UIPL_16-20_Change_5.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION Unemployment Insurance CORRESPONDENCE SYMBOL OUI DUIO DATE February 25 2021 RESCISSIONS None EXPIRATION DATE Continuing ADVISORY UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 16-20 Change 5 TO FROM SUBJECT STATE WORKFORCE AGENCIES SUZAN G. LEVINE Principal Deput y Assistant Secretary Expanded Eligibility Provisions for the Pandemic Unemployment Assistance PUA Program 1.Purpose. To provide states with updated guidance for the PUA program specifically regarding expanded eligibility provisions authorized under Section 2102 a 3 A ii I kk of the Coronavirus Aid Relief and Economic Security CARES Act. 2.Action Requested. The Department of Labor s Department Employment and Training Administration ETA requests State Workforce Administrators provide the information contained in this Unemployment Insurance Program Letter EUIPLF and the attachments to appropriate program and other staff in state workforce systems to implement these changes to the PUA program. 3.Summary and Background. a.Summary The Department expands PUA eligibility to include three COVID-19 related reasons under which an individual may self-certify. This expansion is made under the authority provided by Section 2102 a 3 A ii I kk of the CARES Act. These three reasons are added to the existing COVIa-19 related reasons specified in items aa - jj of Section 2102 a 3 A ii I of the CARES Act and the reason previously approved by the Secretary of Labor Secretary under Section 2102 a 3 A ii I kk of the CAREp Act for individuals who are self-employed and experience a significant reduction of services because of COVIa-19. These additional reasons address circumstances when an individual is directly affected by the COVIa-19 public health emergency. They are 1 individuals who refuse to return to work that is unsafe or to accept an offer of new work that is unsafe 2 certain individuals providing services to educational institutions or educational service agencies and EP individuals experiencing a reduction of hours or a temporary or permanent lay- off. 2 These additional eligibility provisions apply retroactively to the beginning of the PUA program though individuals who did not file an initial PUA claim on or before December 27 2020 are limited to weeks of unemployment beginning on or after December 6 2020. This limitation on backdating of a PUA claim is discussed in more detail in Section 4.b. of this UIPL. States must determine PUA effective dates consistent with instructions provided in Section C.15. of Attachment I to UIPL No. 16-20 Change 4. States may seek additional funding of up to 100 000 to cover startup costs for implementing the expanded eligibility provisions including an update to the self- certification declaration as part of their initial PUA application and continued claim forms. 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 March 15 2021. Acknowledging that states need time to modify their initial PUA claim application and PUA continued claim forms to include these additional COVID-19 related reasons as part of the self-certification declaration the Department expects many states will need until the end of March or later to have the new COVID-19 related reasons in place. Attachment I provides a sample self-certification declaration that includes the original and new COVID-19 related reasons. ETA recommends that states use this with their initial PUA claim application and PUA continued claim forms. Attachment III provides instructions for completing the SF-424. b. Background On March 27 2020 the CARES Act was enacted Public Law Pub. L. 116-136 which 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. PUA is a benefit of last resort and in general provides unemployment benefits to individuals 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 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 and Department guidance. 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 through week ending April 10 2021 April 11 2021 for states with a Sunday week ending date are deducted from the individual s PUA entitlement see Section C.17. of Attachment I of 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 individual may be eligible for PUA in addition to those specific COVID-19 3 related reasons specified in items aa - jj of Section 2102 a 3 A ii I of the CARES Act. To date the Department has added one additional COVID-19 related reason under this authority found in Section 2102 a 3 A ii I kk . The Department most recently discussed this COVID-19 related reason in Section C.1.kk. of Attachment I to UIPL No. 16-20 Change 4 which provides that s elf-employed individuals including independent contractors and gig workers who experienced a significant diminution of their customary or usual services because of the COVID-19 public health emergency even absent a suspension of services may self-certify under item kk . This COVID-19 related reason remains in effect. On December 27 2020 the Consolidated Appropriations Act 2021 Pub. L. 116-260 was enacted which includes the Continued Assistance for Unemployed Workers Act of 2020 Continued Assistance Act set out in Division N Title II Subtitle A. The Continued Assistance Act extends the PUA program and enacts several program integrity measures including a requirement that all individuals receiving a PUA payment after December 27 2020 submit documentation substantiating employment self-employment or the planned commencement of employment or self-employment. Where the CARES Act as amended and the operating instructions are silent states should refer to the Disaster Unemployment Assistance DUA regulations at 20 C.F.R. Part 625. The Department has published several UIPLs providing guidance to states regarding the PUA program. UIPL No. 16-20 published on April 5 2020 provides implementation and operating instructions instructions for obtaining administrative funding and reporting instructions for the ETA 902-P report. UIPL No. 16-20 Change 1 published on April 27 2020 includes several Questions and Answers along with instructions for calculating an individual s weekly benefit amount WBA and completing the ETA 9178-P Quarterly Narrative Progress Report. UIPL No. 16-20 Change 2 published on July 21 2020 includes additional Questions and Answers. UIPL No. 16-20 Change 3 published on August 27 2020 explains specific scenarios under which an individual who is a caregiver and affected by the reopening of school systems may be eligible for PUA. UIPL No. 16-20 Change 4 which the Department published on January 8 2021 provides updated implementation and operating instructions updates reporting instructions for the ETA 902-P report and includes a summary table in Attachment III about how to process PUA claims based on the claim filing date. 4 Importance of Program Integrity. 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. It is critical that states implement processes that ensure payments are being made to eligible individuals 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 and UIPL No. 28-20 Change 1 published January 15 2021 provides states with funding to assist with efforts to prevent and detect fraud and identity theft and recover fraud overpayments in the PUA and PEUC programs. 4. Guidance. a. Expanded list of COVID-19 related reasons approved by the Department. To be eligible for PUA the state must verify that the individual is not eligible for regular UC or PEUC or EB . The Department reminds states of other requirements for PUA In general an individual who has the ability to telework with pay or who is receiving paid sick leave or other paid leave benefits is not eligible for PUA. See Section C.1. of Attachment I to UIPL No. 16-20 Change 4. An individual must report any earnings from covered employment or income from self-employment each week. The individual s WBA must be reduced on account of such earnings and income as prescribed under state law. See the DUA regulations at 20 C.F.R. 625.6 f for additional details regarding the effect earnings and income have on an individual s WBA. Question 15 of Attachment I to UIPL No. 16-20 Change 2 provides additional details regarding self-employment income. An individual who continues to receive their full pay e.g. is not experiencing any reduction in pay during the period they are not working is not considered to be unemployed. See Section 4.a. of UIPL No. 10-20. Individuals must also self-certify that they are unemployed partially unemployed or unable or unavailable to work for a COVID-19 related reason. Refer to Section 4.c. of 5 this UIPL for benefit payment control processes to address program integrity in the PUA program. In addition to the current COVID-19 related reasons identified in items aa - jj of Section 2102 a 3 A ii I of the CARES Act and the one reason previously approved 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 and Section C.1.kk. of Attachment I to UIPL No. 16-20 Change 4 the Department hereby establishes additional COVID-19 related reasons under which an individual may self-certify to establish eligibility for PUA. These additional COVID-19 related reasons are described below. i. Individuals who refuse to return to work that is unsafe or accept an offer of new work that is unsafe. The Department approves the following COVID-19 related reason for an individual to self-certify for PUA eligibility The individual has been denied continued unemployment benefits because the individual 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 individual is generally denied unemployment benefits if the state determines that the work is suitable and the individual did not have good cause for refusing such work. This new COVID-19 related reason applies only to individuals who had already been receiving unemployment benefits but were determined to be ineligible or disqualified 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 eligibility to an individual who quits their job as a direct result of COVID-19. For example an individual may self-certify under this new 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 6 standards. Below are a few non-exhaustive scenarios. See Section 4.b.iv. of this UIPL for additional details regarding PUA effective dates. o An individual was laid off in June 2020 and began receiving regular UC. The individual was recalled to work in October 2020. However because the worksite was not in compliance with the local mask mandate the individual refused to return to work. The individual was disqualified from continued receipt of regular UC under state law. The individual is now eligible to apply for PUA under this new COVID-19 related reason. o An individual was laid off in October 2020 and began receiving regular UC. The individual 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 individual was disqualified from continued receipt of regular UC under state law. The individual is now eligible to apply for PUA under this new COVID-19 related reason. An individual 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 individual 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 individual had good cause for refusing such work.1 In these circumstances the individual must continue to receive unemployment benefits provided they are otherwise eligible. The individual is not eligible for PUA using this new COVID-19 related reason if the individual was determined eligible for continued unemployment benefits for refusal of work under state law. Moreover an individual who is allowed continued unemployment benefits and subsequently exhausts such benefits is not eligible for PUA using this new COVID-19 related reason. ii. Certain individuals providing services to educational institutions or educational service agencies. The Department approves the following COVID-19 related reason for an individual to self-certify for PUA eligibility An individual provides services to an educational institution or educational service agency and the individual 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 new COVID-19 related reason addresses situations where an individual provides services to educational institutions or educational service agencies and is subject to significant volatility in the school schedule directly related to COVID- 1 The Department reminds states that Section 4102 b of the Emergency Unemployment Insurance Stabilization and Access Act of 2020 EUISAA set out at Division D of the Families First Coronavirus Response Act Pub. L. 116- 127 provides states with the authority to temporarily modify their good cause provisions as needed in response to the spread of COVID-19 see Section 5.C. of UIPL No. 13-20 . 7 19. Whether the individual is between or within terms and has a contract or reasonable assurance to return in the subsequent year or term will affect the individual s ability to self-certify under this COVID-19 related reason as described below.2 Attachment II provides a graphical representation of the process for determining PUA eligibility. A. Individual does not have a contract or reasonable assurance. An individual 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 to the between and within terms denial provisions and 3 is not otherwise eligible for regular UC or PEUC or EB may self-certify eligibility for PUA under this new COVID-19 related reason if they are subject to significant volatility in the school schedule. If the individual does not have a contract or reasonable assurance to return and self-certifies eligibility under this new COVID-19 related reason or another COVID-19 related reason that is applicable to their situation the individual 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 individual s PUA WBA. If school schedules or planned school openings are disrupted and an individual is found to no longer have a contract or reasonable assurance to return in the subsequent year or term then they can establish eligibility going forward as described in subparagraph A under this new COVID- 19 related reason or another COVID-19 related reason that is applicable to their situation. 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 reasonable assurance and assists states in applying these terms consistent with federal law requirements. 8 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 individuals may receive PUA for weeks previously denied under regular UC or PEUC or EB because the individual had a contract or reasonable assurance and the individual was later found not to have reasonable assurance states must first determine if the individual qualifies for regular UC or PEUC or EB under the state s backdating provisions. If the individual does not qualify for backdating for regular UC then they may retroactively self-certify for PUA under this new COVID-19 related reason. States must determine PUA effective dates consistent with instructions provided in Section 4.b.iv. of this UIPL and Section C.15. of Attachment I to UIPL No. 16-20 Change 4. The individual must report any earnings each week that they file for PUA. The individual s WBA must be reduced on account of such earnings and income as prescribed under state law. Individuals who receive a full salary during periods of disruption are not considered to be unemployed and would not be eligible for PUA. See Section 4.a. of UIPL No. 10-20. iii. Individuals experiencing a reduction of hours or a temporary or permanent lay- off. The Department approves the following COVID-19 related reason for an individual to self-certify for PUA eligibility An individual is an employee and their hours have been reduced or the individual was laid off as a direct result of the COVID-19 public health emergency. This new COVID-19 related reason expands eligibility beyond the current provision of item jj of Section 2102 a 3 A ii I of the CARES Act which is limited to situations where the individual s place of employment is closed. Under this new COVID-19 related reason if an individual is laid off because the place of employment is partially closed either permanently or temporarily or the individual has experienced a reduction in hours the individual may now self- certify eligibility. 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 individuals may not be eligible for regular UC or PEUC or EB because for example they lack sufficient wages to qualify have a previous disqualification or have exhausted regular UC PEUC and EB. This expanded COVID-19 related reason establishes a circumstance under which they may self-certify eligibility for PUA.3 3 For examples of individuals who may qualify for PUA with previous disqualifications refer to Questions 30 31 and 33 of Attachment I to UIPL No. 16-20 Change 1 or Question 12 of Attachment I to UIPL No. 16-20 Change 2. 9 The individual 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. b. Processing claims using the expanded list of COVID-19 related reasons. This section describes the steps that each state must take to 1 update the self-certification declarations to include the new COVID-19 related reasons 2 notify individuals of the expanded list of COVID-19 related reasons 3 establish eligibility as appropriate using the expanded list of COVID-19 related reasons and 4 adhere to the backdating limitations for retroactive PUA claims as described below. i. States must update the self-certification declarations to include the new COVID- 19 related reasons. States must modify their initial PUA claim application and PUA continued claim forms to include these additional COVID-19 related reasons as part of the self-certification declaration. Such changes are retroactive to the beginning of the PUA program. States must determine PUA effective dates consistent with instructions provided in Section C.15. of Attachment I to UIPL No. 16-20 Change 4. Acknowledging that states need time to modify their initial PUA claim application and PUA continued claim forms to include these additional COVID- 19 related reasons as part of the self-certification declaration the Department expects many states will need until the end of March or later to have the new COVID-19 related reasons in place. Attachment I provides a sample self-certification declaration which includes the original and new COVID-19 related reasons that ETA recommends states use with their initial PUA claim application and PUA continued claim forms. Additionally states must comply with the following instructions when updating the self-certification declarations. A. Paraphrasing of the COVID-19 related reasons is not permissible. Acknowledging that eligibility under the PUA program is limited to specific COVID-19 related reasons states must include the specific text for each item as provided in the CARES Act statute and Department guidance including this UIPL. States may shorten the original COVID-19 related reason approved by the Secretary to read The individual is self-employed and experienced a significant reduction of services because of COVID-19. However states may not paraphrase the other COVID-19 related reasons except to personalize the responses e.g. instead of saying The individual has been the state may write I have been . While states must include the specific text for each item to help individuals understand the COVID-19 related reasons and to comply with the requirements outlined in UIPL No. 02-16 Change 1 states may translate the 10 text into the appropriate languages for their population and provide examples consistent with Section C.1. of Attachment I to UIPL No. 16-20 Change 4 and Section 4.a. of this UIPL as an additional resource. B. Individuals must be permitted to select more than one COVID-19 related reason. Acknowledging that an individual may have more than one COVID- 19 related reason affecting their unemployment or inability to work in a given week states must provide individuals with the ability to choose more than one COVID-19 related reason on each self-certification declaration for the initial application and continued claim forms. For example an individual may have quit their job because their child for which they are the primary caregiver is unable to attend school because the school is closed to in-person instruction as a direct result of the COVID-19 public health emergency. The individual continues to be unable to work because the child continues to be unable to attend school in-person. Under these circumstances the individual may self-certify that they are unemployed under item dd and unavailable under item ii of Section 2102 a 3 A ii I of the CARES Act. As another example an individual may be unable to work because they are the primary caregiver of a child who is unable to attend school because the school is closed to in-person instruction as a direct result of the COVID-19 public health emergency. That same individual may also be immunocompromised and unable to reach their place of employment because they have been advised by a health care provider to self-quarantine. Under these circumstances the individual may self-certify that they are unable or unavailable to work under both items dd and ff of Section 2102 a 3 A ii I of the CARES Act. C. Individuals must be permitted to select different COVID-19 related reasons each week. Acknowledging that an individual s circumstances may change over time states must provide individuals with the ability to select different COVID-19 related reasons each week on the continued claim form rather than automatically carrying over an individual s response from the initial claim application or prior week s certification. To continue the examples in paragraph B. the school may reopen in a subsequent week to provide in-person instruction. With this change in circumstances the first and second individuals may no longer self-certify under item dd of Section 2102 a 3 A ii I of the CARES Act because the school is no longer closed. However both individuals may continue to self- certify under the other COVID-19 related reasons that are applicable to their respective situations. 11 D. Individuals must be permitted to file and select no COVID-19 related reasons. Acknowledging that along with an individual s changing circumstances an individual might continue to file after they are no longer unemployed partially unemployed or unable or unavailable to work because of a COVID- 19 related reason the initial claim application and continued claim forms must provide an option for the individual to self-certify that none of the COVID-19 related reasons apply. For example the state could provide an option for the individual to select None of the above. However if the individual self- certifies that none of the COVID-19 related reasons apply the individual will be denied for the week in question because they no longer meet the eligibility requirements for PUA and the state must issue a written appealable determination see Section C.20. of Attachment I to UIPL No. 16-20 Change 4 . ii. Notification of the expanded list of COVID-19 related reasons. A. Notification to individuals. States must notify every individual 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. This notification must advise the individual of the opportunity to self-certify to the complete list of COVID-19 related reasons including the new criteria provided in Section 4.a. of this UIPL. Such notification must occur individually as described in Section C.28. of Attachment I to UIPL No. 16-20 Change 4. The Department reminds states that if the state determines that a PUA claim was filed by an individual that did not own the identity the state may not send any notification of potential entitlement to the individual. Because states should have notified all individuals of the opportunity to file for PUA at the time a regular UC PEUC or EB claim was denied of the opportunity to file for PUA states need not individually notify such individuals who did not apply for PUA about the expanded eligibility provisions. B. Notification to media. To assure public knowledge of the status of the PUA program consistent with Section C.28.c. of Attachment I to UIPL No. 16-20 Change 4 states must notify all appropriate news media having coverage throughout the state of the new eligibility provisions of the PUA program. States may also post general information about the expanded eligibility provisions on their websites and other social media. iii. Establishing eligibility using the expanded list of COVID-19 related reasons. To establish eligibility for PUA based on one of the new COVID-19 related reasons the individual must complete an initial PUA application if they have not already 12 filed a PUA claim and the state must verify that the individual is not eligible for regular UC or PEUC or EB . Additionally the state must provide the individual with a self-certification declaration including the expanded list of COVID-19 related reasons to assess initial eligibility for the PUA claim. If the state determines that the individual is not eligible for PUA the state must issue an appealable determination. See Section C.20. of Attachment I to UIPL No. 16-20 Change 4. An individual who establishes retroactive initial eligibility for PUA must then be required to complete continued claim forms for each week including the self- certification declaration that includes the original and expanded list of COVID-19 related reasons to receive payment. States must process this additional information and make retroactive payment as appropriate. This includes paying FPUC at the appropriate amount for any weeks paid during the relevant time period i.e. FPUC payments at the 600 amount for eligible weeks of unemployment between the weeks ending April 4 2020 and July 25 2020 or between the weeks ending April 5 2020 and July 26 2020 for states with a Sunday week ending date and FPUC at the 300 dollar amount for weeks of unemployment between the weeks ending January 2 2021 and March 13 2021 or between the weeks ending January 3 2021 and March 14 2021 for states with a Sunday week ending date . See UIPL Nos. 15-20 and 15-20 Change 3 for additional information regarding FPUC payments. Individuals filing new PUA initial claims that have not been through the state s identity verification process must have their identities verified to be eligible see Section C.3. of Attachment I to UIPL No. 16-20 Change 4 . The Department also strongly encourages states to validate the identity for reopened claims that have not previously been verified. iv. Effective dates. A. Existing PUA claims. For individuals with a PUA claim filed on or before December 27 2020 the expanded COVID-19 related reasons provided in Section 4.a. of this UIPL are to be applied retroactively based on the effective date of an individual s existing PUA claim. However if the new COVID-19 related reason applied before the effective date of the individual s existing PUA claim the claim must be backdated to the date that the new COVID-19 related reason applied. For example an individual may have filed a new PUA claim before December 27 2020 with an effective date in April 2020 based on the previous COVID-19 related reasons available. With the addition of the new COVID-19 related reason the individual actually may have first been eligible in February 2020. Because this existing PUA claim was filed on or before December 27 2020 the state must backdate the PUA claim from April 2020 to February 2020 when the individual first met the applicable COVID-19 related reason. 13 B. New PUA claims. For individuals filing an initial PUA claim after December 27 2020 states must determine PUA effective dates for new PUA claims consistent with instructions provided in Section C.15. of Attachment I to UIPL No. 16-20 Change 4. For example if an individual files a new PUA claim after the publication of this UIPL because of circumstances occurring in July 2020 absent a PUA claim already being on file and consistent with the Continued Assistance Act the claim effective date may not be any earlier than December 1 2020 weeks of unemployment beginning on or after December 6 2020 and retroactive benefits may not be awarded prior to that date. c. Benefit payment control processes. Section 2102 of the CARES Act relies on self- certification to verify that an individual is unemployed partially unemployed or unable or unavailable to work because of a listed COVID-19 related reason. However states have multiple tools to identify and address suspicion of fraud in the PUA program. As described in Question 23 of Attachment I to UIPL No. 16-20 Change 2 states have authority to request supporting documentation when investigating the potential for fraud and improper payments. For example the DUA regulation at 20 C.F.R. 625.14 h refers to the Secretary s Standard for Fraud and Overpayment Detection found in Sections 7510 et seq. of the Employment Security Manual 20 C.F.R. Part 625 Appendix C . Requests for supporting documentation and a state s investigative and adjudicative practices must be done in alignment with the processes described in UIPL No. 01-16 to ensure individuals are afforded appropriate procedural protections. States must use the required cross matches and tools and should use the other cross matches and tools described in Section 4.b. of UIPL No. 23-20 to monitor for suspicious activity on PUA claims as they do for regular UC. States must share PUA claim information with the Department s Office of Inspector General OIG for the purposes of investigating fraud. Moreover the Department strongly recommends that states collaborate with the UI Integrity Center Center . The Center funded by the Department and operated by the National Association of State Workforce Agencies provides states with the Integrity Data Hub IDH which includes identity verification IDV the Suspicious Actor Repository SAR suspicious e-mail domains Multi-State Cross Match MSCM foreign internet protocol IP address detection and the Fraud Alert system.4 The Center has provided states with new tools to support data mining to detect fraud. The Center also identifies organizes shares and supports promising and innovative integrity practices and provides state-specific consulting mentoring and technical assistance. There is also a range of other tools on the market that states should consider when combating fraud and ensuring program integrity. Additionally the Department strongly recommends as a best practice that states implement two new cross matches as part of the benefit payment control process for PUA to ensure integrity in applying the expanded COVID-19 related reasons provided in this 4 Note that the Integrity Data Hub is currently only available to the 50 states plus the District of Columbia the Commonwealth of Puerto Rico and the Virgin Islands. 14 UIPL. These may be conducted only after the individual has established initial eligibility for PUA based on self-certification. States may choose to perform these cross matches before the first PUA payment is issued or later. Additionally states may develop other cross matches not already discussed in this UIPL to strengthen program integrity in the PUA program. i. Cross match of state unemployment claim records with respect to individuals who self-certify that they refused work that is unsafe because of the COVID-19 public health emergency. If the state identifies any discrepancies through this cross match e.g. the individual does not have a previous unemployment claim or the individual was disqualified for a reason other than refusing work because of health and safety standards at the worksite the state must review information already on file and take any action necessary to address the discrepancies. If the information on file with the state contradicts the individual s PUA self- certification e.g. previous adjudication of the issue determined that the worksite was in compliance with health and safety standards or previous adjudication of the issue determined that the individual refused work due to a reason that was not because of unsafe working conditions then the state has reasonable suspicion of fraud and must open an investigation to conduct fact finding to determine if the individual s PUA eligibility is valid. Because the PUA self-certification may be different from the state s provisions for suitable work and good cause e.g. the new COVID-19 related reason accounts for local state and national health and safety standards directly related to COVID-19 it is possible for an individual to be denied unemployment benefits under state law for health and safety standards and be eligible for PUA. If the state does not identify any discrepancies through this cross match e.g. the individual has a previous unemployment claim the individual refused work because the worksite was not in compliance with health and safety standards the individual was denied continued benefits and the state record does not contain information which contradicts this self-certification the state does not have reasonable suspicion of fraud to open an investigation. ii. Cross match of state unemployment claim records and individuals who self- certify that they were providing services to educational institutions or educational service agencies and are unemployed or partially unemployed because of volatility in the work schedule caused by the COVID-19 public health emergency. If the state identifies any discrepancies through this cross match e.g. the individual does not have a record of providing services to an educational institution or educational service agency the state may have reasonable suspicion of fraud. 15 The state s follow -up investigation regarding the se results may include whether the individual provided services to an educational institution or educational service agency prior to filing for PUA and if so whether the individual is subject to the between and within terms denial provision during the time that such individual was receiving PUA . If the investigation finds that the individual at the time of certifying under this COVID -19 related reason is subject to the between and within terms denial provision because they have a contract or reasonable assurance to return at the subsequent year or term then the PUA payment is improper unless the individual meets the condition of having other non -educational employment and also self -certifies for a different C OVID -19 related reason as described in Section 4.a.iii.B. of this UIPL . An overpayment must be established and state law will determine whether or not such an overpayment is considered fraudulent. d. Additional administrative costs for implementation. Section 4.d. of UIPL No. 09-21 provides 250 000 to cover startup costs for states implementing the PUA program. Additional funding of up to 100 000 is available to states under this UIPL to cover costs for implementing these expanded eligibility provi sions including an update to the self - certification declaration as part of their initial PUA application and continued claim forms as described in this UIPL . States must submit a signed SF -424 form to request this funding. Permissible implementation co sts include Computer programming and other technology costs Implementation of necessary business processes required for program implementation Training and travel Notices to beneficiaries and Overhead related only to the above. States will receive f unding 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 II of UIPL No. 16 -20 Change 4 for updated instructions on the ETA 902P report. States that need funding in addition to the 100 000 offered under this UIPL to cover implementation costs must submit a Supplemental Budget Request SBR 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 18 th Edition Change 4 Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines . 16 States must submit the required request for funding electronically to covid -19 dol.gov with a copy to the appropriate ETA Regional Office by March 1 5 2021. For SBR application instructions refer to UIPL No. 16 -20 Attachment IV Supplemental Budget Request SBR Application Template. For information on completing the SF -424 refer to Attachment I II of this UIPL Instructio ns for 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. Attachment s III and I V 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. 5. Inquiries . Please direct inquiries to covid -19 dol.gov with a copy to the appropriate ETA Regional Office. 6. References . Consolidated Appropriations Act 2021 including Division N Title II Subtitle A the Continued Assistance for Unemployed Workers Act of 2020 Pub. L. 116 -260 Continued Assistance Act Coronavirus Aid Relief and Economic Security CARES Act Pub. L. 116 -136 including Title II Subtitle A Relief for Workers Affected by Coronavirus Act Families First Coronavirus Response Act Pub. L. 116 -127 includin g Division D Emergency Unemployment Insurance Stabilization and Access Act of 2020 EUISAA 20 C.F.R. Part 625 Disaster Unemployment Assistance UIPL No. 28 -20 Change 1 Additional Funding for Identity Verification or Verification of Pandemic Unemployme nt 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 Ef forts 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 Securi ty 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 17 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 directives corr doc.cfm DOCN 6973 UIPL No. 16 -20 Change 3 Coronavirus Aid Relief and Economic Security CARES Act of 202 0 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.go v 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 Reporti ng 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 05 2020 https wdr.doleta.gov directive s corr doc.cfm DOCN 4628 UIPL No . 10 -20 Change 1 Unemployment Compensation UC for Individuals Affected 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 directives 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 directives corr doc.cfm DOCN 8999 UIPL No. 02 -16 Change 1 State Responsibilities for Ensuring Access to Unemployment Insurance Benefits Services and Information published May 11 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 5491 a nd ET Handbook No. 336 18 th Edition Change 4 Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines . 7. Attachment s . Attachment I Sample Self -Certification Declaration for Individuals Claiming PUA. Attachment II PUA Eligibility for Certain Individuals Providing Services to Educational Institutions or Educational Service Agencies . Attachment III Instructions for Completing the SF -424. I-1 Attachment I to UIPL No. 16-20 Change 5 Sample Self-Certification Declaration for Individuals Claiming PUA To be eligible for PUA the state must determine that the individual is not eligible for regular UC PEUC or EB see Section C.12.b. of Attachment I to UIPL No. 16-20 Change 4 . This includes an individual who is self-employed seeking part-time employment does not have sufficient work history or would otherwise not qualify for regular UC or PEUC or EB . The individual must also self-certify that they are otherwise able to work and available for work within the meaning of applicable state law except that they are unemployed partially unemployed or unable or unavailable to work for a listed COVID-19 related reason s . ETA recommends that states use this sample self-certification declaration as part of the initial claim application and continued claim form to meet the requirement to obtain self-certification that an individual meets the COVID-19 related reason s in Section 2102 a 3 A ii I of the CARES Act. A. SELF-CERTIFICATION DECLARATION To qualify for PUA you must be unemployed partially unemployed or unable or unavailable to work because of one or more of the COVID-19 reasons listed below. Please check all of the following categories that apply to you for the week you are claiming. I have been diagnosed with COVID-19 or am experiencing symptoms of COVID-19 and am seeking a medical diagnosis. A member of my household has been diagnosed with COVID-19. I am providing care for a family member or a member of my household who has been diagnosed with COVID-19. A child or other person in my household for which I am the primary caregiver 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 me to work. I am unable to reach my place of employment because of a quarantine imposed as a direct result of the COVID-19 public health emergency. I am unable to reach my place of employment because I have been advised by a health care provider to self-quarantine due to concerns related to COVID-19. I was scheduled to commence employment and do not have a job or am unable to reach the job as a direct result of the COVID-19 public health emergency. I have become the breadwinner or major support for my household because the head of the household has died as a direct result of COVID-19. I quit my job as a direct result of COVID-19. My place of employment is closed as a direct result of the COVID-19 public health emergency. I am self-employed including an independent contractor and gig worker and experienced a significant reduction of my customary or usual services because of the COVID-19 public health emergency. I-2 I was denied continued unemployment benefits because I 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. I provide services to an educational institution or educational service agency and am 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. I am an employee and my hours have been reduced or I was laid off as a direct result of the COVID-19 public health emergency. None of the above apply to me. B. ACKNOWLEDGEMENT CERTIFICATION I certify that the information I have provided above which will be used to determine my eligibility for Pandemic Unemployment Assistance is correct to the best of my knowledge. I understand that I am subject to administrative penalties including the penalties for perjury or legal action if it is determined that I withheld or provided false information to obtain assistance payments to which I am not entitled. SIGNATURE OF APPLICANT DATE Month Day Year II-1 Attachment II to UIPL No. 16-20 Change 5 PUA Eligibility for Certain Individuals Providing Services to Educational Institutions or Educational Service Agencies As part of the state s assessment on whether an individual providing services to an educational institution or educational service agency is eligible for regular UC or PEUC or EB the state will determine if the individual is claiming a week that occurs between or within terms and if so whether the individual has a contract or reasonable assurance to return in the subsequent year or term. See UIPL Nos. 10-20 Change 1 and 05-17 for more information. If the individual qualifies for regular UC or PEUC or EB they may not receive PUA. This includes individuals who are subject to the between and within terms denial provisions but are eligible for regular UC or PEUC or EB with the use of non-educational wages only. This chart describes an individual s potential eligibility for PUA after the state has already determined that the individual is not eligible for regular UC or PEUC or EB or that the individual has exhausted such benefits. III-1Attachment III to UIPL No. 16-20 Change 5 Instructions f or Completing 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 . http www.grants.gov web grants forms sf-424- family.html 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. 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 20210-0001. For lookup use link at https tools.usps.com go ZipLookupAction 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. Section 9 Type of Applicant 1 Select Applicant Type Input State Government 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 III -2 Section 12 Funding Opportunity Number and Title For Pandemic Unemployment Assistance Funding Allotment Input UIPL No. 16 -20 Change 5 Pandemic Unemployment Assistance Implementation Grants Section 13 Competition Identification Number Leav e 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. 16 -20 Change 5 Pandemic Unemployment Assistance Implementation 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 Zip code 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 Section 17 Proposed Project 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 Section 18 Estimated Funding Each state is allotted up to 100 000 in funding to cover implementation costs 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 signat ory 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 a higher level leadership authorizing the new signatory for the application submission Remember to get the SF -424 signed and dated by the Authorized representative .