UIPL 11-18 Change 2.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION Unemployment Insurance CORRESPONDENCE SYMBOL OUI DPM DATE February 2 2024RESCISSIONS None EXPIRATION DATE Continuing ADVISORY UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 11-18 CHA NGE 2 TO STATE WORKFORCE AGENCIES FROM BRENT PARTON Principal Deputy Assistant Secretary SUBJECT Extension of the Employment and Training Administration ETA 9177 Report Pre-Implementation Planning Checklist Report Version 1 f or State Unemployment Insurance UI Inf ormation Technology IT Modernization Projects 1.Purpose. To advise states that in accordance with the Paperwork Reduction Act of 1995 the Of f ice of Management and Budget OMB has approved the extension of the ETA 9177 Report Pre-Implementation Planning Checklist Report Version 1 through July 31 2026. There is no change in the requirements of the approved collection. 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 staf f including UI Directors and Chief Inf ormation Of f icers. 3.Summary and Background. a.Summary The ETA 9177 Report Pre-Implementation Planning Checklist Report Version 1 assists state UI agencies in preparing to launch modernized UI IT systems that support administration of UI benef its and or tax systems. b.Background ETA issued Unemployment Insurance Program Letter UIPL No. 11-18 on August 17 2018 to announce 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 f unctional areas that states should verif y prior to launching a new IT system including but not limited to technical IT f unctions and UI busin ess processes that interf ace with new system s. States are required to submit the completed ETA 9177 Report with any supporting documentation to ETA approximately 180 days 6 months prior to a state s projected implementation date. With this inf ormation ETA will be able to identif y any needed 2 technical assistance and have an assurance that the state s implementation will have a signif icant likelihood of being successf ul. ETA issued UIPL No. 11 -18 Change 1 on July 16 20 20 to announce the availability of the enhanced report - ETA 9177 Report Pre -Implementation Planning Checklist Report Version 1 f or states to use. This updated version of the ETA 9177 Report improve d the document s structure provide d additional clarity on the verif ication steps f or the ten existing project categories and add ed a new category to address verif ication steps f or labor market inf ormation LMI Federal reporting f unctions. Additionally the reporting instructions were modified to address comments received f rom state agencies and other entities. The list of critical areas identif ied in the enhanced ETA 9177 Report is comprised of the f ollowing eleven 11 Project Categories 1. Functionality and Workarounds 2. External Alternate Access Options and Usability Issues Addressed 3. Policies and Procedures 4. Technical Preparation f or System Implementation 5. Call Center Customer Service Operations 6. Business Process 7. Help Desk 8. Management Oversight 9. Vendor Support Communications 10. Communication Processes and Procedures 11. LMI Fe deral Reporting Functions The OMB authorization of the ETA 9177 Report expired on June 30 2023. Recently OMB extended its authorization of the data collection under the ETA 9177 Report through July 31 2026. 4. Reporting . The inf ormation gathered in the ETA 9177 Report must be used by states to prepar e f or the implementation of new UI IT systems and to ensure the availability of mission critical f unctions . 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 f ull benefits or tax system or it can be a signif icant component subset such as continued claims certif ication or ad judication. States may use a modular approach to modernize a major component . Any state that is preparing to launch a modernized system must certif y that it has reviewed and accomplished the items detailed in the ETA 9177 Report or has a timely plan f or doing so . If a section of the ETA 9177 Report is not applicable to the modernization project states must indicate that it is not applicable. If a section is lef t 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. 3 An ETA 9177 Report submission is not necessary when a state is merely upgrading sub - components of a system such as enhancing the f ront -end interf ace f or claims intake . Other instances where a state is not required to submit an ETA 9177 Report include ongoing maintenance activities such as database upgrade IT server upgrades replacing an y obsolete hardware sof tware etc. As specif ied previously in UIPL No. 11 -18 the ETA 9177 Report information must include a cover page state general inf ormation state name date of submission UI IT Modernization project name contact information and a summary of the project and include the report on each of the UI IT Modernization Pre -Implementation Planning Checklist Project Categories. Each Project Category has associated sub -elements. For every sub -element in the ETA 9177 the state must provide supporting content to demonstrate that it has addressed the specif ic sub -element. A Certif ication is required at the end of the report. For each sub -element the state must address issue s including but not limited to the f ollowing 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 solutions of the processes in the sub -element Explanations if implementation of the new system concerning processes f or the sub - element will be delayed or def erred Explanations f or added clarity and or to support a narrative Mitigation proposals f or addressing any problems New project timelines if applicable and or Any discussion of identified technical assistance needs f or the successf ul completion of the project. This report is a narrative not a statistical submission theref ore states will use a n ETA provided simple f orm template a Microsof t Word 2010 .doc f ound in Attachment I t o prepare the ETA 9177 R eport . Once completed the ETA 9177 Report must be e -mailed to the appropriate ETA regional of f ice. The ETA 9177 Report has been approved by the OMB in accordance with the Paperwork Reduction Act of 1995. The OMB Control Number is 1205 -0527 with an expiration date of July 31 202 6. 5. Inquiries . Questions should be directed to the appropriate ETA Regional Of f ice. 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 4 Projects issued on August 17 2018 https www.dol.gov agencies eta advisories unemployment -insurance -program -letter -no - 11 -18 UIPL No. 11 -18 Change 1 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 Instr uctions issued on July 16 2020 https www.dol.gov agencies eta advisories unemployment -insurance -program -letter -no - 11 -18 -change -1 and Training and Employment Notice TEN No. 28 -14 Pre -Implementation Planning Checklist for State Unemployment Insurance UI Information Technology IT Modernization Projects issued on March 27 2015 https www.dol.gov agencies eta advisories training -and -employment -notice -no -28 -14 . 7. Attachment s . Attachment I Unemployment Insurance UI Inf ormation Technology IT Modernization Pre -Implementation Planning Checklist Report Version 1 Attachment II Unemployment Insurance UI Inf ormation Technology IT Modernization Pre -Implementation Planning Checklist Report Instructions U.S . Depa rtm ent of Labor Em ployment and Tra ining Adm inistration Form ETA 9177 OMB Control No. 1205 - 0527 Expira tion Da te 07 31 2026 Attachment I-1 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 U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 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 . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -1 U nemployment Insurance UI Information Technology IT Modernization Pre - Implementation Planning Checklist Version 1 1. Functionality and Workarounds Ensure all f unctionalities are fully available and operational pref erably with no high or critical def ects . If a functionality is not f ully available an interim workaround should be in place with a plan to quickly f ix the defects especially ones that are deemed high or critical . W orkarounds should be minimized f ully tested and exercised with the staf f for any system f unctionality that is def erred or necessary to address known system issues. 1.1. All Benef it f unctions have been f ully tested including all service channels such as web mobile telephone etc. and are f ully operational unless work around s have been planned f or and tested including but not limited to 1.1.1. Claims Filing For all supported programs Regular UI Unemployment Compensation f or Federal Employees Unemployment Compensation f or 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 f lag ged f or adjudication. The e f f ects across Benef its Year Beginnings especially involving converted claims claims migrated f rom the legacy to the new system and Benef it Charging non -monetary scheduling of issues as applicable have been thoroughly tested 1.1.4. Continued Claims processing 1.1.5. Benef it payment mechanisms including as applicable direct deposit debit card and checks 1.1.6. Benef it Payment Control f unctions and other processes associated with prevention detection and recovery of improper and f raudulent payments and 1.1.7. Claimant account portals and or maintenance including password reset f unctionality as applicable 1.2. All Tax f unctions have been f ully tested unless work around s have been planned f or and tested including but not limited to 1.2.1. Employer Registration U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 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 enf orcement 1.2.6. Employer tax and wage report and input processing 1.2.7. Tax collections 1.2.8. Tax ref unds overpayments 1.2.9. New business registration and 1.2.10. Quarterly tax f iling data entry 1.3. All Appeals f unctions such as automated f iling of appeals hearing notices hearing decision correspondence etc. have been f ully tested 1.4. All Reporting f unctions have been f ully tested unless work around s planned f or and tested including but not limited to 1.4.1. Federal reporting f unctions including UI Required Reports Benef its Accuracy Measurement and UI D ata Validation and 1.4.2. UI program management reporting f unctions such as tracking of initial and continued claims by age management dashboard and ad hoc and system logging reports 1.5. All Interf aces external and internal have been f ully tested unless work around s have been planned f or and tested including but not limited to 1.5.1. Interf aces 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 f ails 1.5.2. UI Interstate Connection ICON network interf aces including Social Security Administration cross -match 1.5.3. Treasury Of f set Program interf ace with the Internal Revenue Service U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 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 interf ace with Department of Health and Human Services 1.5.6. State Inf ormation Data Exchange System interf ace 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 f or identity or other integrity purposes 1.6. All Testing has been completed including but not limited to 1.6.1. System generated f orms and correspondence have been f ully tested including any conf igurability mechanisms and multiple language implementations 1.6.2. All user roles have been tested and users with appropriate permissions can easily change staf f role assignments directly in the application 1.6.3. Printing processes have been f ully tested including Verif ication of printer tap test requirements have been met including cartridge nozzle perf ormance and printer internal f irmware f unctionality Verif ication of a process in place to do manual intervention f or letters and payments and Verif ication of mailing address es 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 f ully tested . Suf f icient storage capacity has been provisioned All legacy system image f iles have been successf ully migrated as applicable Indexing has been tested and validated Optical Character Recognition has been tested and validated as applicable and Imaging system recovery f r om failure has been tested to ensure critical customer services are not impacted 1.6.5. Batch Processes including execution timelines have been f ully tested as outlined below U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -4 Batch process es have been executed f or 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 f ailures 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 f or at least a week with manuf actured data to simulate three times the expected l oad 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 bott lenecks or issues bef ore launch and Af ter testing e nsure that any environment conf iguration f ile s have been updated f or production 1.6.6. Pilot the process during f inal testing f or reporting system issues 1.7. Workf lows have been verif ied and adjusted by c onduct ing thorough review of system -generated issue f lags triggers to ensure they are necessary and are not creating f alse issues. This ef f ort should include 1.7.1. Monitor ing workf low work items in new system and ensure proper staf f coverage on all queues 1.7.2. Ensuri ng the capability to either migrate work items or have a process to identif y unprocessed semi processed work on the new system and 1.7.3. Addressing and closing as many work items as possible across all f unctions bef ore 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 identif y 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 f ully tested bef ore go -live . U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 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 f iling by phone or on - line such as those with Limited English Prof iciency disabilities literacy issues including computer literacy and computer access issues 2.2. Websites and other f orms of communications like brochures and posters are in place which clearly identif y alternative access points that ef f ectively communicate to the population s with barriers described in section 2.1 2.3. All staf f have been f ully trained on how to assist individuals with access barriers on using alternative f iling options 2.4. Staf f and customer system access to new system has been def ined 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 f irst access the new system. If security questions or knowledge base authentications are used f or self -services industry best practices should be f ollowed. If email accounts are used as the UserID f or self -services login the state has provided mechanisms f or 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 f or hardware sof tware websites and documentation 2.6.2. Website content has been translated for identified signif icant 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 pref erably tested by appropriate customer population 2.6.5. Websites provide inf ormation on alternative access f or individuals with barriers and 2.6.6. IVR phraseology and messages are clear and understandable. U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -6 3. Policies and Procedures Ensure policies and p rocedures have been d evelop ed completed and disseminat ed including 3.1. Policy and procedural changes coinciding with UI system modernization 3.2. Policies f or data security including those f or handling privacy and conf idential data 3.3. Policies f or data retention and data disposal 3.4. Staf f has been f ully 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 modif ied roles have been clearly def ined and staf f have been appropriately trained and 3.7. Disaster Recover y DR plan is in place and the Recovery Time Objective and Recovery Point Objective have been esta blished and disse minated. U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -7 4. Technical Preparation f or System Implementation Ensure the t echnical 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 successf ul including 4.2.1. State policies and procedures have been f ollowed to inf orm migration strategy of data to the new system and backlogs are addressed prior to initiating data migrat ion 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 relate d artif acts have been completed and reviewed f or completeness 4.2.4. New system results checked and reconciled against legacy system results 4.2.5. Spot check s have been completed f or particular areas of interest such as overpayments certif ications employer charging ICON Billing IB6 and accounting balances 4.2.6. System blackout period has been benchmarked if appropriate with notif ication and messaging to customers in advance 4.2.7. M ultip le successf ul data conversions including record count verif ications and Extract Transf orm Load f inal load benchmarking have been completed and process lockdown is in place b ef ore go ing live and 4.2.8. Financial r eporting has been thoroughly tested and validated as T rust Fund Financial staf f interactions are critical 4.3. Independent Verif ication and Validation has been conducted as needed 4.4. Bridging processes protocols between applications systems are in place as needed f or example new benef its system integrated with legacy tax system or the inverse 4.5. User roles have been well -defined conf igured 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 workf low process 4.6. Comprehensive UAT has been perf ormed including U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -8 4.6.1. UAT has been c onducted with positive results and conducted again f ollowing any additional system changes 4.6.2. System def ects were systematically tracked and remedied 4.6.3. Def ect tracking and remediation processes are in place post go -live in conjunction with development vendor along with applicable service level agreements SLAs f or response times and f ix turnaround times 4.6.4. System help has been verif ied e.g. page level f ield level and 4.6.5. Logging and exception handling have been verif ied including any tool used for mining application logs 4.7. Capacity has been developed to rapidly identify system f laws and make immediate f ixes . Hot f ix procedures are established exercised and validated 4.8. Contingency Back -up plan is in place if new system f ails 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 f or anticipated increases in call volume including 4.10.1. Call Centers as applicable and 4.10.2. Any other Agency unit staf f that will conduct triage of system issues with customers 4.11. Go -live decision points show stoppers have been outlined and continue to be f ollowed 4.12. System perf ormance 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 f or sustained period of times and 4.13.2. Monitor ing 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 4.15. Production conf iguration is def ined and in place U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -9 4.16. Automated production build testing production environment promotion process is in place f or post -deploy def ect f ixes and enhancements 4.17. System s ecurity has been tested and validated including 4.17.1. Verif ication and validation of Data and System s ecurity 4.17.2. Verif ication of other internal system controls in order to ensure security and conf identiality of data and 4.17.3. Security Penetration and or Perf ormance Testing has been conducted 4.18. Business knowledge has been successf ully transf erred to appropriate agency staf f to operate the system including role management conf iguration settings and management dashboards and reporting 4.19. End user support problem reporting and resolution protocols are in place 4.20. IT knowledge transf er has been completed in order f or agency to maintain and support the system . System perf ormance benchmarks documented during build and start early have been used by IT staf f to complete conf iguration programming changes to support perf ormance 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 . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 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 c enter staf f and or customer service representatives CSRs have been f ully 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. Staf f have been c ross train ed f or use augmentation particularly to manage inquiries 5.2.4. Project staf f have been assigned embedded into the customer service operations f or at least the f irst f ew weeks in order to help the team transition to the new system support procedure and 5.2.5. Call center staf f have been included in the triage calls f or the f irst f ew weeks af ter go ing live 5.3. Modernization system and operations help desk inf ormation have been provided to all f ront -line CSR staf f 5.4. Front -line and management staff know triage process when system issue s arise and issue escalation processes have been clearly def ined and understood by staf f and 5.5. Team meetings are scheduled daily and as needed to address 5.5.1. New s ystem issues 5.5.2. Customer complaints and 5.5.3. New operational or procedural issues . U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -11 6. Business Process Ensure new business processes have been established staf fed and that staf f have been f ully trained on any all n ew system operations 6.1. Business processes and standard operating procedures have been developed and made available to all staf f to enable them to understand how the new system has changed their work processes 6.2. Roles responsibilities have been f ully def ined prior to go -live 6.3. Staf f have been trained on new business process es and roles and responsibilities 6.4. Training materials and tools to support new business processes desk guides handbooks etc. have been f ully developed and provided to management and staf f . A f inal 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 identif ied made known to staf f and f ully communicated to customers 6.6. Management and staf f have been f ully trained on new system f eatures and operations broadly as well as in relation to their specif ic job responsibilities including 6.6.1. Training that covers ref resher inf o rmation on program knowledge 6.6.2. Training or ref resher training has been scheduled as close to go -live as possible and 6.6.3. Recognition that p eople learn at a dif f erent pace if the training material is online or interactive ensure the resources are made available to staf f f or self -learning af t er f ormal classes are complete 6.7. Additional staf f ing needs have been identif ied secured to address new system implementation including 6.7.1. Call c enter s calls can dramatically increase during a conversion 6.7.2. Adjudication s taf f modernized systems tend to contain more automated f lags that raise issues requiring adjudication 6.7.3. Appeals s taf f the number of appeals may increase following a conversion as a result of newly automated processes which may impact claimants benef its or employers liability 6.7.4. Other support f unctions such as integrity -related activities and U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -12 6.7.5. Advance i dentif ication and clarif ication of roles f or the members of the triage team e.g. Frontline and Management staf f Help Desk staf f Call Center staf f Vendor Labor Market Inf ormation LMI staf f etc. . U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -13 7. Help Desk Ensure Staf f and Help Desk Support is available including 7.1. Key staf f have been put on alert and made available during critical times of conversion and deployment 7.2. Procedures have been established f or escalation processes triage processes f or addressing system technical f unctional issues communication channels and coordination with Call Centers as applicable 7.3. Dry -runs of procedures with Help Desk staf f have been conducted including 7.3.1. Project staf f 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 staf f is included in the triage calls 7.4. Help Desk is adequately s taf f ed with modernization testers including 7.4.1. Subject Matter Experts Business Analysts and Project Team members 7.4.2. Subject M atter Experts have been assigned f or 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 f indings 7.5. Contact inf ormation has been published and disseminated to appropriate personnel including LMI staf f 7.6. Procedures to categorize and track system issues based on help request s are in place e.g. credential access issue perf ormance questio ns needing clarif ication etc. and 7.7. Ensure Help Desk is available to support staf f . U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -14 8. Management Oversight Ensure m anagement ov ersight is delivered including 8.1. Managers have been f ully trained on management f eatures and reporting processes in the system including those f or 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 staf f if system issues arise 8.3. Additional management meetings are scheduled during transition to identify and resolve issues and 8.4. A support group f or managers has been established to share inf ormation and relearn how to do their job f unctions using the new system . U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -15 9. Vendor Support Communications Ensure v endor support and c ommunications has been established including 9.1. Process f or addressing post implementation system f ixes with vendor is in place prior to implementation 9.2. Process f or tracking system and post -implementation system issues is in place 9.3. Routine daily meetings with the vendor during transition has been scheduled to identif y and prioritize system issues f or as long as needed 9.4. Process is in place to track the implementation of def erred f unctionalities 9.5. The hand -off process f or 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 def ined in the contract and 9.7. The triage process has active vendor engagement . U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -16 10. Communication Processes and Procedures Ensure c ommunications processes and procedures have been established including 10.1. Staf f Communications including 10.1.1. Both UI and non -UI staf f e.g. LMI staf f have been included in the communications throughout the project 10.1.2. Staf f have been f ully brief ed on implementation plan in addition to being f ully trained and 10.1.3. Staf f 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 conduct ing business during this phase has been clearly communicated to staf f and customers 10.2.4. Agency contact inf ormation has been widely disseminated 10.2.5. System how -to inf ormation has been provided to staf f and customers and 10.2.6. Processes have been made available to support c ommunication with individuals with l imited English prof iciency and staf f 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 of f ice 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 f or a successf ul launch as well as f or any unf oreseen issues causing the launch to not go as planned. U.S. Depa rtm ent of Labor OMB Control No. 1205-0527 Em ployment and Tra ining Adm inistration Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I-17 11. Labor Market Inf ormation LMI Federal Reporting Ensure LMI f ederal reporting f unctions have followed nationally standardized specif ications available at https www.bls.gov cew additional-resources unemployment-insurance- modernization home.htm tested validated within project timelines and are f ully operational including 11.1. LMI Notif ication 11.1.1. LMI has received advance notif ication of planning timetable f or benef its and tax portions of the system implementation milestones and 11.1.2. LMI has been notif ied of go-live dates f or benef its 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 def initions to help with the development specif ications Data dictionary mapping of the f ields in the legacy UI system to the f ields in the new system has been shared and discussed with LMI and Consultation with LMI on the def initions 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 f or LMI staf f to provide f eedback on screens as they are developed and prior to go-live 11.2.5. Testing schedule has been discussed and agreed upon with LMI staf f LMI staf f has been allowed to parallel test the new UI systems as it progresses toward deployment and an opportunity to provide f eedback on any identif ied issue and Issues identif ied 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 f orms etc. in the new system as they had in the legacy system 11.3. Data Exchange U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -18 11.3.2. Extracts have been tested by LMI staf f 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 benef it claims data. U.S . Depa rtm e nt of L abor OMB Control No. 1205 -0527 Em ployment and Tra ining Adm inistratio n Expira tion Da te 07 31 2026 Form ETA 9177 Attachment I -19 Certification Certifying Official Name Title Signature Telephone Number Date Email Address DOL EMPLOYMENT AND TRAINING ADMINISTRATION Attachment II-1 OMB Control Num ber 1205-0527 Expira tion Da te 06 30 2026 ATTACHMENT II Unemployment Insurance UI Information Technology IT Modernization Pre-Implementation Planning Checklist Report Instructions Employment and Training Administration United States Department of Labor This reporting requirement is approved under the Paperwork Reduction Act of 1995 OMB Control No. 1205-0527 expiring 07 31 2026. Pers ons are not required to res pond to this collection of information unles s it dis plays a currently valid OMB number. State Workforce Agency reporting burden for this collection of information is es timated to average 20 hours for planning and 160 hours for reporting. This includes time for reviewing ins tructions s earching exis ting data s ources and gathering and reviewing the collection of information. This collection of information is for general program overs ight evaluation and performance as s ess ment. Res ponses are required to obtain or retain a Federal benefit. Send comments regarding this burden es timate or any other as pect of this collection including s ugges tions for reducing this burden to the U. S. Department of Labor Employment and Training Adminis tration Office of Unemployment Insurance 200 Cons titution Avenue NW Room S-4524 Was hington D.C. 20210. DOL EMPLOYMENT AND TRAINING ADMINISTRATION Attachment II-2 I. GENERAL INSTRUCTIONS The unemployment insurance UI inf ormation technology IT Modernization Pre- implementation Checklist Report is collected to assist state UI agencies in preparing to launch a modernized UI IT system which supports administration of UI Benefits and or UI Tax operations. Because the launch of an UI IT system is critical to a state s ability to administer its UI program the U.S. Department of Labor s Employment and Training Administration ETA requires any state that is preparing to launch a new UI IT system to certif y that it has reviewed and accomplished or has developed an appropriate plan addressing the items detailed in the Pre-Implementation checklist. ETA will use the checklist to identif y any technical assistance needs of the state UI agency prior to an implementation of a new UI IT system. 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 f ull benefits or tax system or it can be a signif icant component subset such as continued claims certif ication or adjudication. Modernization can be of a single or multiple UI systems e.g. Benef its Tax Appeals etc. . States may decide to do all systems at one time or use an iterative or modular approach to modernize. Any state that is preparing to launch a modernized system must certif y that it has reviewed and accomplished or has developed an appropriate plan addressing the items detailed in the ETA 9177 Report. If a section of the report is not applicable to the modernization project the state must indicate that the section is not applicable. If a section is lef t 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 upgrading sub- components of a system such as enhancing the f ront-end interface f or claims intake. Other instances where a state is not required to submit an ETA 9177 Report include ongoing maintenance activities database upgrade IT server upgrades replacing any obsolete hardware sof tware etc. II. DUE DATES The UI IT Modernization Pre-Implementation Planning Checklist Report must be completed and submitted to ETA approximately 180 days 6 months prior to the state s projected implementation date. Please note that testing and training activities may continue af ter the submission of the report. III. SUBMISSION PROCEDURES The UI IT Modernization Pre-implementation Planning Checklist Report and any supporting documentation must be submitted by email to the appropriate ETA Regional Of f ice. The ETA Regional and National Of fice will work collaboratively in reviewing the Report and supporting documents. Any clarif ications or f ollow-up will be conducted via DOL EMPLOYMENT AND TRAINING ADMINISTRATION Attachment II-3 email and conf erence calls within 30 days upon receipt of the Report. Any modif ications to the original Report must be submitted by a state through the ETA Regional Of f ice. DOL EMPLOYMENT AND TRAINING ADMINISTRATION Attachment II-4 Instructions for Completing the UI IT Modernization Pre-Implementation Planning Checklist Report In general the document contains the f ollowing f our 4 parts 1. Cover Page 2. State General Inf ormation 3. UI IT Modernization Project Categories 4. Certif ication Sections No. 2 State General Inf ormation and No. 3 UI IT Modernization Project Categories require f illable content. The instructions below address how the state is to complete the report. State General Information The State General Inf ormation section consists of the f ollowing f ive 5 sub-elements in a table f ormat. 1. State Name Enter the name of the State Workf orce Agency SWA who is providing the inf ormation e.g. State of Mississippi . 2. Date of Submission Enter the date when the completed report is submitted. Date format must f ollow mm dd yyyy f ormat e.g. 06 13 2015 . 3. Project Name Enter the proper name of the UI IT modernization project e.g. The ReEmploy USA Consortium . 4. Contact Information Provide the contact inf ormation i.e. Name Title Address Phone Number Email Address. f or the person who will serve as the primary point of contact f or any questions or f ollow up that ETA may have regarding the report. This may be a dif f erent person than the state certif ying of f icial. It may be the state of f icial who is the project lead responsible f or the day-to-day operation and implementation of the UI IT Modernization project. 5. Summary of Project Provide an executive summary of the UI IT Modernization project. This inf ormation will include the project title and purpose the project timeline and key milestones and a narrative description of the project implementation status. DOL EMPLOYMENT AND TRAINING ADMINISTRATION Attachment II-5 UI IT Modernization Project Categories This comprehensive checklist denotes critical f unctional areas that a SWA should verif y prior to launching a modernized UI system. This includes but is not limited to technical IT f unctions and UI business processes that interf ace with the new system. The list of critical areas identif ied in the checklist comprises of the f ollowing eleven 1 1 distinct project categories with associated sub -elements including 1. Functionality and Workarounds 2. External Alternate Access Options and Usability Issues Addressed 3. Policies and Procedures 4. Technical Preparation f or System Implementation 5. Call Center Customer Service Operations 6. Business Process 7. Help Desk 8. Management Oversight 9. Vendor Support Communications 10. Communication Processes and Procedures 11. Labor Market Inf ormation LMI Fe deral Reporting For e very sub -element in the ETA 9177 the SWA is to provide supporting content to demonstrate that the SWA has addressed the specif ic sub -element. For each sub -element ETA expects the SWA to address the issue including but not limited to the f ollowing 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 solutions of the processes in the sub -element Explanation s if implementation of the new system concerning processes f or the sub - element will be delay ed or def erred Explanations f or added clarity and or to support a narrative Mitigation proposal s f or addressing any problems New project timeline s if applicabl e and or Any discussion of identified technical assistance needs f or the successf ul completion of the project. DOL EMPLOYMENT AND TRAINING ADMINISTRATION Attachment II-6 Certification The Certif ication section consists of the f ollowing f ive 5 sub -elements in a table f ormat. 1. Certifying Official Provide the name and title of the state of ficial who is certif ying the submission of the report to ETA . 2. Signature Provide the signature of the state of f icial who is certif ying the submission of the report to ETA . 3. Telephone Number Provide the area code and telephone number of the state official who is certif ying the submission of the report to ETA . The number should be in the f ollowing f ormat - 4. Date Provide the date when the certif ying of f icial signed the Report . Date f ormat must f ollow mm dd yyyy f o rmat e.g. 06 13 201 9 . 5. Email Address Provide the email address of the state official who is certif ying the submission of the report to ETA .