UIPL_16-20_Change-6.pdf

ETA Advisory File Text

CLASSIFICATION EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insuranc e ADVISORY SYSTEM CORRESPONDENCE SYMBOL U.S. DEPARTMENT OF LABOR OUI DUIO Washington D.C. 20210 DATE September 3 2021 RESCISSIONS EXPIRATION DATE None Continuing ADVISORY UNEM PLOYM ENT INSURANCE PROGRAM LETTER NO. 16-20 Change 6 TO FROM SUB JECT STATE WORKFORCE AGENCIES LENITA JACOBS-SIMMONS Acting Assistant Secretary Pandemic Unemployment Assistance PUA Program Updated Operating Instructions and Reporting Changes 1. Purpos e . To provide states with additional operating instructions in processing PUA claims and updated instructions for reporting PUA program activities. 2.Action Re que s ted. The U.S. Department of Labor s Department Employment and T raining Administration ETA requests that State Workforce Administrators provide the information in this Unemployment Insurance Program Letter UIPL and all attachments to appropriate program and other staff in state workforce systems to implement these changes to the PUA program. 3.Summary and B ackground. a.Summary This guidance provides 1 additional instructions to states in processing the expanded eligibilit y provisions as described in UIPL No. 16-20 Change 5 published February 25 2021 2 guidance on establishing the correct effective date for PUAapplications 3 instructions for handling claims for individua ls who are eligible for PUA in multiple states and the state in which they are filing has terminated participation in the program before the program expiration date 4 guidance for states regarding additional PUA activity after the program expires 5 an overview of how the Department will assess if a state m ade a good faith effort to implement the PUA program for purposes of states requesting that individua ls submit retroactive self-certification declarations 6 updated reporting requirements to include overpayment waivers on the ETA 902P report . The Department acknowledges that states need time to implement the provisions of this UIPL. States are expected to implement the expanded eligibility provisions see UIPL No. 16-20 Change 5 and Section 4.a. of this UIPL if they have not already done so and to implement the provisions regarding individua ls who are eligible for PUA in 2 multiple states see Section 4.c. of this UIPL no later than December 31 2021. States are expected to implement the additional reporting requirements see Section 4.f. and Attachment IV of this UIPL no later than March 31 2022. States that need additional time to implement these provisions should work with their appropriate ETA Regional Office. In addition to the 250 000 provided to states in UIPL No. 09-21 and 100 000 provided to states in UIPL No. 16-20 Change 5 states may seek additional funding of up to 100 000 to cover the costs of implementing provisions in this UIPL. States must submit the required request for funding SF-424 electronically to covid-19 dol.gov with a copy to the appropriate ETA Regional Office by Octobe r 4 2021. The Department published UIPL No. 14-21 on March 15 2021 which explains the program changes included with enactment of the American Rescue Plan Act of 2021 ARPA Public Law Pub. L. 117-2 . The Department published UIPL No. 20-21 on May 5 2021 which describes parameters under which a state may waive recovery of PUA overpayments and includes limited circumstances under which a state may process blanket waivers of PUA overpayments. Additionally the Department published UIPL No. 14-21 Change 1 on July 12 2021 which provides states with instructions for processing PUA claims after the date of termination or expiration of the PUA program. All other PUA program parameters as provided in Section 2102 of the Coronavirus Aid Relief and Economic Security CARES Act of 2020 Pub. L. 116-136 PUA agreements and UIPL Nos. 16-20 Changes 1-5 remain the same unless otherwise noted in this UIPL. Attachme nt I provides a list of all acceptable COVID-19 related reasons to which an individua l may self-certify eligibility that they are unemployed partially unemployed or unable or unavailable to work. This includes the COVID-19 related reasons from Section 2102 a 3 A ii I aa - jj of the CARES Act and the additional reasons authorized by the Secretary of Labor Secretary under the provisions of Section 2102 a 3 A ii I kk of the CARES Act. Attachme nt II provides questions and answers regarding additional PUA activity after the program expires. Attachme nt III elaborates on Section C.7. of Attachment I to UIPL No. 16-20 Change 4 to provide information on how ETA will assess whether a state made a good faith effort to implement the PUA program. Attachme nt IV provides Handbook 401 Instructions for ETA 902 Pandemic Unemployment Assistance. Attachme nt V provides instructions for completing the SF-424. b. Background The CARES Act includes the Relief for Workers Affected by Coronavirus Act set out in Title II Subtitle A. Section 2102 of the CARES Act created a new temporary federal program called PUA and provided states with administrative funding to operate the program through an agreement with the Department. 3 In general PUA provides unemployment benefits to individua ls who are 1 not eligible for regular unemployment compensation UC Pandemic Emergency Unemployment Compensation PEUC or Extended Benefits EB including those who have exhausted all rights to such benefits and those who are self-employed seeking part-time employment do not have sufficient wage history or otherwise would not qualify for regular UC PEUC or EB and 2 are otherwise able to work and available for work within the meaning of applicable state law except that the individua l is unemployed partially unemployed or unable or unavailable to work due to a specific COVID-19 related reason identified in Section 2102 a 3 A ii I aa - kk of the CARES Act. Any weeks of benefits previously received under the regular UC or EB programs starting with week ending February 8 2020 February 9 2020 for states with a Sunday week ending date are deducted from the individual s PUA entitlement see Section C.17. of Attachment I to UIPL No. 16-20 Change 4 . States are reminded that PUA is 100 percent federally-funded and states may not charge employers for these benefits. The CARES Act authorized the Secretary to establish COVID-19 related reasons for which an individua l may be eligible for PUA in addition to those specific COVID-19 related reasons listed in items aa - jj of Section 2102 a 3 A ii I of the CARES Act. The Secretary provided one additional reason described in Section C.1.k. of Attachment I to UIPL No. 16-20 published on April 5 2020. See also Section 4.b. of UIPL No. 16- 20 Change 2 published on July 21 2020. The Department added three more COVID- 19 related reasons with the publication of UIPL No. 16-20 Change 5 on February 25 2021. The Consolidated Appropriations Act 2021 Pub. L. 116-260 enacted on December 27 2020 included the Continued Assistance for Unemployed Workers Act of 2020 Continued Assistance Act in Division N Title II Subtitle A. The Continued Assistance Act extended the PUA program and enacted several program integrity measures including a requirement that all individua ls receiving a PUA payment on or after December 27 2020 submit documentation substantiating employment self-employment or the planned commencement of employment or self-employment. ARPA was enacted on March 11 2021. It extends authorization of PUA as well as other CARES Act programs through weeks ending on or before September 6 2021 and increases the maximum number of weeks of PUA available from 50 to 79. See UIPL No. 14-21 for details on all Unemployment Insurance UI -related provisions under ARPA. The Department has made available 100 000 to each state for the implementation of the ARPA provisions associated with the PUA program. Detailed information about the available funding for program implementation application process and permissible implementation costs regarding these funds are provided in Section 4.e. of UIPL No. 14- 21. 4 Importance of Program Inte grity. Addressing improper payments and fraud is a top priority for the Department and the entire UI system. States play a fundamental role in ensuring the integrity of the UI system. Especially during this time of extraordinary workloads states should maintain a steadfast focus on UI functions and activities that ensure program integrity and the prevention and detection of improper payments and fraud across all programs operated within the UI system while ensuring that eligible individua ls continue to have and maintain access to benefits. It is critical that states implement processes that ensure payments are being made only to eligible individua ls and that states have aggressive strategies and tools in place to prevent detect and recover fraudulent payments with a particular emphasis on imposter fraud by claimants using false or stolen identities. Additionally under the Continued Assistance Act for states to have an adequate system for administering the PUA program states must include procedures for identity verification or validation and for timely payment to the extent reasonable and practicable for all new PUA claims filed on or after January 26 2021 see Section C.3. of Attachment I to UIPL No. 16-20 Change 4 . UIPL No. 28-20 published on August 31 2020 UIPL No. 28-20 Change 1 published on January 15 2021 and UIPL No. 28-20 Change 2 published on August 11 2021 provided states with funding to assist with efforts to prevent and detect fraud and identity theft and to recover fraud overpayments in the PUA and PEUC programs. UIPL No. 22- 21 published on August 11 2021 provided states with funding to assist with such efforts across all UC programs. Promoting Program Equity. As states consider additional tools to incorporate into their fraud management operations equitable access to unemployment benefits must be at the forefront of the decision-making process in line with Executive Order EO 13985 issued January 20 2021 and UIPL Nos. 02-16 and 02-16 Change 1. At the most fundamental level equity within the UC program means the provision of UC payments to eligible workers regardless of one s background in a timely and fair manner with an application process that is readily accessible to all workers. In the context of fraud management equitable access means that there are alternatives to digital mechanisms of identity proofing that the mechanisms used to prove identity or flag for fraud do not contain racial gender or other bias and that data is available to understand the impact of fraud mitigation on eliminating barriers that prevent full and equal access to benefits for all eligible individua ls. UIPL No. 23-21 published on August 17 2021 provided states with funding to assist with efforts to promote program equity for all UC programs including PUA. 5 4. Guidance. a. Proce s sing the Expande d Eligibility Provis ions unde r UIPL No. 16-20 Change 5. i. Notif ication. States have requested clarification about the notification requirements related to the newest expanded PUA eligibilit y provisions described in UIPL No. 16-20 Change 5. As provided in Section 4.b.ii. of that UIPL notification to individua ls must include the following States must notify e ve ry individua l who had previously filed a PUA claim at any time while the PUA program was in effect and was denied for any week because they were not unemployed partially unemployed or unable or unavailable to work for one of the COVID-19 related reasons available at the time. Below are some examples of who is included in this population. o If the individua l selected none of the above or skipped selecting a COVID-19 related reason and was denied only for this reason they are included in this population. o If a state offered a free-form text box and upon evaluation against the COVID-19 related reasons available at the time the state determined that the individua l was not unemployed partially unemployed or unable or unavailable to work for one of the listed reasons thus denying them then the individua l is included in this population. o If an individual was denied for a reason other than failure to self- certify to a COVID-19 related reason s they are not included in this population e.g. if the individua l was denied because they were eligible for regular UC instead they are not included in this population . This notification must advise the individua l of the opportunity to self-certify to the comple te lis t of COVID-19 related reasons and to identify the date the individua l first became unemployed partially unemployed or unable or unavailable to work for COVID-19 related reason s . Such notification must occur individually as described in Section C.28. of Attachment I to UIPL No. 16-20 Change 4. If the state determines or previously determined that a PUA claim was filed by an individual who did not own the identity the state must not send any notification of potential entitlement based on the complete list of Covid-19 related reasons to the individua l. States have flexibilit y in how they provide the notice. A state may choose to provide a generic message to all individuals with at least one denied week 6 explaining that eligibilit y provisions for PUA have been expanded and providing the complete list of COVID-19 related reasons including instructions for how the individua l may contact the state agency to self-certify to previously denied weeks. This notice could read This notice is to inf orm you of recent changes to the eligibility provisions f or Pandemic Unemployment Assistance PUA . You were previously denied PUA benef its because you did not meet one of the specif ic COVID-19 related reasons. On February 25 2021 the U.S. Department of Labor approved new COVID-19 related reasons under which you may self-certify eligibility f or PUA if applicable. Below is a complete list of the COVID- 19 related reasons. If any of the reasons apply to you f or a week that you were previously denied or f or a week prior to your claim start date but no earlier than either February 2 2020 or December 6 2020 depending on when the initial claim was f iled to apply f or benefits you may contact insert state-specific instructions . Alternatively a state may choose to include self-certification forms for each previously denied week or a single table providing a row for each COVID-19 related reason and a column for each previously denied week. Such forms or tables must include a notice advising the individua l that intentional misrepresentation on the self-certification is fraud consistent with Question 45 of Attachment I to UIPL No. 16-20 Change 1. Additionally the state must allow the individua l to self-certify to the complete list of COVID-19 related reasons for a week prior to the claim start date if the individua l indicates that they were unemployed partially unemployed or unable or unavailable to work due to one or more of the COVID-19 related reasons prior to their PUA claim filing date but no earlier than either February 2 2020 or December 6 2020 depending on when the initial claim was filed and subject to the backdating limitations described in Section C.15. of Attachment I to UIPL No. 16-20 Change 4 . ii. Processing certif ications returned f rom previously denied PUA week s. An individua l must be found eligible for a previous week if they 1 were previously denied for a week only because they did not self-certify to one or more of the COVID-19 related reason s available at the time 2 upon receiving notification of the expanded eligibilit y list of COVID-19 related reasons self-certified that they were unemployed partially unemployed or unable or unavailable to work due to one or more of the COVID-19 related reasons and 3 meet all other eligibility requirements for the program. 7 If such an individua l had a week of unemployment that was previously denied only because the individua l was not unemployed partially unemployed or unable or unavailable to work because of available COVID-19 related reason s and that denial was affirmed at the appellate level the state must reevaluate this denial in the context of the Department s guidance provided in UIPL No. 16-20 Change 5. States are encouraged to coordinate with their Lower Authority and Higher Authority appellate levels to implement this requirement. Further under the Agreement Implementing the Relief for Workers Affected by Coronavirus Act Agreement that the state entered into with the Department to administer the PUA program the state agreed to administer the program in accordance with the terms of this Agreement and all guidance or operating instructions issued by the Department of Labor. A state s jurisdictiona l limitation cannot prevent the Department from taking action if a state is found to be out of compliance with the requirements of this Agreement. Additionally we note that some state UC laws contain a savings clause which may be invoked in order to administer the program in conformity with federal UC law and regulations. Invoking the savings clause may be an appropriate step to ensure the state can administer the PUA program in accordance with Section 2102 of the CARES Act as amended and the Department s subsequent guidance authorized under Section 2116 of the CARES Act as amended. b. Es tablis hing the Corre ct Effe ctive Date for PUA Applications . As described in Question 4 of Attachment I to UIPL No. 16-20 Change 1 an individua l does not need to demonstrate good cause to backdate a PUA claim. Rather the claim must be backdated to the first week during the Pandemic Assistance Period that the individua l was unemployed partially unemployed or unable or unavailable to work because of the COVID-19 related reason s described in Attachment I to this UIPL. States must include a question on their initial PUA application to determine when the individua l first became unemployed partially unemployed unable or unavailable to work because of one of the COVID-19 related reason s . With this information states must automatically backdate the PUA claim to the week that the individual first met the requirements for PUA subject to the limitations described in Section C.15. of Attachment I to UIPL No. 16-20 Change 4 . If a state did not gather this information at the time of initial PUA application retroactive action is not needed to obtain such information. However the state must continue to process any individua l requests. c. Individuals e ligible for PUA in multiple s tate s . To expand on Question 7 of Attachment I to UIPL No. 16-20 Change 1 an individua l whether self-employed or working in covered employment must file their PUA claim with the state where they were working at 8 the time of becoming unemployed partially unemployed or unable or unavailable to work because of approved COVID-19 related reason s . If the individua l worked in more than one state at that time the individua l may file a PUA claim in any of those states. If the individua l was working outside of the country in a job with a connection to the U.S. labor market at the time of becoming unemployed partially unemployed or unable or unavailable to work e.g. as a Peace Corps participant then the individua l should file in the state in which they reside. Absent this situation an individual may not file a PUA claim with a s tate in which the y did not work. An individua l who worked in more than one state at the initial time of becoming unemployed partially unemployed or unable or unavailable to work because of approved COVID-19 related reason s or after filing the original PUA claim and whose state in which they originally filed for PUA terminated the program prior to its expiration date may then file a PUA claim in the other state in which they worked. States are reminded that an individua l may not receive PUA in more than one state for any given week and may only receive assistance under the PUA program for a total of 79 weeks minus any week for which the individua l received regular UC or EB during the Pandemic Assistance Period . For example an individua l worked in both State A and State B at the time of becoming unemployed due to approved COVID-19 related reason s . The individua l filed for and received PUA from State A. State A elected to terminate participation in the PUA program effective June 26 2021 State B did not terminate the program early. Upon termination of the PUA program in State A the individua l may file a PUA claim in State B. The individua l may not receive PUA from State B for the same weeks of unemployment in which they received PUA from State A. Additionally any weeks of regular UC EB and PUA that the individua l previously received must be deducted from the individua l s total PUA duration in State B. In this example the individua l received 26 weeks of regular UC 0 weeks of EB and 46 weeks of PUA in State A for a total of 72 weeks of benefits. Weeks of unemployment under the PEUC program are not deducted. The individua l would be potentially eligible for seven 7 additional weeks of PUA in State B. i. Responsibility of states that have terminated the PUA program prior to its expiration. A. Legal Authority. As noted in the Department s correspondence with states that have terminated the PUA program the state must process and pay benefits under the PUA program for all weeks of unemployment ending on or before the date of termination and comply with all responsibilit ies with respect to claims filed under these programs for those weeks. As noted in 9 Section 4.a.i.A. of UIPL No. 14-21 Change 1 this includes taking new applications for PUA for 30 days after the date of termination. B. Notifications. As noted in Section 4.b. of UIPL No. 14-21 Change 1 states are required to individua lly notify individua ls of the termination of the PUA program including anyone who was receiving PUA at the time of termination as well as anyone for whom a PUA claim was previously established i.e. individua ls with remaining PUA balances who stopped filing such claims . Additionally such states are strongly encouraged to notify this same population of individua ls that they may be eligible under specific circumstances to file a new PUA claim in states that have not terminated participation in the PUA program. By October 4 2021 the Department will provide states with a sample communication notice that they may use including information on where to direct individua l inquiries regarding this matter. C. Coordination with States that Continue to Administer the PUA Program. States that have terminated the PUA program must cooperate with information requests from states that continue to administer the PUA program including by providing information on the weeks of unemployment for which an individua l received payment under the regular UC EB or PUA program during the Pandemic Assistance Period. ii. Responsibility of states that continue to administer the PUA program prior to its expiration date. A. Legal Authority. Section 2102 of the CARES Act as amended requires that benefits be paid to individua ls who meet the definition of a covered individua l in a state that has an agreement to pay PUA in place. Under the terms of the statute if an individua l meets the eligibility requirements on the basis of employment or self-employment in more than one state benefits are to be paid by either state which has an agreement with the Department. As noted above if the individua l worked in more than one state at the time of becoming unemployed partially unemployed or unable to work because of approved COVID-19 related reason s the individua l may choose to file a PUA claim in any of those states. In the event that the paying state terminates its agreement with the Department the covered individual would remain eligible for PUA in any other state where the individua l also worked which continues to administer the PUA program so long as i the individua l has not exhausted their entitlement to PUA benefits ii there remains an agreement between the other state and 10 the Department and iii the individual meets all the other eligibilit y requirements. B. Determining Eligibil ity. The individua l must continue to meet all the eligibility criteria for PUA to receive benefits in the new state. This includes the state s obligation to verify or validate an individua l s identity see Section C.3. of Attachment I to UIPL No. 16-20 Change 4 . The individua l must also submit documentation substantiating employment or self-employment or the planned commencement of such performed in the state where they are filing the new PUA claim. See Section C.2. of Attachment I to UIPL No. 16-20 Change 4. For purposes of individuals filing a second PUA claim under this section the state must obtain such documentation substantiating employment or self-employment or the planned commencement of such prior to re le as ing payme nt on the ne w claim. Note that this is different from individuals who are filing a PUA claim for the first time for which an eligible individua l may receive immediate payment while they have 21 days to submit such documentation see Section C.2. of Attachment I to UIPL No. 16-20 Change 4 . Additionally for purposes of individua ls filing a second PUA claim under this section such documentation must demonstrate proof of employment or self- employment or the planned commencement of such employment or self- employment in the ne w s tate at s ome point be twe e n the start of the applicable taxable ye ar for the original PUA claim and the date of filing of the ne w claim. C. Calculating Benefit Entitlement. 1 Week ly Benef it Amount WBA . The base period for calculating a PUA claim s WBA is defined as the most recent tax year that has ended for the individua l prior to the individua l s unemployment partial unemployment or inability or unavailabilit y to work because of the approved COVID-19 related reason s . See Attachment II to UIPL No. 16-20 Change 1 for instructions on calculating the WBA. For purposes of individua ls filing a second PUA claim under this section the state should use the base period from the individua l s original PUA claim. As noted in Attachment II to UIPL No. 16-20 Change 1 the computation formula is based on state law and so it is possible for an individua l to have a different PUA WBA on the second claim despite using the same look-back period as the original claim. 11 Additionally because employers are not charged for PUA there is no prohibit ion on using wages from the original state in calculating the WBA for the new state. 2 Number of Week s i.e. Duration . The maximum number of weeks of PUA benefits for an individua l is 79 weeks see Section 4.c.i. of UIPL No. 14-21 for additional details . For new PUA claims filed in a state which continues to administer the PUA program the state must determine if an individua l has previously received PUA in another state and if so subtract any weeks of unemployment for which the individua l received regular UC EB or PUA during the Pandemic Assistance Period from the individua l s PUA entitlement. D. Coordination with Terminating States. States that continue to administer the PUA program must coordinate with terminating states to obtain information on the weeks of unemployment for which an individual received payment under the regular UC EB or PUA program during the Pandemic Assistance Period and such weeks must be deducted from the individual s PUA entitlement. d. State activity afte r the PUA program e xpire s. For a state that did not terminate the PUA program before the expiration date the PUA program expires with weeks of unemployment ending on or before September 6 2021. In states where the week of unemployment ends on a Saturday the last payable week of PUA is the week ending September 4 2021. In states where the week of unemployment ends on a Sunday the last payable week of PUA is the week ending on September 5 2021. See Section 4.c.i. of UIPL No. 14-21. i. Tak ing new applications af ter the date of termination or expiration. As described in Section 4.a.i.A. of UIPL No. 14-21 Change 1 states must accept new PUA applications for 30 days after the date of state termination or program expiration whichever comes first and such claims must be backdated as appropriate to the first week during the Pandemic Assistance Period in which the individua l was unemployed partially unemployed or unable or unavailable to work because of approved COVID-19 related reason s subject to the backdating limitat ions described in Section C.15. of Attachment I to UIPL No. 16-20 Change 4 . ii. Tak ing new applications f rom individuals eligible f or PUA in multiple states. The Department recognizes that states may need additional time to accommodate this process described in Section 4.c. of this UIPL in their existing computer systems. As such states that did not terminate their participation in the PUA program prior to the program s expiration date on September 6 2021 must accept applications 12 meeting the following criteria for 30 days after the state s PUA system becomes capable of accepting and processing such applications Individua ls who worked in more than one state at the time of becoming unemployed partially unemployed or unable or unavailable to work because of approved COVID-19 related reason s and The state in which such individua l originally filed for PUA terminated the program prior to its expiration date which prevented the individua l from continuing to receive PUA. Attachment II of this UIPL provides Questions and Answers to address recent state inquiries as well as a table summarizing the dates included in these answers. This includes timeframes for states to accept continued claim forms and documentation submitted by an individual to be considered for a higher WBA. e. As s essing a State s Good Faith Effort in Imple me nting the PUA Program. Section 263 of the Continued Assistance for Unemployed Workers Act of 2020 Continued Assistance Act requires individua ls as a condition of continued eligibility for PUA benefits to provide a weekly recertification i.e. self-certification that they are otherwise able to work and available to work within the meaning of applicable state law except that they are unemployed partially unemployed or unable or unavailable to work because of one or more of the COVID-19 related reasons specified in Section 2102 a 3 A ii of the CARES Act. This applies with respect to weeks beginning on or after January 26 2021 30 days after the enactment of the Continued Assistance Act . If a state made a good faith effort to implement the PUA program under Section 2102 of the CARES Act and in accordance with rules similar to those provided in 20 C.F.R. 625.6 as provided for in Section 263 of the Continued Assistance Act an individual who previously received PUA must not be denied benefits for weeks of unemployment ending before February 6 2021 or February 7 2021 for states with a Sunday week-ending date solely for failing to submit a weekly recertification i.e. self-certification which identifies the specific COVID 19 reason s as described in 2102 a 3 A ii . The Department recognizes the significant operational load on states and the burden on individua ls to complete retroactive activities. ETA will assess each state s PUA implementation to determine if the state made a good faith effort to implement the PUA program in accordance with Section 2102 of the CARES Act and 20 C.F.R. 625.6. This assessment will determine what if any retroactive action is needed by the state. Attachment III of this UIPL provides information on how ETA will assess whether the state made a good faith effort in implement ing the PUA program. This assessment will determine what if any action is needed from the state to obtain retroactive self- certification declarations from individua ls. 13 f. Update d Re porting Re quire me nts. ETA has revised the ETA 902P report to include one additional data item for tracking of the PUA overpayment waiver amount. This guidance supersedes the reporting instructions provided in Attachment II to UIPL No. 16- 20 Change 4. The ETA 902P now includes the following additional data cells Section C Overpayment Activity Column 22 the total amount of all PUA overpayments waived for the reporting period. Timeline for submitting new reporting components. Any ETA 902P report submitted after the publication of this UIPL must include the additional components. For ETA 902P reports previously submitted for prior months states may submit amended reports for each month containing the following PUA waiver amount in column 22 Alternatively states have the option of including cumulative amounts for all prior months in the Comments section of the next ETA 902P report submission for PUA waiver amounts Refer to Attachment IV of this UIPL for the revised report template and instructions about this reporting. Additional obligationa l authority for the PUA program will be added to the existing PUA Administration funding line on the state s Pandemic Grant. g. Additional adminis trative cos ts for imple me ntation. In addition to the 250 000 provided to states in UIPL No. 09-21 and 100 000 provided to states in UIPL No. 16-20 Change 5 states may seek additional funding of up to 100 000 to cover the costs of implementing provisions in this UIPL. States must submit a signed SF-424 form to request this funding. Permissible implementation costs include Computer programming and other technology costs Implementation of necessary business processes required for program implementation including customer experience and usability expertise as well as plain language expertise Training and travel Notices to beneficiaries and Overhead related only to the above. 14 States will receive funding to administer claims under these provisions as part of their usual submissions of workload counts to the Department. Such ongoing administrative costs must not be included in the request for implementation funding. See Attachment IV of this UIPL for updated instructions on the ETA 902P report. States must submit the required request for funding electronically to covid-19 dol.gov with a copy to the appropriate ETA Regional Office by Octobe r 4 2021. For information on completing the SF-424 refer to Attachment V of this UIPL Instructions f or Completing the SF-424. Additionally please note that grantees that receive supplemental grant awards for implementing these program changes must submit a quarterly progress report using the form ETA 9178-P to the appropriate ETA Regional Office. The form ETA 9178-P requires the grantee to provide ETA with narrative updates on supplemental grant activities. Attachments III and IV to UIPL No. 16-20 Change 1 contain Form ETA 9178-P and instructions for completing the Form ETA 9178-P and timeline for the submission of these status reports. If a state exhausts resources before implementation changes are completed the state may submit a Supplemental Budget Request SBR for additional administrative funds detailing such costs along with the required SF-424 form. The basis for these estimated costs must be included in the SBR application. Calculations for costs for state staff and contractors should be shown in accordance with the SBR instructions in ET Handbook No. 336 18th Edition Change 4 Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines. For SBR application instructions refer to UIPL No. 16-20 Attachment IV Supplemental Budget Request SBR Application Template. 5. Inquirie s. Please direct inquiries to covid-19 dol.gov with a copy to the appropriate ETA Regional Office. 6. Re fe re nces. American Rescue Plan Act of 2021 ARPA including Title IX Subtitle A Crisis Support for Unemployed Workers Pub. L. 117-2 Consolidated Appropriations Act 2021 including Division N Title II Subtitle A the Continued Assistance for Unemployed Workers Act of 2020 Continued Assistance Act Pub. L. 116-260 Coronavirus Aid Relief and Economic Security CARES Act including Title II Subtitle A Relief for Workers Affected by Coronavirus Act Pub. L. 116-136 Families First Coronavirus Response Act including Division D Emergency Unemployment Insurance Stabilizat ion and Access Act of 2020 EUISAA Pub. L. 116-127 15 20 C.F.R. Part 625 Disaster Unemployment Assistance Executive Order 13985 of January 20 2021 86 FR 7009 page 7009-7013 https www.federalregister.gov documents 2021 01 25 2021-01753 advanc ing- racial-equity-and-support-for-underserved-communit ies-thr ough-the-federal- government UIPL No. 23-21 Grant Opportunity f or Promoting Equitable Access to Unemployment Compensation UC Programs issued August 17 2021 https wdr.doleta.gov direct ives corr doc.cfm DOCN 7400 UIPL No. 22-21 Grant Opportunity to Support States with Fraud Detection and Prevention Including Identity Verif ication and Overpayment Recovery Activities in All Unemployment Compensation UC Programs published August 11 2021 https wdr.doleta.gov direct ives corr doc.cfm docn 4240 UIPL No. 20-21 State Instructions f or Assessing Fraud Penalties and Processing Overpayment Waivers under the Coronavirus Aid Relief and Economic Security CARES Act as Amended issued May 5 2021 https wdr.doleta.gov direct ives corr doc.cfm DOCN 6830 UIPL No. 14-21 Change 1 State Responsibilities Af ter the Temporary Unemployment Benef it Programs under the Coronavirus Aid Relief and Economic Security CARES Act as amended End Due to State Termination of Administration or When the Programs Expire issued July 12 2021 https wdr.doleta.gov direct ives corr doc.cfm DOCN 9502 UIPL No. 14-21 American Rescue Plan Act of 2021 ARPA Key Unemployment Insurance UI Provisions issued March 15 2021 https wdr.doleta.gov direct ives corr doc.cfm DOCN 5669 UIPL No. 09-21 Continued Assistance f or Unemployed Workers Act of 2020 Continued Assistance Act Summary of Key Unemployment Insurance UI Provisions issued December 30 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 3831 UIPL No. 28-20 Change 2 Additional Funding to Assist with Strengthening Fraud Detection and Prevention Ef forts and the Recovery of Overpayments in the Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs as well as Guidance on Processes for Combatting Identity Fraud issued August 11 2021 https wdr.doleta.gov direct ives corr doc.cfm docn 7207 UIPL No. 28-20 Change 1 Additional Funding f or Identity Verification or Verif ication of Pandemic Unemployment Assistance PUA Claimants and Funding to Assist with Ef f orts to Prevent and Detect Fraud and Identity Thef t as well as Recover Fraud Overpayments in the PUA and Pandemic Emergency Unemployment Compensation PEUC Programs issued January 15 2021 https wdr.doleta.gov direct ives corr doc.cfm docn 9897 UIPL No. 28-20 Addressing Fraud in the Unemployment Insurance UI System and Providing States with Funding to Assist with Ef f orts to Prevent and Detect Fraud and Identity Thef t and Recover Fraud Overpayments in the Pandemic Unemployment 16 Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs issued August 31 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 8044 UIPL No. 23-20 Program Integrity f or 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 direct ives corr doc.cfm DOCN 4621 UIPL No. 16-20 Change 5 Expanded Eligibility Provisions f or the Pandemic Unemployment Assistance PUA Program issued February 25 2021 https wdr.doleta.gov direct ives corr doc.cfm DOCN 3202 UIPL No. 16-20 Change 4 Continued Assistance to Unemployed Workers Act of 2020 Pandemic Unemployment Assistance PUA Program Updated Operating Instructions and Reporting Changes issued January 8 2021 https wdr.doleta.gov direct ives corr doc.cfm DOCN 6973 UIPL No. 16-20 Change 3 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Eligibility of Individuals who are Caregivers f or Pandemic Unemployment Assistance PUA in the Context of School Systems Reopening issued August 27 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 3849 UIPL No. 16-20 Change 2 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Pandemic Unemployment Assistance PUA Additional Questions and Answers issued July 21 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 5479 UIPL No. 16-20 Change 1 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Pandemic Unemployment Assistance PUA Program Reporting Instructions and Questions and Answers issued April 27 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 5899 UIPL No. 16-20 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Pandemic Unemployment Assistance PUA Program Operating Financial and Reporting Instructions issued April 05 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 4628 UIPL No. 10-20 Change 1 Unemployment Compensation UC f or Individuals Af f ected by the Coronavirus Disease 2019 COVID-19 Interpretation of Between and Within Terms Denial Provisions in Section 3304 a 6 A of the Federal Unemployment Tax Act FUTA published May 15 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 8879 UIPL No. 05-17 Interpretation of Contract and Reasonable Assurance in Section 3304 a 6 A of the Federal Unemployment Tax Act published December 22 2016 https wdr.doleta.gov direct ives corr doc.cfm DOCN 8999 UIPL No. 02-16 Change 1 State Responsibilities f or Ensuring Access to Unemployment Insurance Benefits Services and Information published May 11 2020 https wdr.doleta.gov direct ives corr doc.cfm DOCN 5491 17 UIPL No. 02-16 State Responsibilities f or Ensuring Access to Unemployment Insurance Benefits issued October 01 2015 https wdr.doleta.gov direct ives corr doc.cfm DOCN 4233 and ET Handbook No. 336 18th Edition Change 4 Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines. 7. Attachme nt s . Attachme nt I Acceptable COVID-19 Related Reasons for PUA Eligibilit y. Attachme nt II Questions and Answers State Activity After the PUA Program Expires. Attachme nt III Assessment of a State s Good Faith Effort in Implementing the PUA Program. Attachme nt IV ETA 902P Pandemic Unemployment Assistance Activities. Attachme nt V Instructions for Completing the SF-424. I-1 Attachme nt I to UIPL No. 16-20 Change 6 Acce ptable COVID-19 Re lated Re asons for PUA Eligibility f-certify that they are otherwise able and available to work within the mIndividua ls must sel eaning of applicable state law except that the individual is unemployed partially unemployed or unable or unavailable to work because of COVID-19 related reason s described below. Included for each of the reasons are illustrative examples and explanations of circumstances that fall under each category. Examples and explanations for each of the categories under items aa through jj of Section 2102 a 3 A ii I of the CARES Act are not an exhaustive list of all examples within each category. If states consider other qualifying circumstances such circumstances must align with one of the aa - jj reasons and be applied in a manner consistent with the examples below. Additionally the Secretary in his authority to approve additional items under Section 2102 a 3 A ii I kk of the CARES Act has approved four 4 additional circumstances under which an individua l may certify. aa. The individua l has been diagnosed with COVID-19 or is experiencing symptoms of COVID- 19 and is seeking a medical diagnosis. For example An individua l who has to quit his or her job as a direct result of COVID-19 because the individua l has tested positive for COVID-19 or has been diagnosed with COVID-19 by a qualified medical professional and continuing work activities such as through telework is not possible by virtue of such diagnosis or condition An individua l who has to quit his or her job due to coming in direct contact with someone who has tested positive for COVID-19 or has been diagnosed by a medical professional as having COVID-19 and on the advice of a qualified medical health professional is required to resign from his or her position in order to quarantine. bb. A member of the individua l s household has been diagnosed with COVID-19. For example A member of the individua l s household has been diagnosed as having COVID-19 by a qualified medical professional or a member of the individua l s household has tested positive for COVID-19 and the individua l is unable to work as a result. cc. The individua l is providing care for a family member or a member of the individual s household who has been diagnosed with COVID-19. For example An individua l is providing care for a family member or a member of the individua l s household if the provision of care requires such ongoing and constant attention that the individua l s ability to perform other work functions is severely limited. An individua l who is assisting a family member who is able to adequately care for him or herself is not providing care under this category. I-2 dd. A child or other person in the household for which the individual has primary caregiving responsibilit y is unable to attend school or another facility that is closed as a direct result of the COVID-19 public health emergency and such school or facility care is required for the individua l to work. For example An individua l has primary caregiving responsibility for a child or other person in the household if he or she is required to remain at home to care for the child or other person. This includes an individua l whose job allows for telework but for whom the provision of care to the child or other person with a closed school or other facility requires such ongoing and constant attention that it is not possible for the individual to perform work at home. ee. The individua l is unable to reach the place of employment because of a quarantine imposed as a direct result of the COVID-19 public health emergency. For example An individua l who is unable to reach his or her place of employment because doing so would require the violation of a state or municipal order restricting travel that was instituted to combat the spread of COVID-19. ff. The individua l is unable to reach the place of employment because the individual has been advised by a health care provider to self-quarantine due to concerns related to COVID-19. For example An individua l who has been advised by a qualified medical professional that he or she may be infected with COVID-19 and that he or she therefore should self-quarantine. For example an individua l had direct contact with another person who has tested positive for COVID-19 or been diagnosed with COVID-19 by a qualified medical professional and is advised by a health care provider to self-quarantine to prevent further possible spread of the virus. Such circumstances would render the individua l unable to reach his or her place of employment. An individua l whose immune system is compromised by virtue of a serious health condition and is therefore advised by a health care provider to self-quarantine in order to avoid the greater-than-average health risks that the individua l might face if he or she were to become infected by COVID-19. gg. The individua l was scheduled to commence employment and does not have a job or is unable to reach the job as a direct result of the COVID-19 public health emergency. For example An individua l is unable to reach his or her job because doing so would require the violation of a state or municipal order restricting travel that was instituted to combat the spread of COVID-19 or the employer has closed the place of employment. An individua l does not have a job because the employer with whom the individual was scheduled to commence employment has rescinded the job offer as a direct result of the COVID-19 public health emergency. I-3 hh. The individua l has become the breadwinner or major support for a household because the head of the household has died as a direct result of COVID-19. For example An individua l whose head of household previously contributed the majority of financial support to the household died as a direct result of COVID-19 and the individual is now the person in the household expected to provide such financial support. ii. The individua l has to quit his or her job as a direct result of COVID-19. For example An individua l was diagnosed with COVID-19 by a qualified medical professional and although the individua l no longer has COVID-19 the illness caused health complications that render the individua l objectively unable to perform his or her essential job functions with or without a reasonable accommodation. States should also note that for purposes of item ii an individua l does not have to quit his or her job as a direct result of COVID-19 if paid sick leave or other paid leave benefits are available to the individua l. Generally an employee has to quit within the meaning of this Section only when ceasing employment is an involuntar y decision compelled by the circumstances identified in this Section. jj. The individua l s place of employment is closed as a direct result of the COVID-19 public health emergency. For example If a business is shut down due to an emergency declaration or due to necessary social distancing protocols the resulting unemployment of affected individua ls would be considered a direct result of COVID-19. While a government-mandated closure is not necessary to satisfy this category the claimant must be able to self-certify that the business was closed as a direct result of the COVID-19 public health emergency. If a business has multiple parts and one or some of those parts is shut down due to restrictions imposed by COVID-19 affected staff from the parts of the business that shut down may be eligible for PUA. For example a business may include both a restaurant and a brewery. If the individua l s place of employment is the restaurant and the restaurant is shut down because of the COVID-19 pandemic even if the brewery continues to operate the individua l who was employed in the restaurant may be eligible for PUA. An individual who is working reduced hours while his or her place of employment continues to operate does not satisfy the conditions to self-certify under item jj . kk. The individua l meets any additional criteria established by the Secretary for unemployment assistance under this Section. To date the Secretary has approved the four 4 criterion under the Secretary s authority provided in Section 2102 a 3 A ii I kk of the CARES Act see Section 4.b. of UIPL No. 16-20 Change 2 Section C.1.kk. of Attachment I to UIPL No. 16-20 Change 4 and Section 4.a of UIPL 16-20 Change 5 . These reasons are described below. I-4 1. Self-employed individua ls including independent contractors and gig workers who experienced a significant diminut ion of their customary or usual services because of the COVID-19 public health emergency even absent a suspension of services. States may use the following verbiage for item kk.1 I am self-employed including an independent contractor or gig worker and experienced a significant reduction of services because of the COVID-19 public health emergency. 2. The individua l has been denied continued unemployment benefits because the individua l refused to return to work or accept an offer of work at a worksite that in either instance is not in compliance with local state or national health and safety standards directly related to COVID-19. This includes but is not limited to those related to facial mask wearing physical distancing measures or the provision of personal protective equipment consistent with public health guidelines. For purposes of this COVID-19 related reason unemployment benefits include regular UC Unemployment Compensation for Federal Employees UCFE Unemployment Compensation for Ex-Servicemembers UCX PUA PEUC EB Short-Time Compensation STC Trade Readjustment Allowances TRA Disaster Unemployment Assistance DUA and payments under the Self-Employment Assistance SEA program. An individua l is generally denied unemployment benefits if the state determines that the work is suitable and the individua l did not have good cause for refusing such work. This COVID-19 related reason applies only to individua ls who had already been receiving unemployment benefits but were determined to be ineligible or disqualif ied under state law because they refused an offer of work at a worksite that was not in compliance with local state or national health and safety standards directly related to COVID-19. This is a separate COVID-19 related reason from item ii of Section 2102 a 3 A ii I of the CARES Act which provides eligibil ity to an individua l who quits their job as a direct result of COVID-19. For example an individua l may self-certify under this COVID-19 related reason who has previously been denied because the state law does not consider health and safety standards when assessing suitability or good cause or who has previously been denied because the health and safety standards considered under state law are more restrictive than the local state or national COVID-19 health standards. Below are a few non- exhaustive scenarios. See Section 4.b.iv. UIPL No. 16-20 Change 5 for additional details regarding PUA effective dates. o An individua l was laid off in June 2020 and began receiving regular UC. The individua l was recalled to work in October 2020. However because the worksite was not in compliance with the local mask mandate the individua l refused to return to work. The individua l was disqualifie d from continued receipt of regular UC under state law. The individua l is eligible to apply for PUA under this COVID-19 related reason. I-5 o An individua l was laid off in October 2020 and began receiving regular UC. The individua l received a new job offer in January 2021 however the new worksite was unsafe due to non-compliance with physical distancing measures under state law. The individua l was disqualified from continued receipt of regular UC under state law. The individua l is eligible to apply for PUA under this COVID-19 related reason. An individua l is not eligible for PUA if they are otherwise eligible for regular UC or PEUC or EB . Many states have provisions in their state UC law that consider work that unreasonably exposes an individua l to health and safety risks to be unsuitable work. The state may determine if it is consistent with the state s law that the work is not suitable. Or the state may find the work is suitable but determine that the individua l had good cause for refusing such work.1 In these circumstances the individua l must continue to receive unemployment benefits provided they are otherwise eligible. The individua l is not eligible for PUA using this COVID-19 related reason if the individua l was determined eligible for continued unemployment benefits for refusal of work under state law. Moreover an individua l who is allowed continued unemployment benefits and subsequently exhausts such benefits is not eligible for PUA using this COVID-19 related reason. 3. An individua l provides services to an educational institution or educational service agency and the individua l is unemployed or partially unemployed because of volatility in the work schedule that is directly caused by the COVID-19 public health emergency. This includes but is not limited to changes in schedules and partial closures. This COVID-19 related reason addresses situations where an individua l provides services to educational institutions or educational service agencies and is subject to significant volatility in the school schedule directly related to COVID-19. Whether the individua l is between or within terms and has a contract or reasonable assurance to return in the subsequent year or term will affect the individua l s ability to self-certify under this COVID-19 related reason as described below.2 Attachment II to UIPL 16-20 Change 5 provides a graphical representation of the process for determining PUA eligibilit y under this reason. A. Individual does not have a contract or reasonable assurance. An individua l who 1 has provided services to an educational institution or educational service agency 2 lacks a contract or reasonable assurance and as a result is not subject 1 The Department reminds s tates that Section 4102 b of the Emergency Unemployment Insurance Stabilization and Access Act of 2020 EUISAA s et out at Divis ion D of the Families Firs t Coronavirus Res ponse Act Pub. L. 116- 127 provides s tates with the authority to temporarily modify their good cause provisions as needed in res ponse to the s pread of COVID-19 see Section 5.C. of UIPL No. 13-20 . 2 UIPL No. 10-20 Change 1 provides additional information about the between and within terms denial provision within the context of COVID-19. UIPL No. 05-17 clarifies the Department s interpretation of the terms contract and reas onable as surance and assists s tates in applying these terms consistent with federal law requirements. I-6 to the between and within terms denial provisions and 3 is not otherwise eligible for regular UC or PEUC or EB may self-certify eligibilit y for PUA under this COVID-19 related reason if they are subject to significant volatility in the school schedule. If the individua l does not have a contract or reasonable assurance to return and self-certifies eligibility under this COVID-19 related reason or another COVID- 19 related reason that is applicable to their situation the individua l may use wages from the educational institution to potentially qualify for a WBA that is higher than the state s minimum PUA WBA. B. Individual has a contract or reasonable assurance. An individual is generally not eligible for PUA if they 1 have provided services to an educational institution or educational service agency and 2 are filing for a week that is between or within terms and they have a contract or reasonable assurance to return in the subsequent year or term and as a result they are denied regular UC or PEUC or EB . However the individual may be eligible for PUA if they have other non- educational employment from which they are able to self-certify that they are unemployed partially unemployed or unable or unavailable to work for a different COVID-19 related reason. As described in Section 4.e.i. of UIPL No. 10-20 Change 1 wages from the educational institution may not be used to calculate the individua l s PUA WBA. If school schedules or planned school openings are disrupted and an individua l is found to no longer have a contract or reasonable assurance to return in the subsequent year or term then they can establish eligibil ity going forward as described in subparagraph A under this COVID-19 related reason or another COVID-19 related reason that is applicable to their situation. Federal law allows retroactive payments of regular UC or PEUC or EB under certain circumstances for individuals in a nonprofessional capacity if they no longer have a contract or reasonable assurance. See Section 4.d. 4 . of UIPL No. 05-17. When determining if such individua ls may receive PUA for weeks previously denied under regular UC or PEUC or EB because the individua l had a contract or reasonable assurance and the individua l was later found not to have reasonable assurance states must first determine if the individua l qualifies for regular UC or PEUC or EB under the state s backdating provisions. If the individua l does not qualify for backdating for regular UC then they may retroactively self-certify for PUA under this COVID-19 related reason. States must determine PUA effective dates consistent with instructions provided in Section 4.b.iv. of UIPL 16-20 Change 5 and Section C.15. of Attachment I to UIPL No. 16-20 Change 4. I-7 The individua l must report any earnings each week that they file for PUA. The individua l s WBA must be reduced on account of such earnings and income as prescribed under state law. Individua ls who receive a full salary during periods of disruption are no t considered to be unemployed and would not be eligible for PUA. See Section 4.a. of UIPL No. 10 -20. 4. An individua l is an employee and their hours have been reduced or the individua l was laid off as a direct result of the COVID -19 public health emergency. This COVID -19 related reason expands eligibil ity beyond the current provision of item jj of Secti on 2102 a 3 A ii I of the CARES Act which is limited to situations where the individua l s place of employment is closed. Under this COVID -19 related reason if an individua l is laid off because the place of employment is partially closed either per manently or temporarily or the individua l has experienced a reduction in hours the individua l may self -certify eligibilit y. Generally individuals in covered employment who are laid off are experiencing a reduction in hours or are working part -time as a result of partial business closure would qualify for regular UC or PEUC or EB and therefore would not be eligible for PUA. However such individua ls may not be eligible for regular UC or PEUC or EB because for example they lack sufficient wages to qualify have a previous disqualificat ion or have exhausted regular UC PEUC and EB. This COVID -19 related reason establishes a circumstance under which they may self -certify eligibility for PUA. 3 The individua l must report any earnings from the reduced hours when filing continued claims and such amounts must be deducted from the PUA weekly benefit amount in accordance with the state law. See Section C.16.c. of Attachment I to UIPL No. 16 -20 Change 4. States are reminded that for each week of P UA claimed states must ensure that an individua l completes a self -certification form either paper or online that includes the following The identification of the specific applicable COVID -19 related reason s under Section 2102 a 3 A ii of the CARES Act and A notice advising the individual that intentiona l misrepresentation on the self - certification is fraud see Question 45 of Attachment I to UIPL No. 16 -20 Change 1 . Because eligibility is based on self -certification no further fact -fin ding is involved. Additionally states are required to take reasonable and customary precautions to deter and detect fraud. See Section C.21. of Attachment I to UIPL 16 -20 Change 4 and UIPL Nos. 28 -20 28 -20 Change 1 and 28 -20 Change 2 for additional details on tools to combat fraud. 3 For examples of individual s who may qualify for PUA with previous dis qualifications refer to Questions 30 31 and 33 of Attachment I to UIPL No. 16 -20 Change 1 or Ques tion 12 of Attachment I to UIPL No. 16 -20 Change 2. I-8 Attachment I to UIPL No. 16 -20 Change 5 provides a sample self -certification declaration for states and includes all of the approved COVID -19 related reasons. Able and Available Requirements f or PUA. States should bear in mind that many of the qualifying COVID -19 related reasons are likely to be of limited duration and eligibility for PUA requires that the individua l is otherwise able to work and available for work within the meaning of applicable state law. For example an individual who has been advised to self -quarantine by a health care provider because of the individua l s exposure to a person who has tested positive for COVID -19 and is therefore unable to reach their place of employment for purposes of item ff may be able to return to their place of employment within two w eeks of the exposure if they have not exhibited symptoms of COVID -19 or tested positive for COVID -19. Similarly a school is not closed as a direct result of the COVID -19 public health emergency for purposes of item dd after the date the school year w as originally scheduled to end as described in more detail in UIPL No. 16 -20 Change 3. As such the expectation is that states will continue to assess an individua l s ability to work and availabilit y for work each week that the individua l is collecting PUA to ensure the individua l remains otherwise able to work and available for work except for the identified COVID -19 related reason s . States may do this through the continued claims process by asking if the individua l is otherwise able and available fo r work except the their inability or unavailabilit y is due to one of the COVID -19 reasons. II-1Attachme nt II to UIPL No. 16-20 Change 6 Que s tions and Ans we rs State Activity afte r the Pande mic Une mployme nt As s is tance PUA Program Expire s Section 4.c. of this UIPL describes state activity after the PUA program expires. Below are Questions and Answers to address recent state inquiries. The table after the questions and answers summarizes the dates included in these answers. One of the criteria to be eligible for PUA is that an individua l must self-certify that they are unemployed partially unemployed or unable or unavailable to work due to approved COVID-19 related reason s for weeks of unemployment ending on or before the date of state termination or program expiration whichever comes first . PUA may not be paid for any we e ks of une mployme nt e nding afte r Se pte mbe r 6 2021. The Department recognizes that for states with a backlog in resolving eligibil ity issues these claims may not be processed for months into the future and the Department stands ready to provide technical assistance to such states to address this backlog. 1.Question Is the state required to accept PUA applications until October 6 2021 or would it be through the end of the unemployment week prior to October 6 2021 Answer For claims other than those described in Section 4.c. of this UIPL where the individua l is eligible for PUA in multiple states and where the state did not terminate the PUA program before the program expiration date the state must accept new PUA applications through October 6 2021. Note that PUA may not be paid for any weeks of unemployment ending after September 6 2021. 2.Question May an individua l file a new PUA application after the 30-day required period if they filed for regular unemployment compensation UC prior to October 6 2021 but the state does not make a determination of ineligibil ity for regular UC until after October 6 2021 Answer Yes. If the individua l self-certifies that they were unemployed partially unemployed or unable or unavailable to work because of approved COVID-19 related reason s for weeks of unemployment ending on or before the date of state termination or program expiration whichever comes first they may file a new PUA application after the 30-day required period only if they 1 filed a regular UC claim prior to the end of the 30- day required period for accepting new PUA applications after the date of state termination or program expiration whichever comes first and 2 are found ineligible for regular UC or PEUC or EB after the end of the 30-day required period. However such an individual must file the PUA claim within 21 days of the determination of ineligibil ity for regular UC. The state must notify affected individua ls of this PUA filing deadline which may be done as part II-2 of the notification that their UC or PEUC or EB claim was denied or in a separate notification. 3. Question The state is required to accept new PUA applications for 30 days after the date of state termination or program expiration whichever comes first . How long must the state accept continued claim forms for a PUA claim Answer PUA may not be paid for any weeks of unemployment ending after September 6 2021 though payment for weeks of unemployment ending before September 6 2021 may occur at a later date. After the Pandemic Assistance Period ends September 6 2021 the state must accept continued claim forms for 21 days after the later of i the date on which the state notifies an individual of their right to self-certify under the expanded eligibility provisions described in UIPL No. 16-20 Change 5 ii the program expiration date or iii the date the individua l files a new PUA application. 4. Question The state must accept documentation submitted by the individua l to be considered for a higher weekly benefit amount WBA at any time during the Pandemic Assistance Period see Question 2 of Attachment I to UIPL No. 16-20 Change 2 . Since the Pandemic Assistance Period ends on September 6 2021 and the state must accept new PUA applications for an additional 30 days what is the deadline for accepting documentation to be considered for a higher WBA Answer After the Pandemic Assistance Period ends September 6 2021 the state must accept documentation to be considered for a higher WBA for up to 21 days after the later of i the program expiration date ii the date the individua l files a new PUA application or iii the date the state notifies the individua l of their ability to submit documentation to be considered for a higher WBA. This applies to all states regardless of whether they terminated the PUA program prior to its expiration date. NOTE Providing documentation to support the calculation of a higher WBA is a separate provision from the requirement to provide documentation substantiating employment or self- employment. The deadline for submitting documentation substantiating employment or self- employment is determined by the date the individua l filed a new claim or was instructed by the state to provide such documentation whichever is later either 21 days or 90 days. See Section C.2. of Attachment I to UIPL No. 16-20 Change 4. 5. Question States are required to process and pay benefits under the PUA program for all weeks of unemployment ending on or before the date of state termination or program expiration whichever comes first . Will the Department continue to provide administrative funding for the required PUA activities after this date Answer Yes. So long as the state is processing PUA-related workload e.g. determinations appeals overpayments the state may continue to receive administrative funding for such activities. To receive such funding the state must continue to report workload activity on the ETA 902P. The Department expects that such activity may continue at an increasingly II-3 diminis hing rate for several months or years into the future and will continue to fund administration based on the ETA 902P reporting numbers with the expectation that this amount will likely decrease over time. II-4 Reference Des cription S tates Terminating the PUA Program Early S tates Not Terminating the PUA Program Early S ection 4.c. of this UIPL PUA Program End Date Varies by s tate but prior to week ending 09 04 21 W eeks of unemployment ending on or before 09 06 21 Ques tion 1 Timeframe for state to accept new PUA applications 30 days from s tate termination date date varies by s tate For claims other than those described in Section 4.c. of this UIPL where the individual is eligible for PUA in multiple s tates and the s tate did not terminate the PUA program before the program expiration date 30 days from program expiration date 10 06 21 S ection 4.c. of this UIPL Special Scenario. Timeframe for state to accept new PUA applications for an individual who i worked in more than one state at the time of becoming unemployed partially unemployed or unable or unavailable to work because of approved COVID-19 related reas on s and ii the s tate in which s uch individual originally filed for PUA terminated the program prior to its expiration date which prevented the individual from continuing to receive PUA N A 30 days from date the state s PUA s ys tem is capable of accepting and processing such applications Ques tion 2 Special Scenario Timeframe for state to accept new PUA applications for an individual who s elf-certifies that they were unemployed partially unemployed or unable or unavailable to work because of approved COVID-19 related reas on s for weeks of unemployment ending on or before the date of s tate termination or program expiration whichever comes firs t and meets the following criteria 1 filed a regular UC claim prior to the end of 30-day required period and 2 s tate does not determine they are ineligible for regular UC or PEUC or EB until after 30-day required period 21 days after determination of ineligibility for regular UC claim that was filed on or before 30-day required period from Ques tion 1 21 days after determination of ineligibility for regular UC claim that was filed on or before 30-day required period from Ques tion 1 II-5 Reference Des cription S tates Terminating the PUA Program Early S tates Not Terminating the PUA Program Early Ques tion 3 Timeframe for state to accept continued claim forms for PUA claim 21 days after the later of i the date on which the s tate notifies an individual of their right to s elf-certify under the expanded eligibility provis ions described in UIPL No. 16- 20 Change 5 ii the program expiration date or iii the date the individual files a new PUA application. 21 days after the later of i the date on which the s tate notifies an individual of their right to s elf-certify under the expanded eligibility provis ions described in UIPL No. 16- 20 Change 5 ii the program expiration date or iii the date the individual files a new PUA application. Ques tion 4 Timeframe for state to accept documentation s ubmitted by the individual to be considered for a higher W BA 21 days after the later of i the program expiration date ii the date the individual files new PUA application or iii the date the s tate notifies the individual of their ability to s ubmit documentation to be cons idered for a higher W BA 21 days after the later of i the program expiration date ii the date the individual files new PUA application or iii the date the s tate notifies the individual of their ability to s ubmit documentation to be cons idered for a higher W BA III-1 Attachme nt III to UIPL No. 16-20 Change 6 As s essment of a State s Good Faith Effort in Imple me nting the PUA Program As discussed in Section 4.e. of this UIPL ETA will assess each state s PUA implementation to determine if the state made a good faith effort to implement the PUA program in accordance with Section 2102 of the CARES Act and 20 C.F.R. 625.6. This assessment will determine what if any retroactive action is required by the state. Acknowledging that the eligibility requirements for the PUA program evolved over time in response to legislative enactments states may have had multiple implementation phases for administering PUA. ETA will work with each state to review initial applications and continued claim forms to determine if the state made a good faith effort to implement the PUA program. Step 1 Evaluate the state s implementation of Monetary Determinations. ETA defines a good faith effort in accordance with 20 C.F.R. 625.6 to mean that a state took the following actions a. provided a Monetary Determination for all PUA claims and included notice that individua ls may submit documentation to be considered for a higher PUA weekly benefit amount WBA at any time during the Pandemic Assistance Period b. issued a monetary redetermination if the state determined that such documentation was sufficient to permit a re-computation for a higher PUA WBA. See Question 2 of Attachment I to UIPL No. 16-20 Change 2 and c. when establishing a WBA based on self-attestation and the individua l failed to submit proof of earnings income within 21 days the state issued a Monetary Redetermination reducing the WBA and established an overpayment as appropriate. States that did not make a good faith effort will be required to take the following actions based on the reason why the state was determined to not have made a good faith effort to implement the monetary determination 1. Notify all individuals receiving PUA that they may submit documentation to demonstrate that they may be eligible for a higher WBA at any time during the Pandemic Assistance Period see Section 4.d. and Attachment II of this UIPL for additional details about accepting such documentation after the program expiration date . 2. If the state received documentation from an individua l that is sufficient to permit a re- computation of the PUA WBA the state must process the request and issue a Monetary Redetermination and issue supplementary payment s as appropriate. 3. If the state relied on self-attestation to calculate a WBA higher than the minimum WBA and the state has not yet taken action for individua ls who either failed to respond with proof of earnings income within 21 days and did not provide any documentation subsequent to the 21-days that would support the higher WBA or for individua ls whose documentation did not support the higher WBA amount the state must issue a Monetary III-2 Redetermination reducing the WBA and establish an overpayment as appropriate. See UIPL No. 20-21 for information regarding PUA overpayments. Step 2 Evaluate the state s implementation of the self-certification. ETA defines a good faith effort to implement the self-certification declaration to mean that the state took the following actions a. the state obtained a self-certification either on the initial PUA application or as part of the individua l s first continued claim certification the first week of eligibil ity b. the language used on the state s self-certification reasonably captures the intent of the COVID-19 related reasons in Section 2102 a 3 A ii I of the CARES Act and Department guidance and c. the state assessed whether the individua l was otherwise able to work and available for work within the meaning of applicable state law able and available status except for the self-certified COVID-19 related reason s . A Note on Evaluating Underpayments. Section C.7. of Attachment I to UIPL No. 16-20 Change 4 advised that an evaluation of good faith effort may also include the extent to which the state s implementation of the self-certification requirement may have resulted in potentially eligible individua ls not receiving benefits. In Section 4.b.1. of UIPL No. 16-20 Change 5 ETA provided states instructions to retroactively evaluate all claims that were previously denied and additional instructions are provided in Section 4.a. of this UIPL. Provide d the s tate complie s with the re quire me nts of UIPL No. 16-20 Change 5 no furthe r re troactive action is ne e ded in e ns uring pote ntially e ligible individuals we re not de nie d be ne fits. States that did not make a good faith effort will be required to take the following actions based on the reason why the state was determined to not have made a good faith effort to implement the self-certification 1. Seek retroactive self-certifications from any individua ls who were not asked to self- certify to the approved COVID-19 related reason s at some point during their claim series to assess eligibility. 2. Seek retroactive self-certifications from individua ls who were paid based on an unapproved overly-expansive COVID-19 related reason who were not asked to self- certify to the approved COVID-19 related reason s at some point during their claim series to assess eligibility. 3. If the state failed to include an eligibilit y question regarding an individua l s able and available status on the continued claim form or if the state included such a question but failed to properly adjudicate the eligibilit y issue when an individua l reported that they were either unable or unavailable to work for a reason other than the approved COVID- 19 related reason s described in Attachment I of this UIPL the state must retroactively request such status for every paid week and if the individual responds that they were not able and available for any given week properly adjudicate the eligibility issue and establish overpayments where appropriate. III-3 For any of these possible retroactive actions If the individua l is provided an opportunity to self- certify that they were unemployed partially unemployed or unable or unavailable to work due to the full list of approved COVID-19 related reason s and the individual is determined to not have actually qualified for PUA for the weeks already paid the individua l must be determined ineligible and an overpayment must be established for any week in which the individua l did not meet the PUA eligibility requirements. See UIPL No. 20-21 for further information regarding PUA overpayments and evaluating eligibilit y to waive recovery of such overpayments. IV-1 Attachme nt IV to UIPL No. 16-20 Change 6 ETA 902P PANDEMIC UNEMPLOYMENT ASSISTANCE ACTIVITIES Section IV-4 A. Facsimile of Form ........................................................................................................... 183 B. Purpose .......................................................................................................................... 185 C. Scope and Duration of the Report .................................................................................... 185 D. Due Date and Transmittal ................................................................................................ 185 E. General Reporting Instructions ......................................................................................... 185 F. Definitions....................................................................................................................... 185 1. Effective Date of an Initial Application ...................................................................... 186 2. Eligible .................................................................................................................... 186 3. Fraud....................................................................................................................... 186 4. Identity ID Theft ................................................................................................... 186 5. Identity Theft Overpayments cases Established....................................................... 186 6. Overpayments cases Established ............................................................................ 186 7. Waived .................................................................................................................... 186 G. Item by Item Instructions ................................................................................................. 186 1. Report Period Ended ................................................................................................ 186 2. State........................................................................................................................ 186 3. Report Type............................................................................................................. 186 4. Section A. Application and Payment Activities ......................................................... 186 5. Section B. Denial and Appeals Activity .................................................................... 187 6. Section C. Overpayment Activity and Administration ............................................... 187 7. Section D. Overpayment Activity Related to Identity ID Theft............................... 187 H. Checking the Report..................................................................................................... 188 1. General Checks ....................................................................................................... 188 2. Arithmetic Checks ................................................................................................... 188 3. Signature ................................................................................................................. 188 IV-2 A. Facsimile o f Fo rm ETA 902P PANDEMIC UNEMPLOYMENT ASSISTANCE ACTIVITIES PUA STATE REGION REPORT FOR PERIOD ENDING SECTION A. APPLICATION AND PAYMENT ACTIVITIES CATEGORY LINE NO. INITIAL APPS. NO. DETERM. ELIG. FIRST PAYMTS. WKS. CLAIMED WKS. COMP. AMOUNT COMP. FINAL PAYMTS. 1 2 3 4 5 6 18 Total 101 Self - Employed 102 SECTION B. DENIAL AND APPEALS ACTIVITY CATEGORY LINE NO. WKS.OF PUA DENIED APPEALS FILED APPEALS DISPOSED FAVOR OF APPELLANT STATE R A STATE R A STATE R A 7 8 9 10 11 12 13 Total 201 Self - Employed 202 SECTION C. OVERPAYMENT ACTIVITY all activity EXCEPT Identity Thef t AND ADMINISTRATION CATEGORY LINE NO. OVERPAYMENTS ESTABLISHED OVERPAYMENT RECOVERIES WAIVED ADMINISTRATIVE COSTS CASES WEEKS AMOUNT AMOUNT AMOUNT 14 15 16 16A 22 17 Total 301 Fraud 302 SECTION D. OVERPAYMENT ACTIVITY RELATED TO IDENTITY ID THEFT CATEGORY LINE ID THEFT OVERPAYMENT ID THEFT OVERPAYMENTS ESTABLISHED NO. RECOVERIES CASES WEEKS AMOUNT AMOUNT 19 20 21 21A Total 401 Fraud 402 IV-3 Comments OMB No. NA OMB Ex piration Date NA OMB Burden Minutes NA OMB Burden Statement Section 2116 a Division B T itle II of the CARES Act states that Chapter 35 of T itle 44 United States Code commonly referred to as the Paperwork Reduction Act of 1995 shall not apply to the amendments made by this subtitle. T herefore these reporting instructions do not require additional OMB approval and the submission of this information is required to obtain or retain benefits under the SSA 303 a 6 . IV-4 B. Purpo se The ETA 902P report contains monthly data on Pandemic Unemployment Assistance PUA activities provided by the Coronavirus Aid Relief and Economic Security CARES Act of 2020 Pub. Law 116-136 enacted on March 27 2020. PUA is a temporary Federal program created under the CARES Act to provide relief for workers affected by the coronavirus who do not qualify for other Federal benefits such as regular unemployment insurance or extended benefits. C. Sco pe and Duratio n o f the Repo rt 1. The first report shall be sent in the month following the date the state entered into an agreement to participate in the PUA program and later reports shall be sent each month that PUA activity continues to occur such as for payments made for weeks in the pandemic assistance period PAP issued as a result of appeals. 2. Reports must be submitted monthly until all payment and appeals activity are completed. D. Due Date and Transmittal Reports shall be submitted electronically each month providing PUA activities performed during the preceding calendar month. Reports are due in the National Office on the 30th of the month following the month to which data relate. South Pacific Island jurisdictions must submit hardcopy reports as there is no electronic submittal method available to them at this time. For South Pacific Island jurisdictions via email to UI-Reports uis.doleta.gov. If mailed one copy should be sent to the National Office addressed as follows U.S. Department of Labor ETA Attn Pandemic Unemployment Assistance Coordinator Program Specialist Division of Unemployment Insurance Operations Frances Perkins Building Room S-4524 200 Constitution Avenue N.W. Washington D.C. 202l0 One copy should also be sent to the San Francisco ETA Regional Office. E. General Repo rting Instructio ns 1. In all instructions reference to state UI UC claims will include UCFE UCX TRA RRA Railroad EB and any other program included and or defined under 20 C.F.R. 625.2 d . IV-5 2. Self-employed applicants are those who have filed an initial request for PUA and for whom it was determined that their primary reliance for income is on their performance of services in their own business or farm. These individua ls include independent contractors gig economy workers and workers for certain religious entities. Payments of UI made to replace erroneously paid PUA should not be reported on the ETA 902P but should be reported on the appropriate UI reports i.e. ETA 5159. F. Definitio ns 1. Effective Date of an Initial Application. Refer to Section C.15 of Attachment I to UIPL No. 16-20 Change 4 for information on effective dates of PUA claims. 2. Eligible. Meets qualifications for receiving Pandemic Unemployment Assistance as specified in Section 2102 of the CARES Act. If an individual is eligible for UC EB or PEUC such individua l is not eligible for PUA and should not be counted in any PUA Activities report. 3. Fraud. An overpayment for which material facts to the determination or payment of a claim are found to be knowingly misrepresented or concealed i.e. willful misrepresentation by the claimant in order to obtain benefits to which the individua l is not legally entitled. All states have definitions for fraud and impose disqualif ications for fraudulent misrepresentation to obtain or increase benefits. 4. Identity ID Theft. The crime of obtaining and using the personal or financial information of another individual to file or attempt to file a claim for UI benefits. 5. Identity Theft Overpayments cases Established. Any single issue involving an ID theft overpayment that has been determined for a claimant within a single calendar month and for which 1 a formal notice of determination has been issued or 2 a formal notice of determination has not been issued since ownership of the ID theft overpayment has not been assigned due to a state s inabilit y to identify the individual responsible for generating the ID theft overpayment. An ID theft overpayment that covers one or more weeks or partial weeks of benefits shall be counted as one ID theft case if all weeks of ID theft overpayments are included in the same notice of determination. An ID theft overpayment covering consecutive weeks of benefits that span two months should be reported for the month in which the notice of determination is issued or if no notice of determination is issued report when the investigation reaches conclusion. This does not include overpayments established as a result of failure to report issues where the claimant did not IV-6 respond or failed to provide sufficient information to verify identity. 6. Overpayments cases Established. Any single issue involving an overpayment that has been determined for a claimant within a single calendar month and for which a formal notice of determination has been issued. An overpayment that covers one or more weeks or partial weeks of benefits shall be counted as one case if all weeks of overpayments are included in the same notice of determination. An overpayment covering consecutive weeks of benefits that span two months should be reported for the month in which the notice of determination is issued. Overpayments Established includes all overpayment EXCEPT those involving identity theft. An overpayment should be reported here if such overpayment is established as a result of failure to report issues where the claimant did not respond or failed to provide sufficient information to verify identity. 7. Waived. Section 2102 d 4 of the CARES Act permits a state to waive repayment of a PUA overpayment if the state determines that i the overpayment was without fault on the part of the individua l and ii that repayment would be contrary to equity and good conscience. Refer to section C.21.c.2.of Attachment I to UIPL No. 16-20 Change 4 for additional detail. G. Item by Item Instructio ns 1. Report Period Ended. Enter the month last day of the month and four-digit year to which the data relate e.g. 01 31 2020. 2. State. Enter the two-letter Federal Information Processing Standards FIPS State Alpha Code identical to the two-letter U.S. Postal Service abbreviation of the state or South Pacific Island jurisdiction as it appears in FIPS Publication 5-2. The National Institute of Standards and Technology issued the FIPS publication on May 28 1987. 3. Section A. Application and Payment Activities. a. Column 1 Initial Applications. Enter the number of initial applications for PUA taken during the report period. This will equal the number of initial applications that were completed and or number of applications entered into an automated system through an electronic telephone claims taking system during the report period. Do not include individua ls eligible for UC where it may have been necessary due to the filing environment to accept initial claims for both programs. b. Column 2 Number Determined Eligible. Enter the number of individua ls determined eligible for PUA during the report period. Do not include individua ls eligible for UC where it may have been necessary due to the filing environment to accept initial claims for both programs. IV-7 c. Column 3 First Payments. Enter the number of payments which represent for any individual the first week for which assistance is paid in the pandemic assistance period. d. Column 4 Weeks Claimed. Enter the total number of weeks for which PUA is claimed during the report period whether or not PUA is actually paid. If claims are filed weekly the number of weeks will equal the number of weekly received during the report period. If claims are filed other than weekly claims the number of weeks will equal the number of weeks during the report period. e. Column 5 Weeks Compensated. Enter the number of weeks of unemployment for which PUA was paid during the report period. A week of unemployment compensated is any week of unemployment for which PUA funds are paid regardless of amount. f. Column 6 Amount Compensated. Enter the amount of PUA funds represented by the weeks reported in column 5. g. Column 18 Final Payments. Enter the number of final payments made to claimants for PUA. A final payment for PUA is defined as the last PUA payment a claimant receives during the pandemic assistance period because the claimant has exhausted their entitlement to the program. Excluded from the definition is the last payment to an individual if but for the end of the pandemic assistance period the individua l would otherwise be entitled to further PUA benefits. 4. Section B. Denial and Appeals Activity. a. Column 7 Weeks of PUA Denied. Enter the number of weeks of unemployment where a PUA payment was denied for which an individua l except for the reason of the denial would have been eligible to receive a PUA payment. NOTE For columns 8 through 13 the entries refer to the number of cases received or disposed of during the report period by authority i.e. first level state appeals authority and the second level state higher authority . All cases including cases disposed of before reaching the appeals authority should be included. Definitions of case authority disposal etc. are those developed for the PUA program where found or when these do not exist are those used in the state UI program. b. Columns 8 and 9 Appeals Filed. In columns 8 and 9 distribute by type of authority the appeal cases or requests for review received during the month. In addition provide a sub-breakout of the Total for self-employed individua ls in line 202. IV-8 c. Columns 10 and 11 Appeals Disposed. Enter in columns 10 and 11 the total number of cases disposed during the month by authority level. In line 202 provide the number of cases disposed of involving self-employed individua ls. d. Columns 12 and 13 Favor of Appellant. Enter in columns 12 and 13 the number of appeal decisions included in columns 10 and 11 which were in favor of the appellant by authority level. In line 202 enter a breakout of self-employed individuals who appealed and had the decision in their favor. 5. Section C. Overpayment Activity and Administration all activity EXCEPT for Identity Theft . a. Columns 14 15 and 16 Overpayments Established. In column 14 Cases line 301 enter the number of cases established including willful misrepresentation fraud determined during the report period as an overpayment. In line 302 provide a sub-breakout of the number of cases determined as fraud cases. In column 15 Weeks enter in line 301 the number of weeks of PUA overpaid in connection with the cases reported in column 14 enter the number of weeks of fraud overpayments included in line 302 In column 16 Amount enter in line 301 the amount overpaid represented by cases reported in column 14. Provide a sub-breakout of the amount involving fraud in line 302. b. Column 16A Overpayment Recoveries. In column 16A Amount enter in line 301 the total amount of all PUA recoveries collected for the reporting period. Provide a sub-breakout of the amount of recoveries involving fraud in line 302. c. Columns 17 Administrative Costs. This data cell will self-populate and reflect computed administrative costs based on workload items reported in Section A. and Section B. above. Minute per unit factors reflected in the annual UIPL advisory communicating target allocations for base administrative grants and staff year usage information from the UI-1 report will be used to compute staffing levels needed to process the initial claims line 101 column 1 weeks claimed line 101 column 4 and appeals disposed line 201 column 10 workload. Staff salary rates will reflect the rates used for quarterly above base computations. Staffing costs will be increased by the applicable factor to account for leave and resulting costs will be increased by 19 percent to account for overhead. Time factors and staff salary rates necessary for the computations of administrative costs described above for Guam American Samoa the Commonwealth of the Northern Mariana Islands the Federated States of IV-9 Micronesia the Republic of the Marshall Islands and the Republic of Palau will be communicated to each territory separately. d. Columns 22 Waived. In column 22 Amount enter in line 301 the total amount of all PUA overpayments waived for the reporting period. 6. Section D. Overpayment Activity Related to Identity ID Theft. a. Columns 19 20 and 21 ID Theft Overpayments Established. In column 19 Cases line 401 enter the number of ID theft cases established including willful misrepresentation fraud determined during the report period as an ID theft overpayment. In line 402 provide a sub-breakout of the number of ID theft cases determined as ID theft fraud cases. In column 20 Weeks enter in line 401 the number of weeks of PUA overpaid in connection with the ID theft cases reported in column 19 enter the number of weeks of ID theft fraud overpayments included in line 402. In column 21 Amount enter in line 401 the amount overpaid represented by ID theft cases reported in column 19. Provide a sub-breakout of the amount involving ID theft fraud in line 402. b. Column 21A ID Theft Overpayment Recoveries. In column 21A Amount enter in line 401 the total amount of all PUA ID theft recoveries collected for the reporting period. Provide a sub-breakout of the amount of ID theft recoveries involving fraud in line 402. H. Checking the Repo rt 1. General Checks. Entries should be made for all required items. If the item is inapplicable or if applicable but no activity corresponding to the items occurred during the report period a zero should be entered. A report containing missing data cannot be sent to the National Office but can be stored on the state s system. 2. Arithmetic Checks. a. For columns 1 2 and 8 through 13 the entries in line 102 and 202 respectively should be equal to or less than the entries in line 101 or 201. b. For columns 14 through 16A the entries in line 302 should be equal to or less than line 301. c. For columns 19 through 21A the entries in line 402 should be equal to or less than line 401. 3. Signature. Signature is only required if reports are sent manually to the National Office. V-1 Attachme nt V to UIPL No. 16-20 Change 6 Ins tructions for Comple ting the SF-424 Application for Federal Assistance SF-424 Use the current version of the form for submission. Expired forms will not be accepted. SF-424 Expiration Date 12 31 2022 Office of Management and Budget OMB Control No. 4040-0004 Grants.gov . https apply07.grants.gov apply f orms sample SF424 4 0-V4. 0.pdf Se ction 8 APPLICANT INFORM ATION Legal Name The legal name must match the name submitted with the System for Award Management SAM . Please refer to instructions at https www.sam.gov Employer Tax Identification Number EIN TIN Input your correct 9-digit EIN and ensure that it is recorded within SAM. Organizational DUNS All applicants for Federal grant and funding opportunit ies are required to have a 9-digit Data Universal Numbering System D-U-N-S number and must supply their D-U-N-S number on the SF-424. Please ensure that your state is registered with the SAM. Instructions for registering with SAM can be found at https www.sam.gov. Additionally the state must maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration. To remain registered in the SAM database after the initial registration there is a requirement to review and update the registration at least every 12 months from the date of initial registration or subsequently update the information in the SAM database to ensure it is current accurate and complete. Failure to register with SAM and maintain an active account will result in a rejection of your submission. Address Input your complete address including Zipcode 4 Example 20110-831. For lookup use link at https tools.usps.com go Z ipLookupAct ion input.action Organizational Unit Input appropriate Department Name and Division Name if applicable Name and contact information of person to be contacted on matters involving this application. Provide complete and accurate contact information including telephone number and email address for the point of contact Se ction 9 Type of Applicant 1 Select Applicant Type Input State Government Se ction 10 Name of the Fe de ral Age ncy Input Employment and Training Administration Se ction 11 Catalog of Fe de ral Dome s tic Assistance Numbe r Input 17.225 CFDA Title Input Unemployment Insurance Se ction 12 Funding Opportunity Numbe r and Title For Pandemic Unemployment Assistance Funding Allotment Input UIPL No. 16-20 Change 6 Pandemic Unemployment Assistance Implementation Grants V-2 Se ction 13 Compe tition Ide ntification Numbe r Leave Blank Se ction 14 Are as Affe cte d by Proje ct Input the place of performance for the project implementation Example NY for New York Se ction 15 De scriptive Title of Applicant s Proje ct For Pandemic Unemployment Assistance Funding Allotment Input UIPL No. 16 -20 Change 6 Pandemic Unemployment Assistance Implementation Grants Se ction 16 Congre ssional Dis tricts of a. Applicant Input the Congressional District of your home office. For lookup use link at www.house.gov with Zipcode 4 b. Program Project Input the Congressional District where the project work is performed. If it s the same place as your home office input the congressional district for your home office. For lookup use link at www .house.gov with Zipcode 4 Se ction 17 Propos e d Proje ct a. Start Date Input a valid start date for the project earliest start date will be January 1 2021 . b. End Date Input a valid end date for the project June 30 2022 . Se ction 18 Es timate d Funding Each state is allotted up to 100 000 in funding to cover implementation costs. Comple te Se ction s 19 20 Complete as per instructions in Form SF -424 Se ction 21 Authorize d Re pre s entative Please select the I AGREE check box and pro vide complete information for your authorized signatory including contact information such as telephone number and email address. If your Authorized Representative has changed from your previous application submission for this program please include a le tter from a higher level leadership authorizing the new signatory for the application submission. Re me mbe r to ge t the SF -424 s igned and date d by the Authorize d Re pre s entative.