data Manager) with a copy to your FPO. Please also include New Grant Contact in the subject line. dsi@dol.gov or jobsaccelerator@dol.gov QUESTION: How do I get a PIN and Password? ANSWER: Your Grant Authorized Representative will receive an (generated by HUB) with a PIN to certify reports and a Password to access HUB. Your Grant Authorized Representative is authorized to share the Password with Grant staff assigned to access HUB to upload data files and narrative reports. QUESTION: What is the schedule for HUB Office Hours? ANSWER: You will receive an with instructions on when your cohort will gain access to HUB and information on HUB Office Hours. 2

3 QUESTION: Who do we contact if we have technical issues with HUB? ANSWER: For all technical questions contact the ETA Help Desk at (202) or II. PROCESS QUESTIONS H-1B Quarterly Report Submission to HUB Questions QUESTION: What exactly do we submit to HUB? ANSWER: Grantees will submit each quarter 1) Narrative Report AND 2) a data file. The data file will generate the Quarterly Progress Report (QPR) Form # Both documents will need to be submitted before the grant Authorized Representative can certify reports and officially submit to DOL/ETA via HUB. For more information on H-1B reporting guidelines please review the H-1B Performance Reporting Handbook located here: QUESTION: Can we enter individual case files and notes into HUB? ANSWER: No, HUB is not a Case Management Information Collection System. Rather, HUB allows grantees to manage their case files as best suited to their needs and simply requires the data file or all participant records to be uploaded. HUB will then generate an aggregated summary of all quarterly data each quarter and produce a Quarterly Progress Report (QPR) Form # Quarterly Performance Report (QPR) Form Questions QUESTION: Once we upload a data file, what does the HUB report look like? ANSWER: HUB will generate the Quarterly Performance Report (QPR) form using the same template grantees have already been using. This template is available on the H-1B CoP: o ETA H-1B QPR Form Quarterly Narrative Report Questions QUESTION: Can I access the narrative section before uploading my participant data files? ANSWER: Yes. HUB has four tabs that can be accessed at any time. They are: Grantee Data File, Quarterly Narrative Report, Certify, and QPR Generated Form. Once you log into HUB you will select the reporting date you are uploading/submitting reports for. QUESTION: If I m a Jobs Accelerator grantee, how does the IWP Report fit with the Narrative section of the HUB? 3

4 ANSWER: H-1B Jobs Accelerator Grantees will submit their IWP/QNR reports to HUB using the file upload function. Up to two additional documents that support your IWP/QNR may also be uploaded. III. COLLECTING/REPORTING DATA QUESTIONS Data File Questions QUESTION: What are data files? ANSWER: Data files are raw data files that contain participant records collected from each participant served using H-1B TST or JA grant funds. Each record will reflect activity for each participant based on the Data Elements and Edits Checks document provided. Please also refer to the H-1B Performance Reporting Handbook v3.2 for complete reporting requirements for this grant initiative. QUESTION: How and where are individual data files created? ANSWER: Grantees will use existing resources or develop their own internal Management Information System (MIS) /database system to track participant records as outlined in the Data Elements (DE) and Edit Checks document. Tracking systems that create participant records must have the capability to transfer data files into HUB using one of the following formats: csv, txt or dat. Please see the H-1B Tip Sheet: Data Files and Records for more information. QUESTION: What is CSV format? ANSWER: CSV means: Comma Separated Values. CSV format is one of three options you can use to convert your data file before uploading to HUB. HUB will only accept data files that are either CSV; TXT; or DAT formats. You can download a sample CSV file in the HUB System Sample Data Files section of the H-1B CoP. QUESTION: We are currently entering our data files into our Workforce One system. How do I as the submitter to HUB transfer between systems? ANSWER: Please ensure that your internal data management information system is capturing participant level information as outlined in the Data Elements and Edit Checks document. Your system should also have the capability to transfer your data into a csv, dat, or txt data file, which will be uploaded into the HUB System. QUESTION: Is there a DOL spreadsheet or template we can use? ANSWER: Sample forms and templates are available in the H-1B CoP. Sample HUB system data files are also available here: 4

5 Uploading Data File to HUB Questions QUESTION: Can I start testing the file upload function in HUB? ANSWER: Grantees will receive a notification with details on how and when Grantees can access HUB. Soon after you receive these instructions, your Grant Authorized Representative will receive an with a PIN to certify reports and a Password to access HUB. QUESTION: Can we do a test upload to check for errors before doing the actual upload? ANSWER: Yes. During this period you will be able to upload and re-upload files as many times as you like. However, once a QPR form is generated and certified, you will need to contact the ETA Helpdesk for permission to de-certify your submitted reports so that you may re-upload an amended file. QUESTION: Can data files be uploaded as one batch file? ANSWER: First you must select the quarter in which you are submitting the data file. Once selected, a data file may be uploaded that contains previous/cumulative information however; a QPR form will only be generated once per quarter. Therefore, if you are using the same file to generate multiple reports they still need to be uploaded independently for each reporting quarter. The QPR form will generate outputs based on activity dates in your data file. QUESTION: When we upload a data file into HUB, will new data on a participant override previously submitted data? ANSWER: Each data file submitted for your Quarterly Report will only read participant activity that occurred during that quarter. Therefore, data fields that were adjusted will not be recognized unless modified for the previous quarter. QUESTION: Does HUB assume [identify] only unique data each quarter? ANSWER: HUB will identify the data required for each quarterly reporting period in your data file using the data element code values provided by DOL. QUESTION: Will HUB accept multiple tabs for each quarter in an Excel file? ANSWER: No. HUB will only accept flat files that are in CSV, TXT, or DAT format. Multiple tabs and Excel files will not be accepted. QUESTION: We have continual data in Excel, how do we break it out for quarterly submission? 5

6 ANSWER: It is not necessary to break out quarterly data unless this is part of your programs performance management. Ideally, each file will be updated each quarter with new services/activities for current participants or new entries for new participants. Data Submission Questions QUESTION: Do we only submit new information when previously reported participants receive services in a new quarter? ANSWER: This will vary depending on your file structure and case management system. However, assuming your original file is an excel data file that you will convert into a csv, txt, or dat format each quarter, then the following would apply. Each quarter you will update services and activities provided to your participant during the reporting quarter. This will be updated each quarter. If no new activity occurred, no new entries for that participant will be reflected. QUESTION: Do we upload the whole data file every time? ANSWER: This is optional. You may upload a data file that contains only the current quarter's information or, the entire data file from the start of the grant. Only information and activity recorded for the current quarter will apply and add towards your cumulative-to-date count. If amendments were made for a previous quarter you may need to recertify your previous quarter's QPR form before generating and certifying your current quarters report, otherwise errors may occur. QUESTION: Do we need to upload data for past quarters individually? ANSWER: Once you access HUB for the first time you will need to begin to upload data files that contain information from the beginning of your grant - the first date you started serving participants. Beginning with your first data file, you will generate a QPR form which your Authorized Representative will then certify. QUESTION: How is the data validated? ANSWER: The system will perform a Format Check and an Edit Check. If no errors are identified and the data file is successfully uploaded, a QPR form will be generated. QUESTION: Will we get to see the final QPR form before it is submitted? ANSWER: Yes. To view the QPR form for accuracy, go to the 4th tab, "QPR Generated Form." Be sure to check the form to make sure it accurately reflects the data you submitted before it is certified by your Authorized Representative. QUESTION: What do we do when the data is formatted correctly and the system says there is a format error? 6

7 ANSWER: If technical errors occur, please contact the ETA Help Desk at (202) or Please always include your Grant Name, Number along with a Contact Name and Number/ where you can be reached. Please review both the Format Error Report and/ or Edit Check Report to help reconcile errors before contacting the Help Desk. QUESTION: How do we amend previously reported information? ANSWER: If a submitted data file is incorrect and a QPR form is generated but not certified, you can continue to upload a data file for the reporting quarter until your QPR form is accurate. If a submitted data file is incorrect and a QPR form has been generated and certified, please contact ETA Help Desk at (202) or EBSS.Help@dol.gov. Please always include your Grant Name, Grant Number and a Contact Name and Number/ . IV. REPORTING DATA ELEMENT QUESTIONS What are Data Elements Questions QUESTION: Will there be a Q&A session on Data Elements? ANSWER: Please contact your Federal Project Officer (FPO) to arrange a conference call with the DSI Performance Team to discuss your specific concerns. You may also utilize the HUB Office Hours to discuss specific data element questions. QUESTION: Are there more detailed Data Definitions available? ANSWER: Please refer to the following documents: H-1B Performance Reporting Handbook v3.2; H-1B Data Elements and Edit Checks; tip sheets; and other resources on the H-1B CoP. QUESTION: Which fields are mandatory? ANSWER: All data elements should be collected however, some may not apply to certain individuals you serve. If a data element is mandatory it will be indicated on the Data Elements and Edit Checks document in the Edit Check Logic column. QUESTION: What's the difference between entered values "9" and "blank"? ANSWER: Each data code value has a specific value associated with it. Use these codes to identify how to record a participant s information. For example, if a participant was asked to identify their gender but did not disclose this information, then Data Element (DE 104) would record "9". 7

8 "Blank" could have several meanings depending on the Data Element (DE) it's associated with. For example, it could mean an individual is no longer a participant, or it could mean a participant didn't have information to record for that data element this quarter. Please check the code value to enter the correct information. HINT: Make sure you don't mix up the values "0" with "blank". They may have very different values depending on the DE. Reporting Incumbent Worker Data Element Questions QUESTION: How do we report data elements that relate to incumbent workers if we don't serve incumbent workers? ANSWER: Only record outcomes that are relevant to your participants served. If your grant is not serving Incumbent Workers you will leave correlating data elements blank. Reporting Education Level Data Element Questions QUESTION: How do we handle participants who will not disclose their education level? ANSWER: You may leave the data element blank if the participant did not disclose the furthest education completed. *Please note you may be required to confirm how you determined a participant was eligible to receive program services and note this determination in a case management file. Reporting Training Program Data Element Questions QUESTION: If the training starts before upload and will not be completed until after upload occurs do we leave the field blank? ANSWER: Data should be recorded and submitted during the applicable reporting quarter. For example, all activity that occurred between January 1, 2013 and March, will be submitted in your May 15, 2013 data file. Data for this sample quarter should not be collected and/or entered into HUB prior to March 31st. QUESTION: How do we report multiple (more than 3) training or course completions in a quarter? ANSWER: All additional training and credentials that aren't captured using the data elements provided can be reported in your Quarterly Narrative Report. You may also want to include a simple chart that indicates the types of training and credentials earned and the ratio between individuals and credentials earned. The Quarterly Narrative Report (QNR) is a great place to provide any additional information you feel highlights your programs activities and outcomes that aren't reflected in the data collected by DOL/ETA. QUESTION: I'm having trouble reporting training types (contextualized, incumbent, classroom, online) for my participants? 8

9 ANSWER: Record only the training types that apply. For example, your grant will either record OJT or some other training combination for these grants. Think of the data elements as a series of questions. Does this apply? Yes, no? If neither, then leaving the data field blank may be applicable. If training consists of multiple strategies such as classroom and contextualized learning, then enter the primary training source as your primary, and the secondary training method as your secondary training. Reporting Social Security Number (SSN) Data Element Questions QUESTION: Is Social Security Number (SSN) (DE 101) a mandatory field? ANSWER: Yes. A code value must be entered into this data field. Either a valid SSN or (= individual did not disclose). QUESTION: Can we use an alternate coding number instead of SSN? ANSWER: Yes = individual did not disclose. QUESTION: If we can use an alternate coding number, what should we use? ANSWER: Use = individual did not disclose. QUESTION: Can wages earnings and wage increases be captured without providing SSN's to DOL? ANSWER: No. DOL ETA Common Measures can only track a participant s wage earnings and wage increases using a valid participant SSN. If a valid SSN is not provided, common measure outcomes for those participants will not count against a grantee s performance outcome. QUESTION: How do we handle participants who will not disclose their social security numbers? How do we address participants concerned about sharing SSN with training providers? ANSWER: Providing a Social Security Number (SSN) is voluntary; failure to disclose a SSN will not result in the denial of any right, benefit or privilege to which the participant is entitled. If your participants have concerns about sharing SSN with your training providers, they may feel more at ease if you explained the reasons for collecting this information. Please refer to the H-1B Performance Reporting Handbook - Technical Assistance Tips on Collecting SSN s from Program Participants (Section 2.3B - Page 7) for helpful tips.. Reporting Exit Status Data Element Questions QUESTION: When reporting exiters, do we use the actual date of exit or the date of the 90th day? ANSWER: You only need to record the date the participant exits your program. If the date of exit entered is prior to the date of program completion this may cause an error. If an exit date exceeds 90 days from program completion then a reason for exit will need to be applied. 9

10 Exception for Incumbent workers as outlined below: Incumbent workers with a training and career plan that requires a gap in service longer than a 90 consecutive day period between training activities and any other grant-funded services, AND is planned to enroll in future H- 1B grant-funded training, do not need to be exited from grant-funded program activities. If the above applies, a gap in training may exceed 90 days and not result in program exit. QUESTION: What happens if a participant completes all program activities and a date is entered but 90 days passes without an exit date? ANSWER: Grantees should exit the participant by entering the date of the last program activity in Data Element 302 Date of Exit. Only participants that are exited from your program will be included in Common Measures Results. QUESTION: How do we track participant information after they exit/complete the program? ANSWER: Please refer to the H-1B Performance Reporting Handbook for clarification on the definitions between an exiter and a program completer. If a participant has completed a training program, grantees should continue to track participants in order to capture job employment placement and retention outcomes for up to three reporting quarters. V. H-1B SGA GUIDELINE QUESTIONS Grantee Responsibility for Maintaining Data Questions QUESTION: What are the guidelines for maintaining data at the grantee site? ANSWER: Per Section VI.C.3 of the H-1B SGA and Section VII.F.2 of the Jobs and Innovation Accelerator Challenge and Section VII E.4 of the Advanced Manufacturing Jobs and Innovation Accelerator Challenge FFO, ETA Reporting Requirements, Record Retention, it is the responsibility of the Grantee to maintain participant records for not less than three years from the time of final grant close-out. Case files will need to be accessible to Federal Project Officers (FPO) during site visits. Applicants must follow Federal guidelines on record retention, which require grantees to maintain all records pertaining to grant activities for a period of not less than three years from the time of final grant close-out. QUESTION: Once the participant data is uploaded to HUB, is there any reason for the participant information to be maintained by the Grantee? ANSWER: Yes. It is the responsibility of the Grantee to maintain participant records for the entire grant period of performance. Case files will need to be accessible to Federal Project Officers (FPO) during site visits. 10