TEN_1-20.pdf

ETA Advisory File Text

TRAINING AND EMPLOYMENT NOTICE NO. 1-20 DATE July 30 2020 EMPLOYMENT AND TRAINING ADMINISTRATION U.S. DEPARTMENT OF LABOR WASHINGTON D.C. 20210 TO STATE WORKFORCE AGENCIES STATE WORKFORCE DIRECTORS FROM JOHN PALLASCH Assistant Secretary SUBJECT Coronavirus Aid Relief and Economic Security CARES Act of 2020- Implementation Checklist 1.Purpose. The purpose of this Training and Employment Notice TEN is to advise States of the availability of a CARES Act Implementation Checklist developed by the Department of Labor s Department Employment and Training Administration ETA for use by States to ensure they have systems and procedures in place to properly administer the Pandemic Unemployment Assistance PUA Federal Pandemic Unemployment Compensation FPUC and Pandemic Emergency Unemployment Compensation PEUC programs enacted in Title II CARES Act. 2.Action Requested. ETA requests State Workforce Administrators to review this TEN and the attached Implementation Checklist and provide it to the State s Unemployment Insurance UI Director and other appropriate state workforce system staff to use as a State self- assessment tool and to prepare for upcoming ETA Regional Office assessments and monitoring of the States implementation efforts under the provisions of PUA FPUC and PEUC as provided for in the CARES Act. 3.Summary and Background. a.Summary This TEN provides guidance to States regarding systems and procedures necessary to ensure proper administration of the CARES Act programs affecting the UI program. b.Background ETA is actively working with states to ensure they have the tools necessary to successfully implement the provisions of the CARES Act as they relate to PUA FPUC and PEUC. In addition the CARES Act provided 26 million to the Department s Office of the Inspector General to audit CARES Act programs. The attached checklist provides a means for States to ensure that their administration of the PUA FPUC and PEUC programs meets statutory requirements under both the CARES Act and the UI provisions of the Social Security Act. 4.Content. The attached CARES Act Implementation Checklist provides a detailed list of systems and procedures for proper implementation of PUA FPUC and PEUC programs 2 within the context of the UI program. The State program areas covered by this checklist include a. Administrative guidance and processes including initial claims and weekly or bi-weekly eligibility certification b. Publicity and program announcements including the program website and outreach efforts c. Program integrity including initial and continued eligibility internal controls and security d. IT systems checks including availability and identification and resolution of defects e. Program interfaces f. Employer accounts g. Adjudication and appeals h. Return to work reviews including employer and employee contacts i. Reporting and j. Federal funds administration. In addition there are included separate checklists for each of the CARES Act programs FPUC PUA and PEUC. 5. Inquiries. For further information please contact the appropriate Regional Office or email covid19 dol.gov with a copy of the email to the Regional Office. 6. References. ETA s guidance related to FPUC PUA and PEUC which are located at https oui.doleta.gov unemploy coronavirus Coronavirus Aid Relief and Economic Security CARES Act Pub. L. 116-136 including Title II Subtitle A Relief for Workers Affected by Coronavirus Act Sections 3304 a 6 A and 3309 a 1 of the Federal Unemployment Tax Act FUTA 26 U.S.C. 3304 a 6 A and 3309 a 1 20 CFR Part 603 Unemployment Insurance Program Letter UIPL No. 02-16 State Responsibilities for Ensuring Access to Unemployment Insurance Benefits issued October 1 2015 https wdr.doleta.gov directives corr doc.cfm DOCN 4233 and UIPL No. 02-16 Change 1 issued on May 11 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 5491 UIPL No. 19-11 National Effort to Reduce Improper Payments in the Unemployment Insurance UI Program issued June 10 2011 https wdr.doleta.gov directives corr doc.cfm DOCN 3036 ETA Handbook No. 336 State Quality Service Plan-Planning and Reporting Guidelines ETA Handbook No. 356 Disaster Unemployment Assistance and ETA Handbook No. 401 Unemployment Insurance Report Handbook. 7. Attachment s . Attachment I CARES Act Implementation Checklist State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 1 P a g e ATTACHMENT I This checklist is designed to provide transparency so states will know the subjects for assessment and monitoring and to ensure a state s preparedness to properly administer the Federal Pandemic Unemployment Compensation FPUC Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC programs and the specific requirements in response to COVID-19. Reference The CARES Act of 2020 Public Law 116-136 Title II Subtitle A . State Name and title of agency representative completing the checklist Date Completed A. Administrative Guidance Processes Yes No N A Comments 1. State staff has access to all CARES Act ETA Guidance located at https oui.doleta.gov unemploy coronavirus and other appropriate guidance including UIPL Nos. 02-16 02-16 Change 1 and UIPL No. 19-11 2. Staff has received training on ETA guidance and new requirements 3. State procedures updated to reflect law changes disseminated to staff 4. Staff has been trained on new procedures and process changes 5. State knows process for requesting administrative funds from ETA for FPUC PUA and PEUC i.e. Supplemental Budget Request SBR process 6. Staff understands reporting requirements including fiscal reports quarterly progress reports ETA 9178-P and other program reports e.g. ETA 227 overpayment activities reports for CARES Act programs and ETA 902P Disaster Unemployment Assistance report for PUA 7. State has used resources to hire staff to address increased workload 8. State has the authority to hire adequate levels of staffing 9. State has taken steps to quickly hire and onboard new staff 10. Staff has been cross-trained and implementation plan addresses organizational flexibility to minimize disruptions e.g. absences 11. If state has incorporated telework state has provided the necessary equipment and trained staff on telework procedures State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 2 P a g e 12. Provide your estimated staffing level in each key program area Less than Adequate Staffing Adequate Staffing More than Adequate Staffing Comments A.12.a Call Center Staff A.12.b Adjudications Staff A.12.c Appeals Staff A.12.d Benefit Payment Control Staff 13. State issued notifications to potentially eligible claimants about the new CARES Act programs FPUC PUA and PEUC State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 3 P a g e State Name and title of agency representative completing the checklist Date Completed B. Publicity of Program Program Announcements Yes No N A Comments 1. Media Announcement - B.1.a. State-wide announcements were issued advising public of the programs availability and how to apply - B.1.b. State engagement of media social media if appropriate - B.1.c. Provided media contact information to report suspected UC fraud for example a 1-800 hotline - B.1.d. Documentation of all announcements are available for review potential audit 2. Website - B.2.a. State website is updated with latest COVID-19 CARES Act information including any applicable social media presence - B.2.b. Messaging for public is kept current and accurate in line with ETA guidance - B.2.c. Clear and prominent information on website and social media platforms about how to report UI Fraud - B.2.d. State website is monitored daily to ensure operational e.g. links work information is accessible 3. External Outreach - B.3.a. State system supports alternative access options for individuals with barriers to filing by phone or on-line see UIPL Nos. 02-16 and 02-16 Change 1 - B.3.b. Websites and other forms of communications brochures posters prominently and effectively communicate alternate options locations - B.3.c. Staff has been fully trained to assist individuals with barriers to access i.e. filing of claims etc. - B.3.d. Staff claimant access to system s includes verification of identity tools for authentication - B.3.e. Website s are 508 compliant and translated for significant population language groups including correspondence as applicable complying with UIPL Nos. 02-16 and 02-16 Change 1 State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 4 P a g e - B.3.f. Interactive Voice Response IVR phraseology is clear understandable and accessible to claimants with access barriers monitored for any repetitive issues State Name and title of agency representative completing the checklist Date Completed C. Program Integrity Yes No N A Comments 1. Initial and Continued Eligibility Controls - C.1.a. Claimant must certify weekly to meeting continued eligibility requirements for specific program for which benefits are claimed. - C.1.b. Appropriate checks for wages in other states are made via ICON quarterly periodically to test for eligibility - C.1.c. Request that states report when they begin to reopen and incorporate procedures to flag investigate potential refusals to return to work suitable work and other issues as appropriate - C.1.d. Appropriate checks SID SCO and IB8606 applications on the ICON Hub are checked to ensure the claimant doesn t have a claim s in other states - C.1.e. State Information Data Exchange System SIDES o State has high level of participation o State has encouraged employers to provide claimant eligibility information via SIDES o State has trained staff on how to quickly detect and adjudicate eligibility issues from SIDES information - C.1.f. Integrity efforts include data cross-matches to prevent detect overpayments Data cross-matches used o National Directory of New Hires Cross-match NDNH reference UIPL No. 19-11 o Quarterly Wage Records Cross-match 20 CFR 603.23 o Systematic Alien Verification for Entitlement SAVE The Immigration Reform and Control Act IRCA o State Directory of New Hires Cross-match SDNH State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 5 P a g e o Social Security Administration SSA Cross-match o Interstate Benefits IB Cross-match o Identity Verification via DMV Crossmatch o Incarceration Cross-match and o UI Integrity Center s Integrity Data Hub IDH tools Suspicious Actor Repository SAR Suspicious E-Mail Domains Multi-State Cross- Match MSCM and Foreign Internet Protocol IP Address Detection . 2. Internal Controls Internal Controls are in place related to - C.2.a. Financial Reporting Policy and Procedure - C.2.b. Cash Management Policy and Procedure 3. 3 . Equipment Tracking - C.3.a. Equipment Policy 2 CFR 200.313 - C.3.b. Equipment Telework Policies to protect UC PII - C.3.c. Disposition 4. Document Record Retention - C.4.a. Identifying electronic documents and paper files as appropriate - C.4.b. Methods of protecting PII including procedures to protect PII while state staff is teleworking - C.4.c. Record Retention Policy 2 CFR 200.333 is clear and understood by appropriate staff - C.4.d. State records retention requirements - C.4.e. Custodian of Records is clearly identified 5. Security - C.5.a. Data and System security verified and validated including systems required for data exchanges State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 6 P a g e - C.5.b. Other internal system controls are verified and validated to ensure security - C.5.c. Confidentiality and security of claimant and employer information data is protected and maintained 6. Funds Reconciliation - C.6. Existing policies and procedures for daily or weekly funds reconciliation are updated and the date is recorded 7. Overpayments - C.7.a. Staff received appropriate training for prevention detection and recovery of PUA PEUC and FPUC improper payments - C.7.b. Methods and procedures were established to prevent and detect improper payment s - C.7.c. Create clear communication pathways between UI claims and UI tax departments to communicate employer re-openings job offers and reports of claimant fraud C.7.d States are strongly encouraged to request and facilitate employers ability to provide information when workers refuse to return to their jobs for reasons that do not support their continued eligibility for benefits - C.7.e. Take action to prevent common fraud schemes - e.g. the Office of Inspector General noted past schemes involving o Auto-populated claimant data not adequately protected o IP addresses that raised eligibility issues o Non-State issued debit cards that raised eligibility issues - C.7.f. Procedures established to recover overpayments - C.7.g. System programmed to apply 50 offsetting of benefits of the CARES Act UI programs - C.7.h. All possible collection methods are used o Treasury Offset Program TOP o State wage garnishments as allowed under state law o State lottery winnings as allowed under state law - C.7.i. Methods for referral for prosecution as appropriate are in place including clear messaging to the public e.g. website State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 7 P a g e State Name and title of agency representative completing the checklist Date Completed D. IT System Checks Yes No N A Comments 1. System availability - D.1.a. System generated forms and correspondence have been fully tested and are fully operational - D.1.b. Printing processes have been fully tested and are fully operational - D.1.c. Imaging and scanning as needed have been fully tested and are fully operational - D.1.d. Batch Processes including execution timelines have been fully tested and are fully operational - D.1.e. Workflows have been verified and adjusted by thorough review of system generated issue flags triggers to ensure they are necessary 2. System defects are systematically tracked and remedied Defect tracking processes are in place - D.2.a. Process in place to identify track communicate and address system errors - D.2.b. Procedures developed to document and communicate any system workaround or resolution - D.2.c. System errors defects are tracked and management is able to review manage and prioritize resolution - D.2.d. Workarounds are established and fully tested and exercised with staff for system functionality that is deferred or necessary to address known system issue including any appropriate security and confidentiality measures - D.2.e. Users are appropriately informed and trained on any changes in processes resulting from defect fixes or workarounds - D.2.f. Implement system procedure to prevent duplicate payments to the same person same address 3. Reporting Interfaces - D.3.a. UI Performs quality control measures State has documented operational changes including how any suspended State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 8 P a g e measures will be brought back online - D.3.b. UI program management reporting functions such as tracking of initial and continued claims by age management dashboard and ad hoc system logging reports have been fully tested and are fully operational. or manual process for tracking has been fully tested and is fully operational - D.3.c. Interfaces with call center operations have been fully tested and are fully operational at the line staff level - D.3.d. Interstate Connection ICON network interfaces have been fully tested and are fully operational - D.3.e. Other external interfaces such as those required to retrieve wage record data automatic cross matches for identity or other integrity purposes have been fully tested and are fully operational State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 9 P a g e State Name and title of agency representative completing the checklist Date Completed E. Payment to Eligible Individuals Yes No N A Comments 1. Benefit Payment method s direct deposit mailing checks other is functional 2. Ensure regular communication with bank partners to address issues such as debit card stock limits on disbursement amounts by the state etc. 3. Secure methods of protecting individual personal information are established 4. Internal security measures are updated to include all programs 5. Methods to garnish payments child support court orders are compliant with state and federal law 6. Methods to withhold taxes are compliant with state and federal laws 7. Methods to recover benefit overpayments for all programs FPUC PEUC PUA are in place E.7. Offsetting from FPUC PEUC and PUA are limited to 50 8. System for retroactive payments is programmed in place 9. Claimants are provided clear and understandable notifications explaining benefit rights information which is updated to reflect new CARES Act programs and made available to claimants State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 10 P a g e State Name and title of agency representative completing the checklist Date Completed F. Employer Accounts Yes No N A Comments 1. Changes to employer liability determinations are implemented upon modification of state law policy to ensure non-charging as allowed by temporary flexibilities under UIPL 13-20 et al. 2. Benefit Charging processes and procedures are in place and encompass any overall changes to the benefit charging system and needed communications 3. Tax rate computation any changes to charging during pandemic response have been programmed and are operational 4. Employer Delinquency Enforcement processes and procedures are in place upon modification of the state law policy that encompass any flexibilities during the pandemic response 5. Employer Tax and Wage report processing systems are online 6. Staff including tax staff have been trained on any new processes 7. State has messaged employers encouraging the use of SIDES 8. State is conducting wage investigations when information of potentially unreported wages comes from new claims State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 11 P a g e State Name and title of agency representative completing the checklist Date Completed G. Adjudication Yes No N A Comments 1. State staff have received training for claims adjudication including FPUC PEUC PUA and non- monetary determination policies and procedures comply with ETA guidance 2. Methods of flagging separation and non-separation issues are in place to ensure timely adjudication - G.2.a. Separation issues flagged - G.2.b. Non-separation issues flagged - G.2.c. Correct issue detection date s identified 3. Controls are in place to ensure the appropriate UI program FPUC PEUC PUA is applicable 4. Controls are in place to ensure the timeliness and accuracy of the weekly benefit amount and duration of benefits 5. Methods of adjudicating and issuing determinations related to initial claim issues online telephone in-person other are in place and consistent with guidance to ensure accessibility to claimants with barriers 6. Secure methods of protecting individual personal information during adjudication process are in place 7. State tracking of untimely inadequate employer responses that cause an overpayment to establish pattern and required charging is in place 8. Employer charging flexibilities are in place upon modification of state law policy as applicable to the specific program s 9. Determination has Notice of Appeal rights appropriate for these program s e.g. FPUC must consider merits of the denial of the underlying program benefits in determining eligibility for FPUC payments See UIPL No. 15-20 page I-6 State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 12 P a g e 10. Earning offsets meet requirements of programs under CARES Act UIPL Nos. 15-20 16-20 17-20 11. Methods of adjudicating continued claims issues are in place 12. Methods of adjudicating and issuing fraud determinations are in place - Method of management reports automated and or manual are in place and have been tested to measure workload timeliness and backlogs 13. Methods of notifying applicants when a claim is received and processed or not processed is in place State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 13 P a g e State Name and title of agency representative completing the checklist Date Completed H. Appeals Yes No N A Comments 1. Developed written policies and procedures for processing scheduling and holding appeals for these programs in accordance with their respective requirements and in compliance with ETA guidance 2. State is able to increase staff as necessary to address increasing workload s 3. Training of appeals staff on CARES Act and Federal Guidance for FPUC PEUC and PUA 4. Methods of appeals in person telephone videoconference are operational supported by technology and address accessibility for those with barriers 5. Training of staff in processing and efficient scheduling of appeals factoring in increased workload 6. Training created disseminated for hearings officers and Administrative Law Judges ALJs regarding appeals procedures and writing decisions to meet federal timeliness and quality standards 7. Secure methods of protecting individuals personal information related to the filing hearing and disposition of cases are in place 8. Management reports are in place to measure track and report backlogs State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 14 P a g e State Name and title of agency representative completing the checklist Date Completed I. Maintaining Employer Employee Contact Return to Work Yes No N A Comments 1. Established method for notifying employers of program requirements 2. Established method for employers to report return to work offers - I.2.a. Communicated with employers to report individuals returning to work or turning down work - I.2.b. Communicated with employers about how to report UI fraud 3. Outreach efforts for reemployment created disseminated to employers and claimants 4. Established method for employers and claimants to report earnings and retroactive wages including wages derived from the Paycheck Protection Program PPP 5. Established procedure for using NDNH and SDNH for new hires 6. Methods for identifying employers that received small business loans under PPP and verifying that businesses have have not provided back pay to claimants as appropriate 7. Encouraged employers to use SIDES to ensure timely and complete responses to information requests for instance reminders of the availability on the notice of claim and determinations 8. Established method to ensure employers are meeting the requirement to notify employees of the availability of UC at the time of separation Emergency Unemployment Insurance Stabilization and Access Act of 2020 EUISSA Allotment 1 State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 15 P a g e State Name and title of agency representative completing the checklist Date Completed J. Reporting Yes No N A Comments 1. Fiscal J.1.a. Agency department responsible for fiscal reporting is same as agency department awarded the grant J.1.b. Identify the two 2 contributing individuals - Submitter - person who compiles the data - Certifier person who approves and certifies the data is accurate J.1.c. Agency department has obtained access and passwords for both submitter and certifier 2. Program J.2.a. Method established for preparing weekly and monthly activity reports J.2.b. Method established for tracking program FPUC PEUC PUA benefit expenditures J.2.c. Method established for tracking FPUC PEUC PUA administrative expenditures such as payroll contract operational costs J.2.d. Method for identifying benefit overpayment funds to be returned to the U.S. Department of Labor are established State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 16 P a g e State Name and title of agency representative completing the checklist Date Completed K. Federal Funds Administration Yes No N A Comments 1. Specific individuals responsible for drawing down funds are identified 2. Procedures for how and when funds will be drawn down are established 3. Recording procedures for spending are in place 4. Accounting codes for drawing down funds for each program have been created and or designated along with the processing of refunds see UIPL No 16-20 pages I-15 and I-16 5. Communication protocols between program operations and fiscal operations are clearly established to ensure correct drawdowns 6. The procedure for determining how what amounts to be drawn down is established 7. Reconciliation is being conducted using a uniform and compliant method responsible parties frequency etc. 8. Use of administrative funding to increase staff to meet CARES Act requirements 9. Internal controls are in place for all federal funds for each program including administering discretionary funds-Supplemental Budget Request SBRs 10. Internal controls are in place to ensure timely and effective expenditures of administrative funding for IT modifications 11. Cost sharing plans are compliant with federal state requirements 12. The unique requirements for administering federal funds regarding these programs PUA PEUC FPUC have been identified and compared to procedures for compliance 13. Sufficient controls are in place to administer federal funds according to federal requirements state requirements and Generally Accepted Accounting Principles GAAP where applicable State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 17 P a g e State Name and title of agency representative completing the checklist Date Completed L. Program FPUC PEUC PUA Claims Processing and Operations Data Yes No N A Comments 1. The State uses the following program processing claim method s Automated Semi-automated Manual Any concerns or implementation issues have been addressed For automated systems measures taken to ensure the protection of Personally Identifiable Information PII and prevent fraud when data is auto-populated 2. Claims are filed via the following methods at least 2 required check all that apply Mail One-Stop Center Internet Telephone Interactive Voice Response Other Describe in comment section State notifies claimant when an application is received and is being processed and where claim is unable to be processed provides information about steps the claimant can take to ensure the successful processing of the application this can occur on the monetary determination Any concerns or implementation issues have been addressed 3. Program benefit payments for FPUC PEUC and PUA are issued via the following methods check all that apply Check Debit Card Direct Deposit State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 18 P a g e Any concerns or implementation issues have been addressed 4. The State has necessary forms to ensure FPUC PEUC and PUA initial and continued weekly claims can be filed and paid timely State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 19 P a g e FPUC Program Implementation Checklist State Name and title of agency representative completing the checklist Date Completed FPUC Implementation Checklist Yes No N A Comments 1. Appropriate staff has copies of the law 2020 CARES Act P.L. 116-136 as enacted March 27 2020 and copies of the ETA guidance for FPUC UIPL No. 15-20 and any subsequent changes 2. State has correct beginning period week-ending April 4 2020 or week- ending April 5 2020 and correct ending period week-ending July 25 2020 or week-ending July 26 2020 for the FPUC program 3. State ensured no FPUC payments were issued for weeks-ending prior to April 4 2020 or April 5 2020 or after weeks-ending July 25 2020 or July 26 2020 4. State identified all appropriate eligible programs to add FPUC regular UC UCFE UCX PEUC PUA STC EB TRA DUA and SEA and has implemented processes to ensure FPUC is properly paid with respect to these programs - Individuals who are working part-time are eligible for FPUC if they are eligible for the underlying partial payment if 1 or more - If the state has an Additional Benefits program the state has not paid FPUC along with those payments 5. State ensured payment of FPUC for waiting week period if the waiting week was waived 6. State identified all individuals eligible for retroactive FPUC payments as needed i.e. program implemented after the beginning date of the claim State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 20 P a g e 7. State implemented process to ensure FPUC properly paid during the continued claims series duration e.g. FPUC paid to eligible individuals as supplemental payment to underlying program benefit s and not paid when individual is determined ineligible for the underlying benefits e.g. deductible and disqualifying income nonmonetary and or fraud determinations 8. State uses its regular payment process batch real-time for issuing FPUC payments and its normal payment method check debit card direct deposit etc. 9. State has methods in place to detect and recover both fraud and non- fraud FPUC overpayments 10. State has capability to withhold Federal taxes and child support 11. Separate accounting of FPUC is in place whether FPUC payments are issued as one payment with underlying payment or as a separate payment 12. ETA 227 FPUC Report is established and submitted beginning with Quarter ending June 30 2020 State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 21 P a g e PUA Program Implementation Checklist State Name and title of agency representative completing the checklist Date Completed PUA Implementation Checklist Yes No N A Comments 1. Appropriate staff has access to Section 2102 of the CARES Act of 2020 Public Law 116-136 2. Appropriate staff has access to UIPL Nos. 10-20 13-20 14-20 and 16- 20 16-20 Change 1 and any subsequent changes to these UIPLs and to ETA Handbooks 336 356 and 401 3. State CARES implementation plan includes PUA and addresses FPUC supplemental payments program access by at least two 2 methods e.g. phone mail online etc. 4. State has written policies and procedures specific to PUA that comply with ETA guidance including the availability of up to 39 weeks of benefits and up to a 7 week extension if state Extended Benefits EB provides for a High Unemployment Period 5. Staff has been trained on PUA procedures including both monetary and nonmonetary eligibility reviewing claims denied as of 1 27 2020 forward necessary documentation of income for Weekly Benefit Amount WBA above the minimum 6. State Information Technology IT system is updated to reflect the beginning and end dates of the PUA program which is the Pandemic Assistance Period weeks of unemployment beginning on or after 2 2 2020 and ending on or before 12 26 2020 or for states whose benefit weeks end on Sunday 12 27 2020 7. State IT system or separate PUA system if state uses separate system for PUA is programmed to issue retroactive payments 8. State has UIPL No. 03-20 that provides the PUA minimum WBAs 9. State has methods in place to detect and recover both fraud claimant and employer and non-fraud PUA overpayments State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 22 P a g e 10. State has procedures and fully trained staff on properly calculating WBA as described in ETA guidance including - Procedure for calculating the PUA WBA based on the attestation of earnings at the time the PUA initial claim is filed - Procedure for redetermining the claimant s PUA WBA if the claimant does not provide proof of income earnings or that proof is insufficient within 21 days - Procedure for redetermining the claimant s PUA WBA if the claimant provides sufficient proof of income earnings at any time during the Pandemic Assistance Period 11. State s monetary determination is updated to explain the correct PUA WBA calculation and the procedure to provide proof of income earnings within 21 days 12. State s Benefit Rights Information BRI is updated to include the specific PUA provisions 13. State s initial PUA application and continued claims forms list all the COVID-19 eligibility reasons provided in CARES Act section 2102 a 3 A ii and listed in UIPL No. 16-20 allows the claimant to choose multiple reasons allows the claimant to choose other and provides space for the claimant to write out details of their unemployment as appropriate 14. State has a self-certification form acknowledgement for PUA claimants for both initial and continued claims that provides the COVID-19 reasons 15. State has a process to ensure that each claimant meets the CARES Act eligibility reasons listed in section 2102 a 3 A ii and UIPL No. 16- 20 by reviewing all information provided on the application and continued claim forms 16. Self-Certification form includes a separate acknowledgement the individual understands that making the certification is under penalty of perjury and advises the individual that intentional misrepresentation in self-certifying that s he falls in one or more of the PUA categories is fraud 17. State has clear online messaging that individuals may be subject to criminal prosecution if they are found to have committed fraud State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 23 P a g e 18. State has methods in place to correctly deduct Regular UC and EB weeks paid during the potential 39 weeks of PUA eligibility i.e. during the Pandemic Unemployment Assistance Period 19. State has methods in place to ensure eligibility by verifying the Social Security Number SSN and cross matching to detect duplicate claims payments 20. A quarterly process is in place to check for any regular UI entitlement intrastate interstate 21. A process is in place to check for EB eligibility if when the state triggers on to EB State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 24 P a g e PEUC Program Implementation Checklist State Name and title of agency representative completing the checklist Date Completed PEUC-Implementation Checklist Yes No Comments 1. State CARES Act implementation includes PEUC 2. Staff have access to all PEUC guidance UIPL Nos. 17-20 and 17-20 Change 1 and state policy and procedures for program implementation 3. State IT system s is programmed for PEUC claims-taking and payments 4. PEUC program beginning and end dates are correct in announcements claimant information websites etc. and will be paid before any EB benefits 5. State systems programmed to recognize PEUC is applicable to benefit years beginning on or after July 1 2019 5.a. State Information Technology IT system is updated to reflect the beginning and end dates of the PEUC program weeks of unemployment beginning on or after 3 29 2020 and ending on or before 12 26 2020 or for states whose benefit weeks end on Sunday 12 27 2020 6. Written PEUC policies and procedures are in place for staff 7. The State conducted staff training for PEUC program operations 8. At least two methods are available for claimants to file PEUC initial claims and continued claims. States have ensured access to the UI system as required in UIPL Nos. 02-16 and 02-16 Change 1 9. State correctly calculates PEUC eligibility 13 X WBA and issues monetary determinations in accordance with ETA guidance state includes FPUC for weeks that FPUC is in effect with respect to PEUC State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 25 P a g e claim s 10. State system programmed to set up a PEUC account for each individual claiming PEUC with respect to the individual s benefit year 11. PEUC appeal policies and procedures comply with ETA guidance 12. Policies and procedures for PEUC overpayment reporting is in place 13. A quarterly process is in place to check for any regular UI entitlement intrastate interstate 14. State has methods in place to detect and recover both fraud and non- fraud PEUC overpayments 15. PEUC forms websites and outreach contain warnings and information about penalties for fraud 16. PEUC is paid before any EB payments are made to the claimant State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 26 P a g e Emergency Administrative Grants Checklist State Name and title of agency representative completing the checklist Date Completed Emergency Administrative Grants Checklist Yes No Comments 1 Conditions for Emergency Grant s Met as required by UIPL No. 13-20 and UIPL No. 13-20 Change 1 - Allotment I o Emp loyer Notifications of UC Availability posting a notice for employees is not sufficient and o State ensured applications for UC are accessible as practicable in at least two ways in-person by phone or online and o State will notify claimant of claim processing and any further steps needed by claimant this can occur on the monetary determination - Allotment II Expressed commitment to maintain and strengthen access to the UC system including through initial and continued claims and demonstrated steps to ease eligibility requirements and access to UC which may include o Tem porarily waiving work search and o Tem State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 27 P a g e porarily waiving waiting week and o Non- charging employers directly impacted by COVID-19 State Workforce Agency SWA Implementation Checklist for CARES Act Program Operations 28 P a g e CARES Act Program Progression Flowchart