UIPL_28-20_Change2.pdf

ETA Advisory File Text

CLASSIFICATION EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insurance ADVISORY SYSTEM CORRESPONDENCE SYMBOL U.S. DEPARTMENT OF LABOR OUI DPM Washington D.C. 20210 DATE August 11 2021 RESCISSIONS EXPIRATION DATE None Continuing ADVISORY UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 28-20 Change 2 TO FROM SUBJECT STATE WORKFORCE AGENCIES SUZAN G. LEVINE Acting Assistant Secretary Additional Funding to Assist with Strengthening Fraud Detection and Prevention Efforts 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 1.Purpose. To inform states regarding the availability of a third round of fraud prevention and recovery funding and to provide application instructions. The funding may be used to combat fraud in the PUA and PEUC programs including to support innovative strategies and solutions to assist with identity verification and combatting identity fraud strengthen fraud detection and prevention efforts recover overpayments and cover administrative expenses related to integrity efforts. Additionally this Unemployment Insurance Program Letter UIPL provides definitions for different types of fraud and guidance on processes for combatting identity fraud. 2.Action Requested. The U.S. Department of Labor s Department Employment and Training Administration ETA requests that State Workforce Agency Administrators provide information contained in this UIPL to appropriate staff. 3.Summary and Background. a.Summary On May 11 2020 ETA issued UIPL No. 2P-20 to remind states of their roles and responsibilities in addressing fraud in the rnemployment Insurance UI system and the techniques and strategies available to assist states with their fraud management operations. These activities must also be applied to unemployment programs authorized by the Coronavirus Aid Relief and Economic Security CARES Act as amendedI including the PUA and PEUC programs. On August 31 2020 ETA issued UIPL No. 2U- 20 which provided states with 100 million in funding to assist with efforts to prevent and detect fraud and identity theft and recover fraud overpayments in the PUA and PEUC 2 programs. On January 15 2021 ETA issued UIPL No. 28-20 Change 1 to provide states with an additional 100 million in funding to support identity verification or validation of PUA claimants and to assist with efforts to prevent and detect fraud and recover overpayments in the PUA and PEUC programs. This Change 2 to UIPL No. 28-20 informs states of the availability of a third round of fraud prevention and recovery funding to combat fraud in the PUA and PEUC programs how to apply for the funding and how the funding may be used. States are strongly encouraged to combat identity fraud including account takeovers when a fraudster hijacks an existing claim by implementing National Institute of Standards and Technology NIST -compliant1 Identity Assurance Level 2 IAL2 and Authenticator Assurance Level 2 AAL2 identity proofing at the time of filing an initial application for benefits in addition to other points during the claim. NIST-complaint identity proofing is discussed in greater detail in Section 4.b. of this UIPL. To obtain this funding states are required to submit an SF-424 for each funding allotment i.e. one SF-424 for the PUA funding and a second SF-424 for the PEUC funding . ETA encourages states to submit these forms as soon as possible but no later than September 13 2021 by electronic submission to the ETA National Office at covid-19 dol.gov with a copy to the appropriate ETA Regional Office. Attachment I lists the amounts of PUA and PEUC funding available for each state. Attachment II provides additional information on completing the SF-424. b. Background Since the onset of the Coronavirus Disease 2019 COVID-19 pandemic the UI program has been an attractive target for international and domestic criminal organizations perpetrating identity fraud. States have worked tirelessly to combat relentless and sophisticated fraud attacks while simultaneously responding to the highest claims workload in the history of the UI program. The CARES Act was enacted on March 27 2020 Public Law Pub. L. 116-136 and created new temporary unemployment benefit programs including PUA and PEUC . These programs provided unemployment benefits to individuals who were not typically eligible to obtain benefits e.g. individuals who were self-employed . See UIPL No. 14- 20. The Continued Assistance for Unemployed Workers Act of 2020 Continued Assistance Act was enacted on December 27 2020 Pub. L. 116-260 and the American Rescue Plan Act of 2021 ARPA was enacted on March 11 2021 Pub. L. 117-2 both of which further amended and extended the CARES Act programs. See UIPL Nos. 09-21 and 14-21 respectively. With each new enactment states were required to modify their computer systems and service delivery processes as well as to notify individuals of changes to eligibility requirements for the PUA and PEUC programs. 1 NIST Special Publication SP 800-63 provides technical requirements for implementing digital identity services. The publication includes an overview of identity frameworks using authenticators credentials and assertions in a digital system and a risk-based process to select assurance levels at https pages.nist.gov 800-63-3 sp800-63- 3.html. 3 All states signed an Agreement Implementing the Relief for Workers Affected by Coronavirus Act Agreement with the Secretary in March 2020 to administer the PUA and PEUC programs. The Agreement incorporates amendments to the CARES Act made by the Continued Assistance Act and ARPA. Under the Agreement each state is required to operate the programs as required by any statutory amendments and the Department s guidance. This is discussed further in Section 4.c. of this UIPL. Addressing both eligibility fraud and identity fraud remain a top priority for the Department and the entire unemployment compensation UC system. As discussed in UIPL Nos. 23-20 28-20 and 28-20 Change 1 ETA strongly encourages states to adopt an array of solutions and techniques to detect and fight fraud have robust strategies in place to verify the identity of individuals applying for unemployment benefits and strengthen efforts to recover overpayments including fraudulently paid UC benefits. This includes implementing NIST-compliant IAL2 and AAL2 identity proofing see Section 4.b. of this UIPL for more information . States are also encouraged to make use of the tools resources and services of the UI Integrity Center funded by the Department and operated in partnership with the National Association of State Workforce Agencies NASWA . See Training and Employment Notice TEN No. 04-20 for further information on the Integrity Data Hub IDH . As a reminder states must refer allegations which they reasonably believe constitute UC fraud waste abuse mismanagement or misconduct to the Department s Office of Inspector General DOL-OIG . Additionally states are required to disclose confidential UC information related to the CARES Act as amended to DOL-OIG for the purpose of UC fraud investigations and audits for the entire pandemic relief period. See UIPL No. 04-17 Change 1. States should actively and regularly share information about suspected fraud with other state UI agencies and with local state and federal law enforcement. ETA is committed to supporting states by providing funding and investing in the most innovative and successful tools and resources to stay ahead of fraud schemes which includes providing states with options to access NIST-compliant identity proofing and authentication solutions. This includes Blanket Purchase Agreements BPAs awarded by the Department that provide the Department with a procurement vehicle to enhance identity proofing in the state s UI programs. In the near future the Department plans to issue guidance to states on the BPAs and the procedures for the Department to issue orders under those BPAs in accordance with federal procurement regulations. As part of that ordering process the Department anticipates working with states to identify particular requirements applicable to a state UI program and to provide for the payment for services ordered using grants made available under this UIPL or another funding source identified by the state subject to the requirements of federal appropriations law. 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 of January 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 4 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 individuals. The Department expects to issue additional funding opportunities for detecting and preventing fraud for the regular UC program in the near future. The Department expects to also offer states additional funding opportunities to increase equity in the regular UC program. States may want to consider these additional funds when putting together their fraud strategies to incorporate equitable access into their strategies to combat fraud. 4. Guidance. This section provides definitions for different types of fraud namely eligibility fraud and identity fraud. States are encouraged to implement NIST-compliant processes for identity proofing and authentication to combat identity fraud. States are also reminded of the required program activities after termination or expiration of the PUA and PEUC programs as well as the requirement to share information with the DOL-OIG. a. Types of Fraud. There are primarily two different types of fraud occurring within the UC program. Eligibility fraud generally occurs when benefits or services are acquired as a result of false information with the intent to receive benefits for which an individual or individuals would not otherwise be qualified. State law determines how this is evaluated within the UC program. Not all improper payments are considered fraudulent. Identity fraud is when one person acquires and uses the identifying information of another person in order to illegally receive benefits. The fraud can happen either at the time of UI application submission or by changing key user data like bank account information after a claim has been established. As discussed in UIPL No. 16-21 synthetic identity fraud occurs when real and fake information are combined to create false identities. b. National Institute of Standards and Technology NIST -compliant IAL2 AAL2 Identity Proofing and Authentication. The Department strongly encourages all states to implement NIST-compliant identity proofing specifically IAL2 and AAL2 before claimants start filling out the UI claims application and for re-accessing their account. IAL2 and AAL2 are recommended for UC programs due to the personally identifiable information PII collected from individuals and employers. NIST Standard Publication SP 800-63 outlines components of identity assurance that states should take into consideration when reviewing available tools solutions 5 i. Identity Assurance Level IAL indicates how robust the identity proofing process is and how the identity in question is bound between an authenticator and a specific person. IAL2 requires evidence that supports the real-world existence of the claimed identity and verifies that the applicant is appropriately associated with this real-world identity. IAL2 introduces the need for either remote or physically- present identity proofing and includes filling out personal information name address DOB etc. and submitting photos of approved government-issued identification or supporting documents for remote identity proofing. ii. Authenticator Assurance Level AAL refers to the authentication process and indicates the confidence that the person trying to log in is the same person as the person attached to the account. AAL2 indicates the level of security behind the point of access which requires the proof of possession and control of two distinct authentication methods. As states are implementing NIST-compliant IAL2 AAL2 identity proofing and authentication services or other identity verification methods the Department strongly encourages states to include service delivery expectations that mitigate access barriers to individuals. The state must provide at least two options to individuals upfront to verify their identity i.e. online by phone and or in-person . An example of service delivery expectations that further mitigate access barriers include that incorrect identity proofing by denying the validation of an individual s identity who has accurately represented themselves and submitted to identity proofing requirements which is an example of a false positive shall not exceed 0.5 percent of the total IAL2 identities processed. Timely determinations prevent fraudulent benefit payments while ensuring that qualified and eligible claimants receive benefits as soon as administratively feasible. See UIPL Nos. 04-01 01-16 and 16-21. c. Reminders to States. i. Applicability of program requirements after termination or expiration of PUA and PEUC. Under current federal law the PUA and PEUC programs will expire on September 6 2021 and some states have elected to terminate participation before September 6 2021. As described in Section 4.a. of UIPL No. 14-21 Change 1 the state must process and pay benefits to eligible individuals under the PUA and PEUC programs for all weeks of unemployment ending on or before the date of termination or expiration whichever comes first . The state must also comply with all responsibilities with respect to claims filed under these programs for those weeks including without limitation the requirements under the Agreement and in guidance. Accordingly the Agreement remains in effect with respect to the PUA and PEUC programs for weeks of unemployment ending on or before the date of termination or expiration whichever comes first until all issues relating to those weeks are resolved. The Department expects that states will continue to detect and recover fraudulent overpayments with respect to these covered weeks after the date of termination or expiration. 6 ii. Required Information Disclosure to DOL-OIG. As discussed in UIPL No. 04-17 Change 1 states must refer allegations which they reasonably believe constitute UC fraud waste abuse mismanagement or misconduct to the DOL-OIG. Additionally states are required to disclose confidential UC information related to the CARES Act as amended to the DOL-OIG for the purpose of UC fraud investigations and audits for the entire pandemic relief period which for most states will be weeks of unemployment beginning after January 27 2020 through weeks of unemployment ending before September 6 2021. 5. Funding for States to Combat Fraud in the PUA and PEUC Programs. This section discusses the amount available to states allowable uses of funds application instructions and reporting requirements. a. Amount Available to States. The Department is providing an additional 100 million to states to combat fraud in the PUA and PEUC programs. The methodology for state funding levels is based on size of UI covered employment in the state.2 For purposes of this methodology states are assigned to three groups Small Medium and Large based on the 12-month average of UI covered employment for the four quarters in calendar year 2020 reported on the ES 202 Employment Wages and Contributions . States are assigned to the size groups as follows Small covered employment under 1 million employees Medium covered employment between 1 million and 2 million employees Large covered employment greater than 2 million employees Attachment I lists the amounts of PUA and PEUC funding available for each state. b. Allowable Uses of Funds. States may use the funds made available under this UIPL to support innovative strategies and solutions to assist with identity verification and combatting identity fraud strengthen fraud detection and prevention efforts recover overpayments and cover administrative expenses related to integrity efforts. Examples of permissible uses of these funds include but are not limited to the following activities. i. Procuring implementing and paying reoccurring subscription costs and or ongoing maintenance costs of identity verification and fraud detection solutions such as NIST-compliant IAL2 and AAL2 tool s strategy ies that provide identity verification and user authorization of all individuals applying for PUA and PEUC. This includes using such funds to pay for services provided under an order issued by the Department against one of the Department s identity proofing BPAs ii. Implementing or enhancing data analytics capabilities to understand the nature and prevalence of fraud and the impact of fraud mitigation efforts such as tracking 2 The Pacific territories are included in PUA pursuant to CARES Act Section 2101 a 5 but not in PEUC. Since the Pacific territories have relatively small populations and do not operate regular UI programs and therefore lack data on employment their PUA funding is based on estimated claims workloads. 7 o Current and historical numbers of cases flagged as potential or resolved fraud o Type of fraud eligibility fraud vs. identity fraud o Type of perpetrators and o Investigation outcomes. iii. Implementing cross-matching to detect suspicious activity including synthetic or false identities and identification of other patterns of fraudulent behavior e.g. with a state s own internal data or the IDH3 Identity Verification IDV solution iv. Implementing or enhancing cybersecurity perimeter defense for the websites and web applications responsible for initial application steps and regular certification e.g. to protect against online bot attacks v. Costs incurred from working with banks and financial institutions to detect suspicious activity ensure that accounts are not unduly suspended and eligible claimants with suspended claims are paid benefits and facilitate the expeditious return of improperly paid UC funds vi. Costs incurred to capture and analyze additional data elements to measure the service delivery expectations. This includes capturing any data elements to measure effectiveness and equity outcomes of identity verification and fraud detection and prevention solutions tools and actions associated with the use of these funds to ensure that service delivery does not adversely affect people of color individuals in poverty and others who may have been historically underserved or marginalized. Examples include tracking which claims were flagged as potential fraud at any time the length of time to resolve these investigations and the outcome of these investigations e.g. fraud overpayment but not fraudulent non-issue i.e. false positive by demographic group. Other examples include reporting data on claimant experience with fraud fighting technology e.g. speed of identity proofing broken out by subgroups such as race ethnicity gender disability status geographic location age . vii. Assessing and mitigating disproportionate impact of fraud measures on vulnerable communities such as communities of color communities with disabilities limited English proficient and immigrant communities and certain geographic communities e.g. rural versus urban . 3 The Pacific territories Guam American Samoa the Commonwealth of the Northern Mariana Islands the Federated States of Micronesia the Republic of the Marshall Islands and the Republic of Palau do not have access to the IDH. ETA will provide targeted technical assistance to the Pacific territories to explore options to assist with identity verification and support enhanced fraud detection and prevention. 8 viii. Assessing and mitigating security vulnerabilities e.g. migrating from using PINs to strong passwords locking accounts after multiple failed login attempts immediately notifying users when key account information like when a mailing address or bank account is modified ix. Hiring staff or obtaining contract services to conduct fraud investigations other eligibility fraud and identity fraud detection-related activities and support overpayment recovery efforts 4 x. Costs incurred as a result of a state s participation in forfeiture and seizure efforts of law enforcement agencies e.g. Department of Justice United States Secret Service and xi. Administrative expenses incurred by the state to gather business requirements program computer systems or otherwise implement tools strategies or solutions to strengthen fraud detection prevention and recovery efforts. c. Application Instructions. States are required to submit an SF-424 OMB No. 4040-0004 https apply07.grants.gov apply forms sample SF424 4 0-V4.0.pdf for each funding allotment i.e. one SF-424 for the PUA funding and a second SF-424 for the PEUC funding . Attachment II provides additional information on completing the SF-424. ETA encourages states to submit this form as soon as possible but no later than September 13 2021 by electronic submission to the ETA National Office at covid- 19 dol.gov with a copy to the appropriate ETA Regional Office. d. Reporting Requirements. States must provide a narrative Quarterly Progress Report ETA 9178-F and Quarterly Financial Report ETA 9130 containing updates on the progress and implementation of each project. ETA will use the ETA 9178-F to track each state s progress on activities solutions and ensure that a state s use of funds is consistent with the permissible activities outlined in section 5.b. of this UIPL and ensuring fraud prevention solutions activities do not have a negative impact on access to benefits. Refer to Attachment III in UIPL No. 28-20 for instructions for completion and the timeline of submission for the ETA 9178-F. In the Summary under Section A states must provide to the extent available an assessment of the issue they are addressing an explanation of how the proposed use of funds would address the issue and a plan to measure the outcomes and effectiveness of the strategies tools and or actions associated with the use of these funds. States may need to consider updates and changes to their 4 Refer to UIPL No. 12-01 Change 2 for states ability to exercise flexibility in staffing models after the emergency flexibilities under Section 9015 ARPA expire on September 6 2021. 9 existing computer systems to capture new data elements needed to demonstrate the effectiveness of these action s . The Department expects to award these funds prior to September 6 2021 and so the first ETA 9178-F report under this UIPL will be due November 14 2021. A note for states participating in the Department s identity proofing BPAs. States that participate in the Department s identity proofing BPAs may be subject to additional terms and conditions. The terms and conditions of any grant issued in accordance with this UIPL shall be read in harmony with and as complementary to the terms and conditions set forth in the identity proofing order and corresponding BPA. 6. Inquiries. States should direct inquiries to covid-19 dol.gov and copy to the appropriate ETA Regional Office. 7. References. 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 Pub. L. 116-260 Coronavirus Aid Relief and Economic Security CARES Act Pub. L. 116-136 Title II Subtitle A Relief for Workers Affected by Coronavirus Act Section 303 of the Social Security Act 42 U.S.C. 503 Executive Order 13985 of January 20 2021 86 FR 7009 page 7009-7013 https www.federalregister.gov documents 2021 01 25 2021-01753 advancing- racial-equity-and-support-for-underserved-communities-through-the-federal- government UIPL No. 19-21 Benefits Held by Banks and Financial Institutions as a Result of Suspicious and or Potentially Fraudulent Activity and the Proportional Distribution Methodology Required for Recovering Returning Federally Funded Unemployment Compensation UC Program Funds issued May 04 2021 https wdr.doleta.gov directives corr doc.cfm docn 9571 UIPL No. 16-21 Identity Verification for Unemployment Insurance UI Claims issued April 13 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 9141 UIPL No. 14-21 Change 1 State Responsibilities After the Temporary Unemployment Benefit 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 directives 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 directives corr doc.cfm DOCN 5669 UIPL No. 09-21 Continued Assistance for Unemployed Workers Act of 2020 Continued Assistance Act - Summary of Key Unemployment Insurance UI Provisions issued December 30 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 3831 10 UIPL No. 28-20 Change 1 Additional Funding for Identity Verification or Verification of Pandemic Unemployment Assistance PUA Claimants and Funding to Assist with Efforts to Prevent and Detect Fraud and Identity Theft as well as Recover Fraud Overpayments in the PUA and Pandemic Emergency Unemployment Compensation PEUC Programs issued January 15 2021 https wdr.doleta.gov directives 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 Efforts to Prevent and Detect Fraud and Identity Theft and Recover Fraud Overpayments in the Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs issued August 31 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 8044 UIPL No. 23-20 Program Integrity for the Unemployment Insurance UI Program and the UI Programs Authorized by the Coronavirus Aid Relief and Economic Security CARES Act of 2020 - Federal Pandemic Unemployment Compensation FPUC Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs issued May 11 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 4621 UIPL No. 16-20 Change 5 Expanded Eligibility Provisions for the Pandemic Unemployment Assistance PUA Program issued February 25 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 3202 UIPL No. 16-20 Change 4 Continued Assistance to Unemployed Workers Act of 2020 Pandemic Unemployment Assistance PUA Program New Operating Instructions and Reporting Changes issued January 8 2021 https wdr.doleta.gov directives 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 for Pandemic Unemployment Assistance PUA in the Context of School Systems Reopening issued August 27 2020 https wdr.doleta.gov directives 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 directives 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 directives 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 5 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 4628 UIPL No. 14-20 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Summary of Key Unemployment Insurance UI Provisions and Guidance Regarding Temporary Emergency State Staffing Flexibility issued April 2 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 3390 11 UIPL No. 04-17 Change 1 Requirement for States to Refer Allegations of Unemployment Compensation UC Fraud Waste Abuse Mismanagement or Misconduct to the Department of Labor s Department Office of Inspector General s DOL-OIG and to Disclose Information Related to the Coronavirus Aid Relief and Economic Security CARES Act to DOL-OIG for Purposes of UC Fraud Investigation and Audits issued August 3 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 5817 UIPL No. 02-16 Change 1 State Responsibilities for Ensuring Access to Unemployment Insurance Benefits Services and Information issued May 11 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 5491 UIPL No. 02-16 State Responsibilities for Ensuring Access to Unemployment Insurance Benefits issued October 01 2015 https wdr.doleta.gov directives corr doc.cfm DOCN 4233 UIPL No. 01-16 Change 1 Federal Requirements to Protect Claimant Rights in State Unemployment Compensation Overpayment Prevention and Recovery Procedures - Questions and Answers issued January 13 2017 https wdr.doleta.gov directives corr doc.cfm DOCN 7706 UIPL No. 01-16 Federal Requirements to Protect Individual Rights in State Unemployment Compensation Overpayment Prevention and Recovery Procedures issued October 1 2015 https wdr.doleta.gov directives corr doc.cfm DOCN 5763 UIPL No. 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 UIPL No. 29-05 Memorandum of Understanding Regarding Unemployment Insurance Criminal Investigations Between the U.S. Department of Labor s Office of Inspector General and the Employment and Training Administration issued August 2 2005 https wdr.doleta.gov directives corr doc.cfm DOCN 2104 UIPL No. 12-01 Change 2 States Ability to Exercise Flexibility in Staffing Models for the Performance of Certain Unemployment Compensation UC Administrative Activities issued January 8 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 8998 UIPL No. 04-01 Payment of Compensation and Timeliness of Determinations during a Continued Claims Series issued October 27 2000 https wdr.doleta.gov directives corr doc.cfm DOCN 1746 TEN No. 4-20 Encouragement for States to Use the Integrity Data Hub IDH available through the Unemployment Insurance UI Integrity Center issued August 31 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 3588 TEN No. 03-20 Unemployment Insurance UI Integrity Center s Integrity Data Hub IDH Fraud Alert System issued August 31 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 5585 and Employment Security Manual Section 7511 The Secretary s Interpretation of Federal Law Requirements available at 20 C.F.R. Part 614 Appendix C Standard for Fraud and Overpayment Detection. 12 8. Attachment s . Attachment I State Size Classifications and Funding Allocation to Strengthen Fraud Detection and Prevention Efforts and Recover Overpayments in the Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs and Attachment II Instructions for Completing the SF-424. I-1 Attachment I to UIPL No. 28-20 Change 2 State Size Classifications and Funding Allocation to Strengthen Fraud Detection and Prevention Efforts and Recover Overpayments in the Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs State Size Classification Pandemic Unemployment Assistance PUA Funding Allotment Pandemic Emergency Unemployment Compensation PEUC Funding Allotment Alabama Medium 1 384 200 264 600 Alaska Small 1 020 600 194 400 Arizona Large 2 133 900 405 900 Arkansas Medium 1 384 200 264 600 California Large 2 133 900 405 900 Colorado Large 2 133 900 405 900 Connecticut Medium 1 384 200 264 600 Delaware Small 1 020 600 194 400 District of Columbia Small 1 020 600 194 400 Florida Large 2 133 900 405 900 Georgia Large 2 133 900 405 900 Hawaii Small 1 020 600 194 400 Idaho Small 1 020 600 194 400 Illinois Large 2 133 900 405 900 Indiana Large 2 133 900 405 900 Iowa Medium 1 384 200 264 600 Kansas Medium 1 384 200 264 600 Kentucky Medium 1 384 200 264 600 Louisiana Medium 1 384 200 264 600 Maine Small 1 020 600 194 400 Maryland Large 2 133 900 405 900 Massachusetts Large 2 133 900 405 900 Michigan Large 2 133 900 405 900 Minnesota Large 2 133 900 405 900 Mississippi Medium 1 384 200 264 600 Missouri Large 2 133 900 405 900 Montana Small 1 020 600 194 400 Nebraska Small 1 020 600 194 400 Nevada Medium 1 384 200 264 600 New Hampshire Small 1 020 600 194 400 New Jersey Large 2 133 900 405 900 New Mexico Small 1 020 600 194 400 New York Large 2 133 900 405 900 North Carolina Large 2 133 900 405 900 North Dakota Small 1 020 600 194 400 I-2 State Size Classification Pandemic Unemployment Assistance PUA Funding Allotment Pandemic Emergency Unemployment Compensation PEUC Funding Allotment Ohio Large 2 133 900 405 900 Oklahoma Medium 1 384 200 264 600 Oregon Medium 1 384 200 264 600 Pennsylvania Large 2 133 900 405 900 Puerto Rico Small 1 020 600 194 400 Rhode Island Small 1 020 600 194 400 South Carolina Medium 1 384 200 264 600 South Dakota Small 1 020 600 194 400 Tennessee Large 2 133 900 405 900 Texas Large 2 133 900 405 900 Utah Medium 1 384 200 264 600 Vermont Small 1 020 600 194 400 Virgin Islands Small 1 020 600 194 400 Virginia Large 2 133 900 405 900 Washington Large 2 133 900 405 900 West Virginia Small 1 020 600 194 400 Wisconsin Large 2 133 900 405 900 Wyoming Small 1 020 600 194 400 TOTAL 83 311 200 15 868 800 Pacific Territories Pandemic Unemployment Assistance PUA Funding Allotment American Samoa 100 000 Commonwealth of the Northern Mariana Islands 210 000 Federated States of Micronesia 100 000 Guam 210 000 Palau 100 000 Republic of Marshall Islands 100 000 TOTAL 820 000 II-1 Attachment II to UIPL No. 28 -20 Change 2 Instructions for Completing the SF-424 Please note that States are required to submit an SF-424 for each funding allotment i.e. one SF-424 for the Pandemic Unemployment Assistance funding and a second SF-424 for the Pandemic Emergency Unemployment Compensation funding . I. 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 forms sample SF424 4 0-V4.0.pdf. Section 8 APPLICANT INFORMATION 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 SAM . 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 opportunities 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 SAM . 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 ZipLookupAction input. 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. Section 9 Type of Applicant 1 Select Applicant Type Input State Government . II-2 Section 10 Name of the Federal Agency Input Employment and Training Administration . Section 11 Catalog of Federal Domestic Assistance Number Input 17.225 CFDA Title Input Unemployment Insurance . Section 12 Funding Opportunity Number and Title For Pandemic Unemployment Assistance Funding Allotment Input UIPL No. 28- 20 Change 2 Pandemic Unemployment Assistance Identity Verification Fraud Prevention and Overpayment Recovery Grants . For Pandemic Emergency Unemployment Compensation Funding Allotment Input UIPL No. 28-20 Change 2 Pandemic Emergency Unemployment Compensation Identity Verification Fraud Prevention and Overpayment Recovery Grants . Section 13 Competition Identification Number Leave Blank. Section 14 Areas Affected by Project Input the place of performance for the project implementation Example NY for New York. Section 15 Descriptive Title of Applicant s Project For Pandemic Unemployment Assistance Funding Allotment Input UIPL No. 28-20 Change 2 Pandemic Unemployment Assistance Identity Verification Fraud Prevention and Overpayment Recovery Grants . For Pandemic Emergency Unemployment Compensation Funding Allotment Input UIPL No. 28-20 Change 2 Pandemic Emergency Unemployment Compensation - Identity Verification Fraud Prevention and Overpayment Recovery Grants . Section 16 Congressional Districts 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 is 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. Section 17 Proposed Project Dates. 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 . II-3 Section 18 Estimated Funding Input the applicable funding allotment for each of the programs as listed for your state in Attachment I. Section s 19 20 Complete as per instructions for Form SF-424. Section 21 Authorized Representative Please select the I AGREE check box and provide 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 letter from higher-level leadership authorizing the new signatory for the application submission. Remember to have the SF-424 signed and dated by the Authorized Representative.