UIPL_11-18_Change_1 _acc.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION Unemployment Insurance CO RRESPONDENCE SYMBOL OUI Performance Management DATE RESCISSIO NS None EXPIRATION DATE Continuing ADVISORY UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 11-18 CHANGE 1 TO STATE WORKFORCE AGENCIES FROM JOHN PALLASCH Assistant Secretary SUBJECT Employment and Training Administration ETA 9177 Report - Pre- Implementation Planning Checklist Report for State Unemployment Insurance UI Information Technology IT Modernization Projects Additional Updates to the ETA 9177 Report and Reporting Instructions 1.Purpose. To announce the availability of ETA 9177 Report - Pre-Implementation Planning Checklist Report Version 1 revising the original version provided with Unemployment Insurance Program Letter UIPL No. 11-18 to assist state UI agencies in preparing to launch modernized UI IT systems that support administration of UI benefits and or tax systems. 2.Action Requested. ETA requests that state administrators provide this guidance including the attached ETA 9177 - Pre-Implementation Planning Checklist Report Version 1 and the accompanying Reporting Instructions to the appropriate staff including UI Directors and Chief Information Officers. 3.Summary and Background. a.Summary - This guidance announces the availability of the enhanced ETA 9177 Report for states to use. This updated version of the ETA 9177 Report improves the document s structure provides additional clarity on the verification steps for the ten existing project categories and adds a new category to address verification steps for labor market information LMI Federal reporting functions. Additionally the reporting instructions have been modified to address comments received from state agencies and other entities. b.Background - UIPL No. 11-18 issued on August 17 2018 announced the availability of the ETA 9177 Report - Pre-Implementation Planning Checklist Report and its associated Reporting Instructions. The ETA 9177 Report is a comprehensive checklist denoting critical functional areas that states should verify prior to launching a new IT system including but not limited to technical IT functions and UI business processes that interface with the new system. States are required to submit the completed ETA 9177 Report with any supporting documentation to ETA approximately 180 days 6 months prior to the state s projected implementation date. With this information ETA will be 2 able to identify any needed technical as sistance as states prepare for the implementation of a modernized system and have an assurance that the state s implementation will have a significant likelihood of being successful . Following the issuance of UIPL No. 11 -18 ETA received comments from s tate agencies and other entities recommending additional items to be include d in the checklist and seeking clarification on the instructions for using the Report . In addition the Bureau of Labor Statistics recommended an eleventh project category to addr ess LMI Fe deral reporting functions prior to launching a new IT system. ETA has enhanced the ETA 9177 Report and accompanying instructions to address the comments received . The list of critical areas identified in the enhanced ETA 9177 Report is now comp rised of the following eleven 11 Project Categories 1. Functionality and Workaround s 2. External Alternate Access Options and Usability Issues 3. Policies Procedures Development and Dissemination 4. Technical Preparation 5. Call Center Customer Service Operations 6. Staffing Staff Training on New System Operations 7. Staff and Customer Help Desk Support 8. Management Oversight 9. Vendor Support 10. Communications 11. LMI Fe deral Reporting Functions 4. Reporting . The information gathered in the ETA 9177 Report must be used by states to prepar e for the implementation of new UI IT systems and to ensure the availability of mission critical functions . The ETA 9177 Report is required when a state is modernizing a major component of a UI IT system or systems. A major component can be a full b enefits or tax system or it can be a significant component subset such as continued claims certification or adjudication. States may decide to do all systems at one time or use a modular approach to modernize. Any state that is preparing to launch a mod ernized system must certify that it has reviewed and accomplished the items detailed in the ETA 9177 Report or has a timely plan for doing so . If a section s of the ETA 9177 report is not applicable to the modernization project states must indicate tha t it is not applicable . If a section is left blank then it is deemed missing during ETA s review and the report will be regarded as incomplete . ETA will provide comments back to the state and will request the state to revise and resubmit the report. An ETA 9177 Report submission is not necessary when a state is merely upgrading sub - components of a system such as enhancing the front -end interface for claims intake . Other instances where a state is not required to submit an ETA 9177 Report include ong oing maintenance activities database upgrade IT server upgrades replacing an y obsolete hardware software etc . As specified previously in UIPL No. 11 -18 the ETA 9177 Report information must include a cover page state general information state name date of submission UI IT Modernization project name e.g. Consortium name contact information and a summary of the project and include the report on each of the UI IT Modernization Pre -Implementation Planning 3 Checklist Project Categories . Each Pro ject Category has associated sub -elements. For every sub -element in the revised ETA 9177 the state must provide supporting content to demonstrate that it has addres sed the specific sub -element. A Certification is required at the end of the report. For each sub -element the state must address issue s including but not limited to the following An overall status report A brief report explaining the status of the project as it relates to the particular sub - element Explanations of any workaround solutio ns of the processes in the sub -element Explanations if implementation of the new system concerning processes for the sub - element will be delayed or deferred Explanations for added clarity and or to support a narrative Mitigation proposals for addressin g any problems New project timelines if applicable and or Any discussion of identified technical assistance needs for the successful completion of the project. This report is a narrative not a statistical submission therefore states will use a n ETA provided simple form template a Microsoft Word 2010 .doc found in Attachment I to prepare the ETA 9177 R eport . Once completed the ETA 9177 Report must be e -mailed to the appropriate ETA regional office. The ETA 9177 - Pre -Im plementation Planning Che cklist Report for St ate Unemployment Insurance UI Information Technology IT Modernization Projects has been approved by the Office of Management and Budget OMB in accordance with the Paperwork Reduction Act of 1995. The OMB Control Number is 1205 -0527 with an expiration date of 06 30 2023 . 5. Inquiries . Questions should be directed to the appropriate ETA Regional Office. 6. References . Section 303 a 6 Social Security Act 42 U.S.C. 503 a 6 Section 911 a Social Security Act 42 U.S.C. 1111 a 5 CFR 1320.5 UIPL No. 11 -18 ETA 9177 Report - Pre -Implementation Planning Checklist Report for State Unemployment Insurance UI Information Technology IT Modernization Projects August 17 2018 UIPL No. 22 -17 Unemployment Insurance UI Supplemental Funding Opportunity for State Consortia to Modernize Tax and Benefit Systems September 8 2017 UIPL No. 19 -16 Unemployment Insurance UI Supplemental Funding Opportunity for Improved Operations August 2 2016 UIPL No. 16 -15 Unemployment Insurance UI Supplemental Funding Opportunity for Program Integrity and Performance and System Improvements June 15 2015 Training and Employment Notice TEN No. 28 -14 Pre -Implementation Planning Checklist for State Unemployment Insurance UI Information Techn ology IT Modernization Projects March 27 2015 4 UIPL No. 13 -14 Unemployment Insurance UI Supplemental Funding Opportunity for Program Integrity and Performance and System Improvements June 16 2014 UIPL No. 24 -13 Unemployment Insurance UI Suppl emental Funding Opportunity for Program Integrity and Performance and System Improvements July 25 2013 UIPL No. 18 -12 Unemployment Insurance UI Supplemental Funding Opportunity for Program Integrity Performance and System Improvements May 11 2012 and UIPL No. 26 -11 Unemployment Insurance UI Supplemental Funding Opportunity for Program Integrity and Performance and System Improvements July 18 2011 . 7. Attachment s. Attachment I Unemployment Insurance UI Information Technology IT Moderniza tion Pre -Implementation Planning Checklist Report Version 1 Attachment II Unemployment Insurance UI Information Technology IT Modernization Pre -Implementation Planning Checklist Report Instructions