UIPL_11-18_Change_1_Attachment_I_.pdf

ETA Advisory File Text

U.S . Department of Labor Employment and Training Administration Form ETA 9177 OMB Control No. 1205-0527 Expiration Date 06 30 2023 ATTACHMENT I Unemployment Insurance UI Information Technology IT Modernization Pre-Implementation Planning Checklist Report Version 1 U.S. Department of Labor Employment and Training Administration Form ETA 9177 Attachment I-1 U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-2 UI IT Modernization Pre-Implementation Planning Checklist Report State Name Date of Submission Project Name Scheduled Go Live Date Contact Information Name Title Address Phone Number. Email Address Summary of Project U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-1 Unemployment Insurance UI Information Technology IT Modernization Pre- Implementation Planning Checklist Version 1 1. Functionality and Workarounds Ensure all functionalities are fully available and operational preferably with no high or critical defects . If a functionality is not fully available an interim workaround should be in place with a plan to quickly fix the defects especially ones that are deemed high or critical. Workarounds should be minimized fully tested and exercised with the staff for any system functionality that is deferred or necessary to address known system issues. 1.1. All Benefit functions have been fully tested including all service channels such as web mobile telephone etc. and are fully operational unless work around s have been planned for and tested including but not limited to 1.1.1. Claims Filing For all supported programs Regular UI Unemployment Compensation for Federal Employees Unemployment Compensation for Ex-Servicemembers Combined Wage Claim Disaster Unemployment Assistance Trade Readjustment Allowances any extensions etc. 1.1.2. Monetary determinations and monetary re-determinations 1.1.3. Non-monetary determinations Separation and non-separation issues including automated holds are flagged for adjudication. The effects across Benefits Year Beginnings especially involving converted claims claims migrated from the legacy to the new system and Benefit Charging non-monetary scheduling of issues as applicable have been thoroughly tested 1.1.4. Continued Claims processing 1.1.5. Benefit payment mechanisms including as applicable direct deposit debit card and checks 1.1.6. Benefit Payment Control functions and other processes associated with prevention detection and recovery of improper and fraudulent payments and 1.1.7. Claimant account portals and or maintenance including password reset functionality as applicable 1.2. All Tax functions have been fully tested unless work around s have been planned for and tested including but not limited to 1.2.1. Employer Registration U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-2 Initial registration and Updates to Employer Registration 1.2.2. Employer liability determinations including reimbursable employers and employer status change 1.2.3. Employer audit 1.2.4. Tax rate computation 1.2.5. Employer delinquency enforcement 1.2.6. Employer tax and wage report and input processing 1.2.7. Tax collections 1.2.8. Tax refunds overpayments 1.2.9. New business registration and 1.2.10. Quarterly tax filing data entry 1.3. All Appeals functions such as automated filing of appeals hearing notices hearing decision correspondence etc. have been fully tested 1.4. All Reporting functions have been fully tested unless work around s planned for and tested including but not limited to 1.4.1. Federal reporting functions including UI Required Reports Benefits Accuracy Measurement and UI Data Validation and 1.4.2. UI program management reporting functions such as tracking of initial and continued claims by age management dashboard and ad hoc and system logging reports 1.5. All Interfaces external and internal have been fully tested unless work around s have been planned for and tested including but not limited to 1.5.1. Interfaces with call center operations e.g. screen pop Interactive Voice Response IVR . Recovery procedures are established and proven in the event that an interface is down fails 1.5.2. UI Interstate Connection ICON network interfaces including Social Security Administration cross-match 1.5.3. Treasury Offset Program interface with the Internal Revenue Service U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-3 1.5.4. Connectivity with the UI Integrity Center s Integrity Data Hub 1.5.5. National Directory of New Hires interface with Department of Health and Human Services 1.5.6. State Information Data Exchange System interface with Employers and 1.5.7. Other external interfaces and extracts such as those required to retrieve wage record data and quarterly employment and wages statistics Quarterly Census of Employment and Wages QCEW Local Area Unemployment Statistics LAUS and Longitudinal Employer-Household Dynamics microdata and automatic cross matches for identity or other integrity purposes 1.6. All Testing has been completed including but not limited to 1.6.1. System generated forms and correspondence have been fully tested including any configurability mechanisms and multiple language implementations 1.6.2. All user roles have been tested and users with appropriate permissions can easily change staff role assignments directly in the application 1.6.3. Printing processes have been fully tested including Verification of printer tap test requirements have been met including cartridge nozzle performance and printer internal firmware functionality Verification of a process in place to do manual intervention for letters and payments and Verification of mailing addresses and proper display of United States Postal Service barcodes in window envelopes multiple pages per envelope are possible and that printers can handle duplex printing conservation of resources 1.6.4. Imaging and scanning as needed have been fully tested. Sufficient storage capacity has been provisioned All legacy system image files have been successfully migrated as applicable Indexing has been tested and validated Optical Character Recognition has been tested and validated as applicable and Imaging system recovery from failure has been tested to ensure critical customer services are not impacted 1.6.5. Batch Processes including execution timelines have been fully tested as outlined below U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-4 Batch processes have been executed for at least a week to ensure that all links are pointing to the correct places all jobs run as expected and produce expected results Batch processing should be completed within a designated amount of time Batch processing remediation and recovery of failures have been tested and validated Weekly monthly quarterly and annual batch process have been tested and validated If possible a mock execution has been conducted by states for at least a week with manufactured data to simulate three times the expected load in order to ensure system readiness Time travel aging test data has been incorporated as part of system testing and User Acceptance Testing UAT If the testing can be done in an enterprise test environment production like interaction between systems via interfaces and web services has been simulated to provide insight into potential bottlenecks or issues before launch and After testing ensure that any environment configuration file s have been updated for production 1.6.6. Pilot the process during final testing for reporting system issues 1.7. Workflows have been verified and adjusted by conducting thorough review of system-generated issue flags triggers to ensure they are necessary and are not creating false issues. This effort should include 1.7.1. Monitoring workflow work items in new system and ensure proper staff coverage on all queues 1.7.2. Ensuring the capability to either migrate work items or have a process to identify unprocessed semi processed work on the new system and 1.7.3. Addressing and closing as many work items as possible across all functions before go-live 1.8. System issue handling processes have been established practiced before go-live and are in operation in order to 1.8.1. Ensure processes are in place to identify track and address system errors 1.8.2. Develop procedures to document and communicate any system work-around or resolution and 1.8.3. Ensure system error messages are understandable and have been fully tested before go-live . U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-5 2. External Alternate Access Options and Usability Issues Addressed 2.1. Alternative Access Options are made available in compliance with ETA guidance including alternative access options for individuals with barriers to filing by phone or on- line such as those with Limited English Proficiency disabilities literacy issues including computer literacy and computer access issues 2.2. Websites and other forms of communications like brochures and posters are in place which clearly identify alternative access points that effectively communicate to the populations with barriers described in section 2.1 2.3. All staff have been fully trained on how to assist individuals with access barriers on using alternative filing options 2.4. Staff and customer system access to new system has been defined with outreach to all customers regarding access changes prior to going live including processes to migrate existing credentials and or establish new credentials 2.5. New credentials are clearly described to the customer when attempting to first access the new system. If security questions or knowledge base authentications are used for self-services industry best practices should be followed. If email accounts are used as the UserID for self-services login the state has provided mechanisms for customers to easily create an email account if they do not have one and 2.6. Ensure usability and access including 2.6.1. Compliance with the Americans with Disabilities Act including meeting 508 compliance standards for hardware software websites and documentation 2.6.2. Website content has been translated for identified significant population language groups within the state including correspondence as applicable 2.6.3. Relevant state standards and other standards such as Web Content Accessibility Guidelines have been incorporated 2.6.4. On-line content is clear understandable and at appropriate reading level preferably tested by appropriate customer population 2.6.5. Websites provide information on alternative access for individuals with barriers and 2.6.6. IVR phraseology and messages are clear and understandable. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-6 3. Policies and Procedures Ensure policies and procedures have been developed completed and disseminated including 3.1. Policy and procedural changes coinciding with UI system modernization 3.2. Policies for data security including those for handling privacy and confidential data 3.3. Policies for data retention and data disposal 3.4. Staff has been fully trained on new policies and procedures 3.5. Any updates to organizational structure have been coordinated with human resources department and disseminated agency-wide 3.6. Any new or modified roles have been clearly defined and staff have been appropriately trained and 3.7. Disaster Recovery DR plan is in place and the Recovery Time Objective and Recovery Point Objective have been established and disseminated. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-7 4. Technical Preparation for System Implementation Ensure the technical preparation for system implementation is completed prior to go-live including 4.1. Data architectures data structures have been addressed and documented. Internal and external data users have been consulted in the development of new data structures 4.2. Data conversion is complete and successful including 4.2.1. State policies and procedures have been followed to inform migration strategy of data to the new system and backlogs are addressed prior to initiating data migration process 4.2.2. Data model diagram entity relationship model of the legacy system and the new system have been completed 4.2.3. System design document s technical design document s and related artifacts have been completed and reviewed for completeness 4.2.4. New system results checked and reconciled against legacy system results 4.2.5. Spot checks have been completed for particular areas of interest such as overpayments certifications employer charging ICON Billing IB6 and accounting balances 4.2.6. System blackout period has been benchmarked if appropriate with notification and messaging to customers in advance 4.2.7. Multiple successful data conversions including record count verifications and Extract Transform Load final load benchmarking have been completed and process lockdown is in place before going live and 4.2.8. Financial reporting has been thoroughly tested and validated as Trust Fund Financial staff interactions are critical 4.3. Independent Verification and Validation has been conducted as needed 4.4. Bridging processes protocols between applications systems are in place as needed for example new benefits system integrated with legacy tax system or the inverse 4.5. User roles have been well-defined configured and set-up in the system. The use of excessive amount of roles in the system should be avoided in order to ensure a coordinated workflow process 4.6. Comprehensive UAT has been performed including U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-8 4.6.1. UAT has been conducted with positive results and conducted again following any additional system changes 4.6.2. System defects were systematically tracked and remedied 4.6.3. Defect tracking and remediation processes are in place post go-live in conjunction with development vendor along with applicable service level agreements SLAs for response times and fix turnaround times 4.6.4. System help has been verified e.g. page level field level and 4.6.5. Logging and exception handling have been verified including any tool used for mining application logs 4.7. Capacity has been developed to rapidly identify system flaws and make immediate fixes. Hot fix procedures are established exercised and validated 4.8. Contingency Back-up plan is in place if new system fails particularly if no overlap of legacy and new system at go live point 4.9. If a DR site is in place and available testing and validation of the DR site has been conducted 4.10. Incoming phone capacity lines and staff have been adjusted for anticipated increases in call volume including 4.10.1. Call Centers as applicable and 4.10.2. Any other Agency unit staff that will conduct triage of system issues with customers 4.11. Go-live decision points show stoppers have been outlined and continue to be followed 4.12. System performance has been checked under peak user loads including complex transactions prior to go-live 4.13. System availability testing has been conducted including 4.13.1. Demonstrated system availability under heavy loads for sustained period of times and 4.13.2. Monitoring of computing resource consumption processors memory input output etc. 4.14. System operations reporting is available including management dashboard ad hoc reports and system logging and audit trails as needed U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-9 4.15. Production configuration is defined and in place 4.16. Automated production build testing production environment promotion process is in place for post-deploy defect fixes and enhancements 4.17. System security has been tested and validated including 4.17.1. Verification and validation of Data and System security 4.17.2. Verification of other internal system controls in order to ensure security and confidentiality of data and 4.17.3. Security Penetration and or Performance Testing has been conducted 4.18. Business knowledge has been successfully transferred to appropriate agency staff to operate the system including role management configuration settings and management dashboards and reporting 4.19. End user support problem reporting and resolution protocols are in place 4.20. IT knowledge transfer has been completed in order for agency to maintain and support the system. System performance benchmarks documented during build and start early have been used by IT staff to complete configuration programming changes to support performance and system expectations not just help vendor and 4.21. Transition planning and execution concerning post-warranty or maintenance phase has been validated with vendor. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-10 5. Call Center Customer Service Operations Ensure Call Center Customer Service Operations strategies are in place including 5.1. Call center standard operational procedures adapted as appropriate 5.2. Call center staff and or customer service representatives CSRs have been fully trained including 5.2.1. CSRs agents have participated in system UAT 5.2.2. CSRs agents supervisors and managers have been trained in the use of the new system 5.2.3. Staff have been cross trained for use augmentation particularly to manage inquiries 5.2.4. Project staff have been assigned embedded into the customer service operations for at least the first few weeks in order to help the team transition to the new system support procedure and 5.2.5. Call center staff have been included in the triage calls for the first few weeks after going live 5.3. Modernization system and operations help desk information have been provided to all front-line CSR staff 5.4. Front-line and management staff know triage process when system issues arise and issue escalation processes have been clearly defined and understood by staff and 5.5. Team meetings are scheduled daily and as needed to address 5.5.1. New system issues 5.5.2. Customer complaints and 5.5.3. New operational or procedural issues. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-11 6. Business Process Ensure new business processes have been established staffed and that staff have been fully trained on any all new system operations 6.1. Business processes and standard operating procedures have been developed and made available to all staff to enable them to understand how the new system has changed their work processes 6.2. Roles responsibilities have been fully defined prior to go-live 6.3. Staff have been trained on new business processes and roles and responsibilities 6.4. Training materials and tools to support new business processes desk guides handbooks etc. have been fully developed and provided to management and staff. A final training session where practice on production work happens to uncover potential skill gaps and also possible conversion issues has been conducted 6.5. Service delivery strategies have been clearly identified made known to staff and fully communicated to customers 6.6. Management and staff have been fully trained on new system features and operations broadly as well as in relation to their specific job responsibilities including 6.6.1. Training that covers refresher information on program knowledge 6.6.2. Training or refresher training has been scheduled as close to go-live as possible and 6.6.3. Recognition that people learn at a different pace if the training material is online or interactive ensure the resources are made available to staff for self-learning after formal classes are complete 6.7. Additional staffing needs have been identified secured to address new system implementation including 6.7.1. Call center s calls can dramatically increase during a conversion 6.7.2. Adjudication staff modernized systems tend to contain more automated flags that raise issues requiring adjudication 6.7.3. Appeals staff the number of appeals may increase following a conversion as a result of newly automated processes which may impact claimants benefits or employers liability 6.7.4. Other support functions such as integrity-related activities and U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-12 6.7.5. Advance identification and clarification of roles for the members of the triage team e.g. Frontline and Management staff Help Desk staff Call Center staff Vendor Labor Market Information LMI staff etc. . U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-13 7. Help Desk Ensure Staff and Help Desk Support is available including 7.1. Key staff have been put on alert and made available during critical times of conversion and deployment 7.2. Procedures have been established for escalation processes triage processes for addressing system technical functional issues communication channels and coordination with Call Centers as applicable 7.3. Dry-runs of procedures with Help Desk staff have been conducted including 7.3.1. Project staff have been embedded into the help desk team to help the team transition to support the new application and answer questions etc. and 7.3.2. Help desk staff is included in the triage calls 7.4. Help Desk is adequately staffed with modernization testers including 7.4.1. Subject Matter Experts Business Analysts and Project Team members 7.4.2. Subject Matter Experts have been assigned for every 10-15 people in the State Agency in order to assist with questions and training and 7.4.3. Laptops have been distributed to modernization testers Subject Matter Experts to report any findings 7.5. Contact information has been published and disseminated to appropriate personnel including LMI staff 7.6. Procedures to categorize and track system issues based on help requests are in place e.g. credential access issue performance questions needing clarification etc. and 7.7. Ensure Help Desk is available to support staff. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-14 8. Management Oversight Ensure management oversight is delivered including 8.1. Managers have been fully trained on management features and reporting processes in the system including those for LMI and Bureau of Labor Statistics BLS to ensure that state unemployment and employment statistics can continue to be provided to the state 8.2. Managers have been prepared to support staff if system issues arise 8.3. Additional management meetings are scheduled during transition to identify and resolve issues and 8.4. A support group for managers has been established to share information and relearn how to do their job functions using the new system. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-15 9. Vendor Support Communications Ensure vendor support and communications has been established including 9.1. Process for addressing post implementation system fixes with vendor is in place prior to implementation 9.2. Process for tracking system and post-implementation system issues is in place 9.3. Routine daily meetings with the vendor during transition has been scheduled to identify and prioritize system issues for as long as needed 9.4. Process is in place to track the implementation of deferred functionalities 9.5. The hand-off process for identified incidents issues changes bugs to the vendor is clear and is understood by all parties 9.6. Systems are in place to track the post-implementation support criteria and SLAs defined in the contract and 9.7. The triage process has active vendor engagement. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-16 10. Communication Processes and Procedures Ensure communications processes and procedures have been established including 10.1. Staff Communications including 10.1.1. Both UI and non-UI staff e.g. LMI staff have been included in the communications throughout the project 10.1.2. Staff have been fully briefed on implementation plan in addition to being fully trained and 10.1.3. Staff have been provided with clear instructions on how to handle system issues if they arise 10.2. Claimant and Employer Communications including 10.2.1. Employer and Claimant outreach regarding roll-out of new system 10.2.2. System go-live date disseminated 10.2.3. System black-out period if needed and methods of conducting business during this phase has been clearly communicated to staff and customers 10.2.4. Agency contact information has been widely disseminated 10.2.5. System how-to information has been provided to staff and customers and 10.2.6. Processes have been made available to support communication with individuals with limited English proficiency and staff are trained on these processes 10.3. Public Communications have been issued prior to go-live point as well as periodically during startup including 10.3.1. State stakeholders have been notified in advance i.e. Governor s office Legislative Services and partner agencies 10.3.2. System go-live date has been disseminated 10.3.3. System black-out period if needed has been communicated 10.3.4. A plan has been established to address potential issues ad-hoc inquiries at the time of launch and 10.3.5. A plan has been put in place to handle the press media for a successful launch as well as for any unforeseen issues causing the launch to not go as planned. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-17 11. Labor Market Information LMI Federal Reporting Ensure LMI federal reporting functions have followed nationally standardized specifications available at https www.bls.gov cew unemployment-insurance-modernization home.htm tested validated within project timelines and are fully operational including 11.1. LMI Notification 11.1.1. LMI has received advance notification of planning timetable for benefits and tax portions of the system implementation milestones and 11.1.2. LMI has been notified of go-live dates for benefits and tax systems 11.2. LMI Participation 11.2.1. Discussions have occurred with LMI regarding any planned changes to UI numbering schemes data sources or computations 11.2.2. Collaboration has occurred with LMI on data uses and definitions to help with the development specifications Data dictionary mapping of the fields in the legacy UI system to the fields in the new system has been shared and discussed with LMI and Consultation with LMI on the definitions of employment and wages used in the new system 11.2.3. Any changes to the reporting responsibilities of employers have been developed in consultation with LMI and the outreach plan to employers has been shared with LMI 11.2.4. Periodic demonstrations of the parts of the system relevant to LMI have occurred as the new UI system progresses toward deployment with an opportunity for LMI staff to provide feedback on screens as they are developed and prior to go-live 11.2.5. Testing schedule has been discussed and agreed upon with LMI staff LMI staff has been allowed to parallel test the new UI systems as it progresses toward deployment and an opportunity to provide feedback on any identified issue and Issues identified by LMI during testing have been resolved prior to go-live 11.2.6. LMI has been granted the same level of access to the screens forms etc. in the new system as they had in the legacy system 11.3. Data Exchange 11.3.1. Collaboration has occurred with LMI concerning the rewrite of UI Tax and Wage U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-18 record extracts and 11.3.2. Extracts have been tested by LMI staff in order to ensure that it meets LMI requirements 11.4. Data Validation 11.4.1. Ensure LMI has completed data validation to produce LAUS and QCEW and 11.4.2. Ensure completion of LMI testing and validation of benefit claims data. U.S. Department of Labor OMB Control No. 1205-0527 Employment and Training Administration Expiration Date 06 30 2023 Form ETA 9177 Attachment I-19 Certification Certifying Official Name Title Signature Telephone Number Date Email Address