UIPL_01-22.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CL ASSIFICATION Unemployment Insurance CORRESPONDENCE SYMBOL OUI DPM DATE October 29 2021RESCISSIONS None EXPIRATION DATE Continuing ADVISORY TO UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 1-22 STATE WORKFORCE AGENCIES FROM ANGELA HANKS Acting Assistant Secretary SUBJECT Announcing the Availability of an Incarceration Data Exchange and Instructions to Access the Data Exchange between the Unemployment Insurance UI Interstate Connection Network ICON and the Social Security Administration SSA Prisoner Update Processing System PUPS 1.Purpose. To announce the availability of an incarceration data exchange with SSA s PUPS systems through the ICON network and to provide instructions to states on the steps required to access the data exchange. The incarceration data exchange will provide State Workforce Agencies SWAs with the ability to cross-match UI claims information with SSA s prisoner data to aid states in determining if an individual meets UI eligibility requirements. 2.Action Requested. The U.S. Department of Labor s Department Employment and Training Administration ETA requests that SWA Administrators review the information provided in this Unemployment Insurance Program Letter UIPL and if appropriate promptly prepare and submit the necessary information to SSA. 3.Summary and Background. a.Summary ETA actively worked with SSA and the National Association of State Workforce Agencies NASWA to establish a secure data exchange between ICON and SSA s PUPS systems to provide all SWAs with the ability to cross-match UI claims data with prisoner records for use in determining UI eligibility. This UIPL provides SWAs detailed information on the steps that must be completed in order to access the incarceration data exchange available through ICON including detailed instructions on completing the Form SSA-157 Data Exchange Request Form DXRF Esee Attachment I . b.Background To be eligible for unemployment benefits an individual must be able available and actively seeking work. Incarcerated individuals do not typically meet the eligibility requirements to receive UI benefit payments as they would not be able or available for work while incarcerated. The Department s Office of Inspector General 2 DOL -OIG issued an alert memorandum 1 on February 22 2021 identifying that the social security numbers of 13 446 potentially ineligible fed eral prisoner s were used in attempts to file UI claims equaling more than 98 million in UI be nefits. While some SWAs have access to various local state and or federal incarceration cross -matches it is critical that all SWAs regularly cross -match UI claims against prisoner records to ensure unemployment benefits are only paid to eligible individuals. To provide this important cross -matching functionality t he Department and SSA worked together to enter into the required legal agreements and engaged the National Association of State Workforce Agencies NASWA to develop and test an incarceration data exchange between the ICON and PUPS systems . ICON is a secure national system operated by NASWA and funded by the Department through a cooperative agree ment to support the exchange of data among SWAs and has been in use since the early 1980s. The ICON network consists of variou s applications that allow SWAs to share UI data seamlessly and securely through agreements with each other . SSA s PUPS system contain s records on individuals reported to SSA as being confined to certain institutions including but not limited to jails prisons and other correction al facilities. 4. Accessing the Incarceration Data Exchange . Beginning October 1 2021 SSA s prisoner data from the PUPS system of records is available for cross -matching through the ICON. States must complete specific action s to obtain access to the SSA incarceration cross -match which will assist with eligibility determinations for applicants or recipients of unemployme nt benefits. The SSA s Regional Data Exchange Coordinators DECs assist states by streamlining data exchange activities which include receiving and processing the state s DXRF entering into and or updating an Information Exchange Agreement IEA and coordinating data exchange security assessment s with the state . Th e required steps each state must take to access the incarceration data exchange to receive cross -match results through ICON are outlined below . 1. Complete the SSA -157 DXRF following the instructions in Attachment I of this UIPL. The completed DXRF must be e -mailed to the appropriate SSA Regional DECs for processing. The state -specific contact information for the SSA s Regional DECs can be found at https www.ssa.gov dataexchange stateagreements.html . States must include the following statement in the e-mail transmitting the DXRF to the SSA s Regional DEC Attached please find the completed DXRF from state agency state . The completed DXRF represents our request for use of prisoner data maintained by SSA for the sole and exclusive purpose of supporting eligibility and entitlement determinations for unempl oyment benefit programs. If our request is approved we acknowledge that the prisoner data disclosed by SSA may only be used in the 1 DOL -OIG Report number 19 -21 -002 -03 -315 at https www.oig.dol.gov public reports oa 2021 19 -21 -002 -03 - 315.pdf 3 manner described in the DXRF. Additionally we understand that if we would like to re -disclose SSA data or use SSA data fo r a purpose not identified in the attached DXRF that we must submit a new request for consideration and approval. If the above statement is not included in the e -mail containing the state s completed DXRF the DXRF will not be approved. 2. Upon appr oval of the state s DXRF the SSA s Regional DECs will work with the state to either modify the existing IEA between the state and the SSA to include the PUPS data exchange or i f the state does not currently have an IEA with SSA the regional DECs will w ork with the state to develop an IEA. 3. After the IEA that include s the PUPS data exchange is completed the SSA s Regional DECs will work with SSA s Office of Data Exchange Policy Publications and International Negotiations ODEPPIN to coordinate the security assessment and data exchange . The extent of the security assessment may differ by state based on the timing of the state s most recently completed SSA security assessment. The SSA s Office of Information Security OIS condu cts SSA s security assessments to ensure that external systems receiving information from SSA are secure and operate in a manner consistent with SSA s Information Technology IT security policies and in compliance with the terms of electronic data exchang e agreements executed by SSA with external partners. Within the context of SSA s security policies and the terms of the electronic data exchange agreements with SWAs SSA exclusively conducts and completes these security assessments. This includes but i s not limited to administering security assessments for any SWA that processes maintains transmits stores or destroys SSA data in accordance with pertinent Federal requirements. 4. PUPS data will be made accessible to the states through ICON UImail. To set up UImail access to PUPS data the SWA will designate the staff member s who will serve as PUPS point s of contact i.e. receive the state s incarceration cross -match results through ICON UImail. The SWA will work with the NASWA ICON Team to 1 request UImail access for the designated PUPS point s of contact and provid e all necessary contact information and 2 arrange UImail training for the point s of contact as appropriate. Contact t he NASW A ICON Team at ICON naswa.org to initiate the process . 5. Ongoing Independent Verification Requirement . Prisoner data sets may not be updated in real time and therefore may lag in the report ed incarceration entrance and or release dates. ETA reminds states to factor in potential lag times when reviewing any incarceration data cross -match results to consider individuals who may have recently been released and could be potentially eligible for unemployment benefits. Information from PUPS provides an indication or tip that there is a possible eligibility issue. 4 After receiving incar ceration cross -match information s tates must conduct appropriate investigations to determine eligibility. For certain overpa yments detected from matching with a Federal database such as the PUPS system the Computer Matching and Privacy Prote ction Act CMPPA also applies. This law provides in part in 5 U.S.C. 552a p that an agency participating in a matching program incl uding a non -Federal agency such as a state or local government agency may not suspend terminate reduce or make a final denial of any financial assistance or payment under a Federal benefit program unless three conditions are met. First the agency must have independently verified the information obtained from the computer match. Second the agency must notify the individual of the issue and provide them with an opportunity to contest the findings . Third the individual must be provided either 30 days or if a different period of time is provided by statute or regulation such other period o f time to respond to the notice of findings . See UIPL No. 01 -16. 6. Inquiries . Please direct inquiries to covid -19 dol.gov and copy the appropriate ETA Regional O ffice . 7. References . Section 303 of the Social Security Act 42 U.S.C. 503 Computer Matching and Privacy Protection Act of 1988 as amended CMPPA 5 USC 552a o - r UIPL No. 23 -20 Program Integrity for the Unemployment Insurance UI Program and the UI Programs Authorized by the Coronavirus Aid Relief and Economic Security CARES Act of 2020 - Federal Pandemic Unemployment Compensation FPUC Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs issued May 11 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 4621 UIPL No. 01 -16 Change 1 Federal Requirements to Protect Claimant Rights in State Unemployment Compensation Overpayment Prevention and Recovery Procedures - Questions and Answers issued January 13 2017 https wdr .doleta.gov directives corr doc.cfm DOCN 7706 UIPL No. 01 -16 Federal Requirements to Protect Individual Rights in State Unemployment Compensation Overpayment Prevention and Recovery Procedures issued October 1 2015 https wdr.doleta.gov directives corr doc.cfm DOCN 5763 UIPL No. 04 -01 Payment of Compensation and Timeliness of Determinations during a Continued Claims Series issued October 27 2000 https wdr.doleta.gov directives corr doc.cfm DOCN 1746 and Employment Security Manual Section 7511 The Secretary s Interpretation of Federal Law Requirements available at 20 C.F.R. Part 614 Appendix C Standard for Fraud and Overpayment Detection . 8. Attachment s . Attachment I Instructions for Completing the Social Security Administration SSA Form SSA -157 Data Exchange Request Form DXRF I-1Attachment I to UIPL No. 1-22 Instructions for Completing the Social Security Administration SSA Form SSA-157 Data Exchange Request Form DXRF Use the current version of the DXRF form for submission. Form SSA-157 Office of Management and Budget OMB Control No. 0960-0802 https www.ssa.gov dataexchange documents ssa-157.pdf Data Request Section 1.Name of organization requesting the data exchange. Input your State Workforce Agency name. 2.Indicate what type of organization you are. Check the box next to State Local under the heading Government. 3.Briefly state the purpose for requesting this information and tell us how your organization will use the data. Input Prisoner data will be used to determine eligibility for Unemployment Insurance UI benefits by cross-matching UI claims through the National Association for State Workforce Agencies NASWA Interstate Connection Network ICON into the text box. 4.What specific information are you requesting from SSA Social Security number verification benefit verification disability payments data elements etc. . Input Prisoner Update Processing System PUPS data into the text box. 5.What data elements will you send to support your request e.g. SSN name date of birth if applicable Input SSN Name Date of Birth into the text box. 6.Is your organization currently receiving this information by another means e.g. paper reports etc. If your state does not currently receive PUPS data check the box for No . If your state currently receives PUPS data from SSA but you prefer to receive it through ICON check the box for Yes and explain in the text box below. 7.Describe the benefit to your organization of receiving this data. Input Incarcerated individuals are ineligible to receive UI benefits. Having incarceration data at the time of application will assist Insert Name of State in preventing payment of benefits to ineligible individuals. 8.Is there any benefit to SSA Check the box for No . 9.What is the impact to your organization if it does not receive this data Input Insert Name of State will be unable to ensure benefits are paid only to eligible individuals resulting in losses to the state UI trust fund and higher UI employer payroll taxes at both the state and I-2 federal levels into the text box. 10. SSA generally requires that you pay for our services . Are you willing to incur costs Check the box for No . Input in item 36 Response to Question 10 N A costs are reimbursed by the United States Department of Labor for this data exchange. 11. Provide your legal authority allowing the collection of this data from SSA . Input Section 1137 a 2 and b 3 of the Social Security Act SSA 42 USC 1320b -7 and Section 303 a 1 SSA 42 U.S.C. 503 a 1 into the text box. 12. List the organization and job functions titles within the organization s that will have access to SSA -provided information . Input the name of your State Workforce Agency and the job functions titles of the individual s that will ac cess the PUPS data through ICON. 13. Do you plan to share the data with anyone other than those listed in question 12 Check the box for No . 14. How frequently do you want to receive the data Check the box for Daily . 15. Based on the frequency selected above provide an estimate of the number of records you will submit for processing. Input your state s estimated number of initial claims per year. 16. How will we exchange the data Check the box es for Batch and for Other and next to Other input Th e PUPS data will be received through the data exchange established with ICON. into the text box. 17. When do you expect this data exchange to begin Input As soon as possible into the text box. Security Section 18. If you are a federal agency does your orga nization have documented information security policies and procedures to safeguard SSA -provided information from unauthorized access and improper disclosure Check the box for Not Applicable Non - Federal Agency . 19. If you are not a federal agency does y our organization have documented information security policies and procedures to reduce information security risks to an acceptable level in accordance with the Federal Information Security Management Act FISMA Ensure your state meets this requirement a nd if so check the box for Yes . 20. Will the information SSA provides be stored or processed in an external commercial cloud If your state will not store or process PUPS data received through ICON in an external I-3 commercial cloud check the box for No and skip to question 22. If your state will store or process PUPS data received through ICON in an external commercial cloud check the box for Yes and answer the following o What is the name of the Cloud Service Provider CSP Input the name of your S tate s CSP. o Is the CSP FedRAMP authorized Check the appropriate box to identify whether or not the State s CSP is FedRAMP authorized. 21. Is the cloud provider contractually required to enforce security policies and procedures that will safeguard the infor mation SSA provides from unauthorized access and improper disclosure Check the appropriate box Yes or No based on your state s contract requirements with your CSP. 22. Will the information SSA provides be stored off -shore i.e. in a foreign country Check the appropriate box Yes or No based on your state s storage location. 23. List any current or previous data exchanges your organization has with SSA i.e. by SSA agreement number or description . List any other data exchanges between SSA and your state in the text box . State Agency Section 24. If your agency already has an existing agreement with SSA to receive SSA data are there any other programs or purposes for requesting SSA data that you wish to add to the current agreement Check the appropriate box Yes or No based on your state - specific response. 25. Name the programs your agency administers for which you are requesting SSA data. Input Unemployment Insurance into the text box. 26. Indicate whether the programs are feder ally -funded e ither fully or partially or state - funded. Input Both. The regular state UI program is state -funded while other UI programs are federally -funded or mixed depending on the specific UI program in the text box. 27. List the benefits or service provided under these programs. Input Unemployment benefits into the text box. 28. Does your staff take applications or determine eligibility for TANF Medicaid or SNAP for any of the programs listed in question 25. If no check the box for No . If yes check the box for Yes input the name of the program in the text box and for question 36 input the following in the text box Insert State Workforce Agency Name is responsible for administering the Insert Program s Name s including taking applications and determining eligibility. However the staff working in these programs will not have access to PUPS data. Only the staff identified in question 12 which are UI program staff will have access to PUPS data. I-4 29. How is the r equested SSA data relevant to determining entitlement eligibility to benefits or services under the programs your agency administers Input the following in the text box To be determin ed eligible for UI benefits an individual must be able and available for work under Federal and state law. Incarcerated individuals typically do not meet this eligibility requirement. The PUPS incarceration data will allow the state to determine the eligibility of applicants who are incarcerated. Skip Questions 30 -35 36. Additional Comments If state -specific responses require further clarification such as the response to Question 28 input the additional information in this section. Points of Contact 37. Approving authority contact information for the person signing the a greement for the agency requesting the data . Input the contact information Name Title Address Phone Number and Email Address for the approving state official in the text box . 38. Requester contact information for the agency . Input the contact information Name Title Address Phone Number and Email Address for the state official filling out the DXRF or the individual SSA should contact with any questions regarding the request for this data exchange in the text box .