UIPL_28-20.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION UI CORRESPONDENCE SYMBOL OUI DPM DATE August 31 2020 RESCISSIONS None EXPIRATION DATE Continuing ADVISORY UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 28-20 TO FROM SUBJECT STATE WORKFORCE AGENCIES JOHN PALLASCH Assistant Secretary 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 1.Purpose. To remind states of their roles and responsibilities in addressing fraud in the UI system and the techniques and strategies available to assist states with their fraud management operations and to provide 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 using many of the tools and resources already available to states as discussed below. 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 Unemployment Insurance Program Letter UIPL to appropriate program and other staff in the state s workforce system. 3.Summary and Background. a.Summary This UIPL provides guidance to states on addressing fraud in the UI system and reiterates fraud management requirements and tools strategies and services available to states that the Department has previously encouraged states to adopt. To further assist in these efforts the UIPL also provides states with funding to assist with efforts to prevent and detect fraud and imposter claims resulting from identity theft and recover fraud overpayments in the PUA and PEUC programs. b.Background In calendar year 2019 states established 296 749 cases of UI fraud amounting to 366.8 million. Since the enactment of the Coronavirus Aid ReliefI and Economic Security CARES Act of 2020 which created several new temporary unemployment compensation UC programs including PUA and PEUC UI fraud has 2 increased significantly further testing the integrity of individual state systems and the UI program as a whole. Prior to COVID-19 and the enactment of the CARES Act the Department had been working with states to address fraud in the UI program. As the Department became aware of fraud ticking up in the regular UI program and understood the vulnerabilities of remote claims taking and the potential for imposter claims it began the development of tools and resources through the Integrity Data Hub including the Suspicious Actor Repository and a suite of on-line training modules for fraud investigators. We also began the process of securing an identity verification solution to be make available to all states. These tools are discussed in more detail below. Section 303 a 1 of the Social Security Act SSA requires that as a condition of a state receiving administrative grants for its UI program state law must provide for methods of administration . . . as are found by the Secretary of Labor to be reasonably calculated to insure full payment of unemployment compensation when due. The Department has consistently interpreted section 303 a 1 to require that state law include provision for such methods of administration as are within reason calculated 1 to detect benefits paid through error by the agency through willful misrepresentation or error by the claimant or others and 2 to deter claimants from obtaining benefits through willful misrepresentation. Employment Security Manual Section 7511 The Secretary s Interpretation of Federal Law Requirements.1 UIPL No. 04-01 interprets the when due requirement in section 303 a 1 to also require states to ensure that payment of benefits is not made when payment is not due. Investigations of UI program fraud by claimants employers and state staff are necessary for the proper administration of the UI program. The Department included program integrity language in all of the major pieces of guidance associated with state implementation of the CARES Act programs and other provisions. In addition on May 11 2020 ETA issued UIPL No. 23-20 which discusses program integrity requirements for the regular UC program and the UC programs authorized by the CARES Act. UIPL 23-20 makes clear that the temporary CARES Act programs operate in tandem with the fundamental eligibility requirements of the federal- state UI program. In addition the CARES Act programs have new eligibility requirements that states must apply to ensure that only eligible individuals receive benefits. As previously communicated to States on May 11 2020 States must make efforts to rapidly and proactively prevent detect and investigate fraudulent activity establish and recover fraud overpayments and pursue criminal and civil prosecution to deter fraud. State Benefit Payment Control BPC staff or other designated state staff have the primary responsibility for these activities. However all state staff members are 1 Employment Security Manual Part V Sections 7510-7515 can be obtained at 20 C.F.R. Part 614 Appendix C Standard for Fraud and Overpayment Detection. 3 responsible for maintaining the integrity of the UI program. States can also mitigate UI fraud through the use of available prevention and detection methods and tools. 4. Managing Fraud in the UI System. This UIPL describes successful and cost-effective methods to target fraud and suspicious claims activity including improvements additions and modifications to UI systems and operations that the Department has long encouraged States to adopt. Please refer to UIPL No. 23-20 for an inventory of the required program integrity functions. a. Fraud Prevention and Detection. Intercepting fraud as early as possible minimizes its impact on the UI system. As UI claims are filed states are strongly encouraged to employ multiple techniques to validate UI claims and uncover suspicious or fraudulent characteristics including Identity Verification to verify personal information supplied by individuals filing claims using a variety of methods and resources such as o Social Security Administration Cross-match to validate a Social Security Number supplied by a claimant. o Systematic Alien Verification for Entitlement SAVE to verify the immigration status of non-U.S. citizens and to confirm the validity of the information supplied by individuals filing claims. o Incarceration cross-matches to compare UI applicants information to local state and federal prison databases. o Interstate Connection Network ICON to compare UI applicants information to detect duplicate claims filed in other states and under other UI programs using Interstate Benefits IB Cross-match and the State Identification Inquiry SID State Claims and Overpayment File and the IB8606 applications. o Internet Protocol IP Address to identify IP addresses linked to multiple claims or claims filed outside of the U.S. o Data Analytics to cross-reference UI claims and identify shared characteristics among claims that can be indicators of suspicious or fraudulent claims activity. Data mining and data analytics to detect fraud when a claim is filed and on an ongoing basis throughout the lifecycle of a claim. Continuous efforts to prevent and detect fraud are critical since fraud can occur at any point during the continued claims series. As the Department has emphasized in the past some of the most effective tools are contained in the Integrity Data Hub IDH many of which have been available to states for well over a year. The IDH is a secure robust centralized multi-state data system that allows participating state UI agencies to submit claims for cross-matching provides a national fraud alert system to states and supports data analytics on multi-state claims. The following IDH functionalities are currently available to participating states 4 Suspicious Actor Repository SAR allows states to match UI claims against other states known suspicious claims data. This tool allows each state to benefit from the investigative work of all states as claims data associated with known or probable UI fraud is submitted and stored in the SAR for cross-matching purposes. Suspicious E-Mail Domains allows participating states to cross-match their claims against a database of suspicious e-mail domains that have been associated with fraudulent activity e.g. YOPmail . The IDH flags claims with these domains for further investigation by the submitting state. Foreign IP Addresses allows participating states to receive flags on UI claims filed from IP addresses outside of the U.S. Data Analysis provides the unique ability to analyze national claims data and conduct cross-state analysis within a secure system. Multi State Cross-Match MSCM allows the IDH to collect and store claims data submitted by states creating a multi-state database of UI claims data. Using this database the IDH is able to identify where UI claims data are being used across multiple states i.e. flagging a Social Security Number that is being used across four different states . The MSCM also provides a lookback capability to identify after- the-fact matches based on new claims or fraud activity data submitted to the IDH. Identity Verification IDV provides states with a centralized identity verification identity proofing solution. The IDV solution provides fraud scoring information including flagging of synthetic identities. The IDV solution is now operational and available for state use. Early adopter states have reported that it is a highly successful integrity resource to prevent and detect identity theft. Fraud Alert System allows states to share information through the secure IDH environment on emergent fraud schemes activities identified in their states. The capability allows all states to review and or submit information on fraud schemes and to receive updates to improve awareness across the UI community. The IDH Fraud Alert System is available to all states independent of the state executing an agreement with the UI Integrity Center or participating in other IDH functionality. Other valuable assets provided by the UI Integrity Center include the following UI Integrity Center Fraud Calls states ETA and Office of Inspector General OIG staff have been engaging in periodic conference calls since fraud was first being detected in the early stages of the CARES Act program to discuss and share information on UI fraud schemes. These calls are conducted by the UI Integrity Center to share information on UI Integrity Center services tools and resources and to provide a secure forum for states to discuss emergent fraud schemes and share best practices to prevent and detect fraud activity affecting the UI system. State Services the UI Integrity Center employs a diverse group of UI professionals with a broad range of experience. The State Services team provides both virtual and onsite consultation services to states to provide state-specific recommendations and operational best practices in the prevention and detection of identity theft and fraud and the recovery of improper payments. These services have been available to states for over 2 years. 5 National Integrity Academy NIA one of the first offerings of the Integrity Center the Academy currently provides 126 eLearning lessons and modules including course bundles targeted to new Claims Takers Adjudicators and staff administering the Pandemic Unemployment Assistance PUA program and includes four NIA certificate programs UI Operations Integrity Certificate UI Tax Integrity Certificate UI Fraud Investigations and UI Program Leadership. Additional information about course offerings along with the online course catalog can be found at https www.naswa.org learning. Integrity Knowledge Exchange an increasingly valuable tool that captures information on state practices and provides recommendations to states on ways to combat UI fraud and improve integrity. Through the Integrity Knowledge Exchange the UI Integrity Center documents specific practices creates model operational blueprints and shares information with all states. Nearly 1 900 resource documents are currently available on the knowledge exchange including 96 documented successful integrity practices that support the Model BPC Blueprint. As the Department has previously communicated States are on notice that they should engage with the UI Integrity Center and utilize its important integrity tools and resources implement and fully utilize all IDH functionalities submit and review emergent fraud schemes through the IDH Fraud Alert System and participate in UI Integrity Center fraud calls. State s failure to take advantage of these resources may result in a state s inability to comply with Federal law to prevent detect and recover improper and fraudulent payments. Technical assistance tools and resources are available through the UI Integrity Center at https integrity.naswa.org and the UI Community of Practice on the Department s knowledge sharing site WorkforceGPS at https www.workforcegps.org login returnUrl https ui.workforcegps.org siteFor ui. Additionally states may contact the UI Integrity Center State Liaison for their region for additional assistance at https integrity.naswa.org contact-us. States are also encouraged to explore other tools methods and strategies to deter and prevent fraud such as the Social Security Administration s Death Cross-match Vital Statistics Cross-matches Department of Motor Vehicles Cross-matches Fictitious Employer Cross-matches and other comparisons that detect shared characteristics i.e. phone numbers mailing addresses email address and banking information on multiple claims. b. Fraud Civil and Criminal Prosecutions. The prosecution of cases is usually aided by law enforcement agencies such as the OIG Department of Justice and other federal state and local enforcement agencies. States should work collaboratively with law enforcement agencies to administer their prosecutorial actions and continue to make referrals to the OIG in accordance with established agreements and following the requirements outlined in UIPL Nos. 04-17 and 29-05 reporting known or alleged fraudulent activities and providing related claims data to the OIG s Office of Investigations. 6 5. Funding for States to Address Fraud in the PUA and PEUC Programs. Many states have experienced a significant number of fraudulent claims in the CARES Act programs including PUA and PEUC and are working with federal state and local law enforcement to investigate prosecute and in collaboration with banking institutions recover identified fraudulent payments. As a result of the significant increase in fraud and the need for states to have additional funding to support fraud prevention detection and investigation activities the Department is providing a total of 100 million in administrative funding targeted specifically at addressing fraud and identity theft in the PUA and PEUC programs as part of its responsibility to provide such sums as necessary for administration of the CARES Act programs. Attachment I State Size Classifications and Funding Allocation for Fraud Investigation Activities in the Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs lists the amounts of PUA and PEUC funding provided for fraud investigation activities for each state. The methodology for state funding levels is based on state size.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 2019 reported on the ES 202 Employment Wages and Contributions report published by the Bureau of Labor Statistics. 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 a. Use of Funds. States are permitted to use this targeted funding for staff or contract services to conduct fraud investigations and other fraud detection-related activities or to implement tools to increase prevention detection and recovery of fraudulent improper payments in the PUA and PEUC programs. States may also work collaboratively to invest these funds to benefit multiple states. It is ETA s expectation that states will use at least 50 percent of the funds for staff to conduct fraud prevention detection and investigatory activities. Examples of activities that these funds may be used for include but are not limited to Accessing and utilizing the private or public data sets available through the UI Integrity Center s IDH see Section 4 a above for details . ETA expects that all states will be positioned to use this data as soon as administratively feasible and no later than March 31 2021. Implementing data mining tools including the use of staff or contractor services for conducting data mining activities. Implementing software tools to conduct data analytics including the use of staff or contractor services for conducting data analytics activities. 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 information on covered employment their PUA funding is based on estimated claims workloads. 7 b. Application Instructions. 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 15 2020 by electronic submission to the National Office at covid- 19 dol.gov with a copy to the appropriate ETA Regional Office. For additional information on completing the SF-424 please refer to Attachment II Instructions for Completing the SF-424. Attachment I State Size Classifications and Funding Allocation for Fraud Investigation Activities in the Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs lists the funding allotment s for both the PUA and PEUC programs for each state. c. Reporting Requirements. States will report quarterly progress on the form ETA 9178-F provided at Attachment III.3 The ETA 9178-F is intended to be a monitoring instrument used by ETA to track each state s progress in addressing fraud in the PUA and PEUC programs with these funds. The form ETA 9178-F will be used by the states to provide ETA with narrative updates on fraud investigation activities to help ensure that the goals described in section 5 a of this UIPL are met. Please refer to Attachment III for instructions for completion and the timeline of submission for the ETA 9178-F. 6. Inquiries. Please direct inquiries to the appropriate ETA Regional Office. 7. References. 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 20 C.F.R. Section 603.23 UIPL No. 15-20 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Federal Pandemic Unemployment Compensation FPUC Program Operating Financial and Reporting Instructions issued April 4 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 9297 UIPL No. 15-20 Change 1 Coronavirus Aid Relief and Economic Security CARES Act of 2020 - Federal Pandemic Unemployment Compensation FPUC Program Reporting Instructions and Questions and Answers issued May 9 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 3946 UIPL No. 15-20 Change 2 Coronavirus Aid Relief and Economic Security CARES Act of 2020-New Data Collection Instrument and Revised Reporting Instructions for Federal Pandemic Unemployment Compensation FPUC issued June 15 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 7785 3 CARES Act Section 2116 provides that Chapter 35 of Title 44 of the U.S. Code commonly referred to as the Paperwork Reduction Act of 1995 shall not apply to provisions of and amendments made by Subtitle A Unemployment Insurance Provisions of Title II of the CARES Act. 8 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. 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 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. 17-20 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Pandemic Emergency Unemployment Compensation PEUC Program Operating Financial and Reporting Instructions issued April 10 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 8452 UIPL No. 17-20 Change 1 Coronavirus Aid Relief and Economic Security CARES Act of 2020-Pandemic Emergency Unemployment Compensation PEUC Program Questions and Answers and Revised Reporting Instructions for the PEUC ETA 227 issued May 13 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 8689 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. 13-19 National Directory of New Hires NDNH and State Directory of New Hires SDNH Guidance and Best Practices issued June 7 2019 https wdr.doleta.gov directives corr doc.cfm docn 5373 TEN No. 12-16 Unemployment Insurance UI State Information Data Exchange System SIDES issued September 27 2016 https wdr.doleta.gov directives corr doc.cfm DOCN 8026 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. 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. 5-13 Work Search and Overpayment Offset Provisions Added to Permanent Federal Unemployment Compensation Law by Title II Subtitle A of the Middle Class Tax Relief and Job Creation Act of 2012 issued January 10 2013 https wdr.doleta.gov directives corr doc.cfm DOCN 3698 9 UIPL No. 12-14 Required Use of the Treasury Offset Program to Collect Covered Unemployment Compensation Debt issued May 20 2014 https wdr.doleta.gov directives corr doc.cfm DOCN 9344 UIPL No. 28-11 Unemployment Insurance UI State Integrity Task Forces and Strategic Plans issued September 1 2011 https wdr.doleta.gov directives corr doc.cfm DOCN 3078 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. 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. 3-20 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 ET Handbook No. 336 18th Edition Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines May 6 2019 https wdr.doleta.gov directives attach ETAHandbook ET Handbook No.336 18th Edition Change 4 acc.pdf ET Handbook No. 401 5th Edition issued August 16 2017 https wdr.doleta.gov directives corr doc.cfm DOCN 7774 Employment Security Manual Section 7511 The Secretary s Interpretation of Federal Law Requirements available at 20 C.F.R. Part 614 Appendix C Standard for Fraud and Overpayment Detection.8.Attachment s . Attachment I State Size Classifications and Funding Allocation for Fraud Investigation Activities in the Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC Programs Attachment II Instructions for Completing the SF-424 Attachment III ETA 9178-F Quarterly Narrative Progress Report I-1 Attachment I to UIPL No. 28-20 State Size Classifications and Funding Allocation for Fraud Investigation Activities 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 1 499 400 285 600 Alaska Small 1 020 600 194 400 Arizona Large 2 041 200 388 800 Arkansas Medium 1 499 400 285 600 California Large 2 041 200 388 800 Colorado Large 2 041 200 388 800 Connecticut Medium 1 499 400 285 600 Delaware Small 1 020 600 194 400 District of Columbia Small 1 020 600 194 400 Florida Large 2 041 200 388 800 Georgia Large 2 041 200 388 800 Hawaii Small 1 020 600 194 400 Idaho Small 1 020 600 194 400 Illinois Large 2 041 200 388 800 Indiana Large 2 041 200 388 800 Iowa Medium 1 499 400 285 600 Kansas Medium 1 499 400 285 600 Kentucky Medium 1 499 400 285 600 Louisiana Medium 1 499 400 285 600 Maine Small 1 020 600 194 400 Maryland Large 2 041 200 388 800 Massachusetts Large 2 041 200 388 800 Michigan Large 2 041 200 388 800 Minnesota Large 2 041 200 388 800 Mississippi Medium 1 499 400 285 600 Missouri Large 2 041 200 388 800 Montana Small 1 020 600 194 400 Nebraska Small 1 020 600 194 400 Nevada Medium 1 499 400 285 600 New Hampshire Small 1 020 600 194 400 New Jersey Large 2 041 200 388 800 New Mexico Small 1 020 600 194 400 New York Large 2 041 200 388 800 North Carolina Large 2 041 200 388 800 North Dakota Small 1 020 600 194 400 Ohio Large 2 041 200 388 800 Oklahoma Medium 1 499 400 285 600 Oregon Medium 1 499 400 285 600 Pennsylvania Large 2 041 200 388 800 Puerto Rico Small 1 020 600 194 400 Rhode Island Small 1 020 600 194 400 South Carolina Large 2 041 200 388 800 South Dakota Small 1 020 600 194 400 Tennessee Large 2 041 200 388 800 Texas Large 2 041 200 388 800 Utah Medium 1 499 400 285 600 I-2 State Size Classification Pandemic Unemployment Assistance PUA Funding Allotment Pandemic Emergency Unemployment Compensation PEUC Funding Allotment Vermont Small 1 020 600 194 400 Virgin Islands Small 1 020 600 194 400 Virginia Large 2 041 200 388 800 Washington Large 2 041 200 388 800 West Virginia Small 1 020 600 194 400 Wisconsin Large 2 041 200 388 800 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 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 . 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 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 20110-831. 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 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 Pandemic Unemployment Assistance Fraud Investigation Activities Grants For Pandemic Emergency Unemployment Compensation Funding Allotment Input UIPL No. 28-20 Pandemic Emergency Unemployment Compensation Fraud Investigation Activities 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 Pandemic Unemployment Assistance Fraud Investigation Activities Grants For Pandemic Emergency Unemployment Compensation Funding Allotment Input UIPL No. 28-20 Pandemic Emergency Unemployment Compensation Fraud Investigation Activities 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 a. Start Date Input a valid start date for the project earliest start date will be July 1 2020 b. End Date Input a valid end date for the project June 30 2021 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 III-1 Attachment III to UIPL No. 28 -20 Form ETA 9178-F U.S. Department of Labor Employment and Training Administration Form ETA-9178-F OMB No. N A4 Expiration Date N A Quarterly Narrative Progress Report PUA and PEUC Fraud Prevention Detection and Investigation Activities UIPL No. 28-20 General Information State Name Report Quarter Ending Date of Submission Contact Information Name Agency Title Address Phone Ext City E-Mail State Zip Code Quarterly Activities Report A. Summary Please limit your response to 1000 characters or less. This section is an executive summary of the activities carried out using Fraud Investigation funds. Use this section to provide a short summary of the state s activities and expected impact to fraud prevention and detection activities. B. Implementation and Funding Status Please limit your response to 1000 characters or less. Use this section to provide a description of the implementation of key activities outlined in this UIPL for the current quarter. In addition please report the number of Pandemic Unemployment Assistance PUA and Pandemic Emergency Unemployment Compensation PEUC fraud cases referred during the quarter to the Department of Labor s Office of the Inspector General OIG . Finally please provide the funding status for this project for the end of the quarter including the total project funding total obligated funding balance and time remaining to expend funds expenditure target. Total Project Funding Total Obligated Funding Balance Expenditure Target 4 Refer to section 2116 a of P.L. 116-136 the Coronavirus Aid Relief and Economic Security Act March 27 2020. Certification Name Certifying Official Phone E-Mail Address III-2 Instructions to Complete ETA 9178-F Contact Information This section is to provide the contact information i.e. Name Title Address etc. for the state official who is responsible for the day-to-day operation and implementation of the project. This may be a different person that the certifying official. A. Certification Name of Certifying Official Use this section to provide the name of the state official who is certifying submission of the report to the Department. Telephone Number Provide the area code and telephone number - of the authorized state official. Email Address Provide the email address of the authorized state official. General Instructions States receiving funding for PUA and PEUC Fraud Prevention Detection and Investigation activities are required to submit quarterly progress reports to the United States Department of Labor s Employment and Training Administration USDOL ETA in order to comply with the reporting and record keeping requirements of these funds. Each state recipient of funds must submit a narrative Quarterly Progress Report QPR containing updates on the progress and implementation of the project s undertaken as a result of the funding. Report Form and Instructions The QPR provides narrative updates on the implementation of project s undertaken as a result of the funding and the status of each project per quarter. Due Dates All quarterly reports are due to ETA no later than 45 days after the end of each reporting quarter. The table below shows the expected due dates for each reporting quarter. Reporting Quarters Due Dates October 1st December 31st February 14th January 1st March 31st May 15th April 1st June 30th August 14th July 1ST September 30th November 14th III-3 Should the due date of the report fall on a Saturday Sunday or holiday the report is due the previous business day. Submission Procedures Information contained in the quarterly report ETA 9178-F must be submitted by email directly to the ETA regional office. An ETA Federal Project Officer will review and accept the report within 30 days of receipt. OMB Approval. Section 2116 a Division B Title II of the CARES Act states that Chapter 35 of Title 44 United States Code commonly referred to as the Paperwork Reduction Act of 1995 shall not apply to the amendments made under this subtitle. As the OMB approval process is waived for these reporting instructions these instructions should be considered final.