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Updated PUA rules under the Continued Assistance Act
Summary ETA updated state instructions for Pandemic Unemployment Assistance after the Continued Assistance Act. The change extended the then current program, raised the maximum number of weeks, limited backdating of new claims and required work documentation and identity checks. The PDF also gives overpayment waiver and reporting instructions for this historical program.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 16-20, Change 4
Date issued
January 8, 2021
Status
Active
ETA’s listing marks this change Active, and the PDF prints “Rescissions: None” and “Expiration Date: Continuing.” The PUA benefit periods and implementation dates are historical.
Status last verified October 24, 2026
Apply this to your situation
This page explains the general guidance. Ask about your specific situation and see what current federal labor law says, with citations.
About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insurance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OUI/DUIO
Washington, D.C. 20210 DATE
January 8, 2021
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 16-20
Change 4
TO: STATE WORKFORCE AGENCIES
FROM: JOHN PALLASCH
Assistant Secretary
SUBJECT: Continued Assistance to Unemployed Workers Act of 2020—Pandemic
Unemployment Assistance (PUA) Program: Updated Operating Instructions and
Reporting Changes
1. Purpose. To provide states with updated guidance for the PUA program, as amended by the
Continued Assistance to Unemployed Workers Act of 2020 (Continued Assistance Act) and
updated instructions for reporting PUA program activities.
2. Action Requested. The U.S. Department of Labor’s (Department) Employment and
Training Administration (ETA) requests that State Workforce Administrators provide the
information in this Unemployment Insurance Program Letter (UIPL) and all attachments to
appropriate program and other staff in state workforce systems as they implement the
changes to the PUA program and the required reporting of PUA activities as amended by the
Continued Assistance Act.
3. Summary and Background.
a. Summary – On December 27, 2020, the President signed into law the Continued
Assistance Act, which includes Unemployment Insurance (UI) related provisions that
make the following changes to PUA:
i. extending PUA program authorization until March 14, 2021;
ii. adding a phaseout period, through weeks beginning on or before April 5,
2021, for individuals who have remaining entitlement to PUA and who are
receiving PUA as of the end of the program (March 13, 2021, for states with a
Saturday week ending date and March 14, 2021, for states with a Sunday
week ending date);
iii. adding a new limitation on backdating claims filed after December 27, 2020
(the enactment date of the Continued Assistance Act);
RESCISSIONS EXPIRATION DATE
None Continuing
iv. increasing the maximum number of PUA weeks available from 39 weeks to
50 weeks, subject to limitations on the dates in which these additional 11
weeks may be collected;
v. adding a requirement for individuals to submit documentation of employment
or self-employment;
vi. establishing the self-certification process for continued claims in statute;
vii. permitting states to waive PUA overpayments under certain conditions;
viii. providing a hold harmless provision for individuals who are currently
receiving PUA after having exhausted Pandemic Emergency Unemployment
Compensation (PEUC), but who are now eligible to receive additional benefit
amounts available on the PEUC claim;
ix. establishing in statute the existing PUA appeals guidance; and
x. adding a requirement for states to verify the identity of PUA applicants.
In addition to the changes made by the Continued Assistance Act, the Department
provides further guidance regarding fraud penalties imposed on individuals for PUA
overpayments.
ETA has also revised the ETA 902P report to include additional data items for tracking
PUA overpayment recovery activities, claim exhaustions, and overpayments resulting
from identity theft.
All other PUA program parameters, as provided in Section 2102 of the CARES Act, PUA
agreements, UIPL Nos. 16-20; 16-20, Change 1; 16-20, Change 2; and 16-20, Change 3,
remain the same.
b. Background – The Coronavirus Aid, Relief, and Economic Security (CARES) Act of
2020 (Pub. L. 116-136) created the PUA program to provide temporary assistance to
individuals who are unemployed, partially unemployed, unable, or unavailable for work
due to specified COVID-19 related reasons and who are not eligible for regular state or
federal unemployment benefits. The CARES Act authorized PUA through weeks of
unemployment ending before December 31, 2020.
Importance of Program Integrity. Addressing improper payments and fraud is a top
priority for the Department and the entire UI system. It is critical that states implement
UI programs and provisions to ensure that 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 identities.
The programs and provisions within the Continued Assistance Act, the Emergency
Unemployment Insurance Stabilization and Access Act, and the CARES Act operate in
tandem with the fundamental eligibility requirements of the Federal-State UI program.
These requirements include that an individual file certifications with respect to each week
of unemployment that is paid and that an individual be able to work and available for
work except as specifically provided for in statute. In addition, the Continued Assistance
Act includes new program integrity requirements for the PUA and PEUC programs with
which states must comply.
Some states remain in the midst of managing extraordinary workloads due to the effects
of the spread of COVID-19. During this time, there is a heightened need for states to
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.
UIPL No. 23-20, published on May 11, 2020, discusses program integrity for the UI
system. UIPL No. 28-20, published on August 31, 2020, 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.
States play a fundamental role in ensuring the integrity of the UI system. While states
have been provided some flexibilities as a result of the COVID-19 pandemic, those
flexibilities are generally limited to emergency temporary actions as needed to respond to
the spread of COVID-19. States must ensure that individuals only receive benefits in
accordance with federal and state law.
ETA strongly encourages states to utilize the tools, resources, and services of the UI
Integrity Center, funded by the Department and operated in partnership with the National
Association of State Workforce Agencies. One of the key assets to support addressing
fraud is the Integrity Data Hub (IDH), which includes a variety of data sets to prevent and
detect fraud based on identity theft at the time of application, including an identity
verification solution. ETA also encourages states to consult with the UI Integrity Center
on data analytics and to prioritize IDH hits, as well as on other tools and solutions
available through the private sector that complement the IDH. In UIPL No. 28-20, the
Department explained its expectation that states connect to the IDH no later than March
31, 2021 and encouraged states to use their share of the funding provided through that
UIPL to support IDH connection as soon as possible. There is also a range of other tools
on the market that states should consider when combating fraud and ensuring program
integrity.
4. Guidance on Changes to PUA in the Continued Assistance Act. An overview of key
changes to the PUA program is provided below.
The Agreement Implementing the Relief for Workers Affected by Coronavirus Act that was
signed by each state in March 2020, remains in effect along with the modifications and
extensions required as a result of these updated provisions. When determining the
appropriate course of action in administering the PUA program, states should first consult
Section 2102 of the CARES Act, as amended by the Continued Assistance Act, and the
subsequent operating instructions provided by the Department. 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. All other PUA program
parameters, as provided in Section 2102 of the CARES Act, PUA agreements, UIPL Nos. 16-
20; 16-20, Change 1; 16-20, Change 2; and 16-20, Change 3, remain the same.
Detailed instructions for implementing the amendments are included in Attachment I,
Pandemic Unemployment Assistance (PUA) Implementation and Operating Instructions and
Attachment II, Handbook 401 Instructions for ETA 902 Pandemic Unemployment
Assistance. Attachment III provides a matrix of eligibility requirements and benefit
availability dependent on the claim filing date. Attachment I, Pandemic Unemployment
Assistance (PUA) Implementation and Operating Instructions is structured to enable states to
know what guidance is new, what is modified, and what has not changed.
a. Changes to Program Dates and Benefit Duration.
i. Extension of Program. Section 201(a) of the Continued Assistance Act
extends PUA authorization through weeks of unemployment ending on or
before March 14, 2021. This means that for states where weeks of
unemployment end on a Saturday, the last week payable is the week ending
March 13, 2021, and for states with weeks ending on Sunday, the last week
payable is the week ending March 14, 2021. Refer to section C.14. of
Attachment I to this UIPL for additional detail.
ii. Phaseout Period. Section 201(a)(3) of the Continued Assistance Act
provides a phaseout period for individuals receiving PUA as of the end of the
program (March 13, 2021, for states with a Saturday week ending date and
March 14, 2021, for states with a Sunday week ending date), who have not yet
exhausted their PUA entitlement. These individuals may continue to collect
PUA for any week in which they have remaining entitlement and are
otherwise eligible, except that no PUA is payable for any week beginning
after April 5, 2021 (April 10, 2021 for states with a Saturday week ending
date and April 11, 2021 for states with a Sunday week ending date). Refer to
section C.5. of Attachment I to this UIPL for additional detail. States may not
accept any new PUA claims for weeks of unemployment after March 13, 2021
for states with a Saturday week ending date and March 14, 2021, for states
with a Sunday week ending date.
iii. New Limitations on Backdating. As discussed in Question 4 of Attachment
I to UIPL No. 16-20, Change 1, individuals filing for PUA must have their
claims backdated to the first week during the Pandemic Assistance Period
(PAP) that the individual was unemployed, partially unemployed, or unable or
unavailable to work because of a COVID-19 related reason listed in Section
2102(a)(3)(A)(ii)(I) of the CARES Act. However, Section 201(f) of the
Continued Assistance Act limits the availability of backdating for claims that
are filed after December 27, 2020 to no earlier than December 1, 2020. Refer
to section C.15. of Attachment I to this UIPL for additional detail.
iv. Modification to Benefit Duration. The maximum number of weeks of PUA
benefits is modified to increase from 39 weeks to 50 weeks. The number of
weeks available continues to be reduced by any weeks of regular UC and
Extended Benefits (EB) that the individual receives during the PAP.
Individuals may only collect these additional 11 weeks of benefits with
respect to weeks of unemployment beginning on or after December 27, 2020.
Refer to section C.17. of Attachment I to this UIPL for additional detail.
v. Notification Requirements. States must re-determine existing PUA claims
to reflect the additional weeks of potential eligibility. States must also
identify each individual with a PUA claim on file and advise these individuals
that they are potentially eligible for additional PUA benefits. States must
provide these individuals with instructions for reopening their PUA claims (if
the individual has stopped collecting PUA). Refer to section C.28 of
Attachment I of this UIPL for additional detail.
b. New Requirement for Individuals to Submit Documentation of Employment or
Self-Employment. Section 241 of the Continued Assistance Act, creates a new
requirement for individuals to submit documentation substantiating employment or
self-employment. Refer to section C.2. of Attachment I to this UIPL for additional
detail.
i. Filing New Applications for PUA. Individuals filing a new PUA application
on or after January 31, 2021 (regardless of whether the claim is backdated),
are required to provide documentation within 21 days of application or the
date the individual is directed to submit the documentation by the State
Agency, whichever is later. The deadline may be extended if the individual
has shown good cause for not submitting documentation under state UC law
within 21 days.
ii. Filing Continued Claims for PUA. Individuals who applied for PUA before
January 31, 2021 and receive a payment of PUA on or after December 27,
2020 (regardless of which week ending date is being paid), are required to
provide documentation substantiating employment or self-employment, or the
planned commencement of employment or self-employment, within 90 days
of application or when directed to submit the documentation by the State
Agency, whichever is later. The deadline may be extended if the individual
has shown good cause under state UC law.
c. Continued Eligibility Requirements. Individuals must provide a self-certification
that their unemployment, partial unemployment, or inability or unavailability to work
is specifically attributable to one or more of the COVID-19 related reasons specified
in section 2102(a)(3)(A)(ii)(I)(aa) through (kk) of the CARES Act and must identify
that specific reason for each week that PUA is claimed. This applies with respect to
weeks beginning on or after January 26, 2021 (30 days after the enactment of the
Continued Assistance Act).
Additionally, in the case of states that made a good faith effort to implement the PUA
program prior to the effective date of this provision, an individual will not be denied
benefits for the weeks ending prior to January 26, 2021, solely for failing to submit a
weekly self-certification. Refer to section C.7. of Attachment I to this UIPL for
additional detail.
d. Overpayment Waiver Authority. Section 201(d) of the Continued Assistance Act
permits a state to waive repayment of a PUA overpayment if the state determines that:
i) the overpayment was without fault on the part of the individual and ii) that
repayment would be contrary to equity and good conscience. Refer to section C.21.b.
of Attachment I to this UIPL for additional detail.
e. Hold Harmless Provision for Individuals who are Provided Additional Benefit
Amounts on a Previous PEUC claim. Under the CARES Act, an individual must
have exhausted all entitlement to regular UC, PEUC, and EB before filing for PUA.
However, section 201(e) of the Continued Assistance Act provides a “hold harmless”
provision for an individual who previously exhausted PEUC and is now receiving
PUA, but as a result of Section 206(b) of the Continued Assistance Act becomes
eligible for additional amounts of PEUC beginning on or after December 27, 2020.
Refer to section C.6. of Attachment I to this UIPL for additional detail.
f. Requirement to Verify Identity. Section 242 of the Continued Assistance Act
requires that states must include procedures for identity verification or validation for
timely payment, to the extent reasonable and practicable, by January 26, 2021 (30
days after the enactment of the Continued Assistance Act) to ensure that they have an
adequate system for administering the PUA program. Refer to section C.3. of
Attachment I to this UIPL for additional details.
g. Technical Correction for the Commonwealth of Northern Mariana Islands
(CNMI). Section 265 of the Continued Assistance Act provides that a
Commonwealth Only Transitional Worker (CW-1) shall be considered a qualified
alien for purposes of eligibility under the PUA and FPUC programs. This change
primarily impacts claims in the Commonwealth of the Northern Mariana Islands.
Refer to section C.8. of Attachment I to this UIPL for additional details.
h. Appeals Processes. Section 201(c) of the Continued Assistance Act provides that
individuals may appeal their rights on any PUA determination or redetermination
made by the state and that all levels of appeals filed in the 50 states, the District of
Columbia, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands shall be
carried out by the applicable state that made the determination or redetermination and
shall be conducted in the same manner and to the same extent as the state would
conduct appeals of determinations and redeterminations regarding rights to regular
compensation under state law.
With respect to any appeals filed in Guam, American Samoa, the Commonwealth of
the Northern Mariana Islands, the Federated States of Micronesia, Republic of the
Marshall Islands, and the Republic of Palau, all levels of appeals shall be carried out
by the applicable entity within the territory in the same manner and to the same extent
as appeals of regular unemployment compensation conducted under the
unemployment compensation law of Hawaii. Refer to section C.20. of Attachment I
to this UIPL for additional detail.
5. Fraud Penalties for PUA Overpayments. Consistent with the requirements of Section 251
of the Trade Adjustment Assistance Extension Act of 2011 (TAAEA), Pub. L. 112-40
(2011), if a state determines that it made an erroneous PUA payment to an individual due to
fraud committed by the individual, the state must apply a minimum 15 percent penalty on
such individual. Refer to Section C.21 of Attachment I to this UIPL for additional detail.
6. Changes to the PUA Activity Report, ETA 902P. ETA has revised the ETA 902P report to
include additional data items that will be used to assess state overpayment recovery efforts
for the PUA program, inform policy makers about the program, determine the effectiveness
of identity theft prevention efforts, and assess additional program integrity needs. Please
refer to Section E of Attachment I to this UIPL for additional detail.
7. Inquiries. We encourage states to contact the Department for technical assistance. Please
direct inquiries to [email protected], with a copy to the appropriate ETA Regional Office.
8. References.
Continued Assistance to Unemployed Workers Act of 2020 (Continued Assistance
Act);
Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020 (Pub. L. 116-
136), Title II, Subtitle A;
Section 251 of the Trade Adjustment Assistance Extension Act of 2011 (TAAEA),
Pub. L. 112-40;
Section 303(a)(1), (3), and (11) of the Social Security Act;
5 C.F.R. Subpart C § 845.303 - Standards for Waiver of Overpayments;
20 C.F.R. Part 625 -Disaster Unemployment Assistance;
UIPL No. 09-21, Continued Assistance for Unemployed Workers Act of 2020
(Continued Assistance Act) – Summary of Key Unemployment Insurance (UI)
Provisions, issued December 30, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3831;
UIPL 28-20, Addressing Fraud in the Unemployment Insurance (UI) System and
Providing States with Funding to Assist with Efforts to Prevent and Detect Fraud and
Identity Theft and Recover Fraud Overpayments in the Pandemic Unemployment
Assistance (PUA) and Pandemic Emergency Unemployment Compensation (PEUC)
Programs, August 31, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8044;
UIPL No. 23-20, Program Integrity for the Unemployment Insurance (UI) Program
and the UI Programs Authorized by the Coronavirus Aid, Relief, and Economic
Security (CARES) Act of 2020 – Federal Pandemic Unemployment Compensation
(FPUC), Pandemic Unemployment Assistance (PUA), and Pandemic Emergency
Unemployment Compensation (PEUC) Programs, issued May 11, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4621;
UIPL No. 16-20, 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) Program
Additional Questions and Answers, issued July 21, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5479;
UIPL No. 16-20, Change 3, Eligibility of Individuals who are Caregivers for
Pandemic Unemployment Assistance in the Context of Scholl Systems Reopening,
issued August 27, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3849; and
UIPL 03-20, Minimum Disaster Unemployment Assistance (DUA) Weekly Benefit
Amount: January 1 - March 31, 2020 issued December 12, 2019,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=3675.
9. Attachments.
Attachment I: Pandemic Unemployment Assistance (PUA) Implementation and
Operating Instructions;
Attachment II: UI Report Handbook No. 401, ETA 902P – Pandemic Unemployment
Assistance;
Attachment III: Processing PUA Claims Based on the Claim Filing Date;
Attachment IV: PUA Provisions under the Consolidated Appropriations Act, 2021.
Division N, Title II, Subtitle A, Chapter I, Continued Assistance to Unemployed
Workers Act of 2020.
Attachment I to UIPL No. 16-20, Change 4
Pandemic Unemployment Assistance (PUA) Implementation and Operating Instructions
Revised January 8, 2021
The following Implementation and Operating Instructions are structured to enable states to know
what guidance is new, what is modified, and what is unchanged.
A. Introduction (updated reference to Continued Assistance Act)
On March 27, 2020, the President signed Public Law (Pub. L.) 116-136, the Coronavirus
Aid, Relief, and Economic Security (CARES) Act of 2020. Section 2102 created a new
federal program called Pandemic Unemployment Assistance (PUA) and provided funding to
states for the administration of the program. On December 27, 2020, the President signed,
the Consolidated Appropriations Act, 2020, including Division N, Title II, Subtitle A, the
Continued Assistance for Unemployed Workers Act of 2020 (Continued Assistance Act),
which amended the CARES Act and included certain changes to the PUA program. Under
the new law, the maximum number of weeks available for the PUA program increases from
39 weeks to 50 weeks of benefits. These benefits are payable to individuals who are not
eligible for regular UC, EB, or PEUC. This includes individuals who have exhausted all
rights to such benefits, as well as individuals who are self-employed, seeking part-time
employment, lacking sufficient work history, or who are otherwise not qualified for regular
unemployment compensation (UC), EB, and Pandemic Emergency Unemployment
Compensation (PEUC) under Section 2107 of the CARES Act, and who otherwise meet the
eligibility requirements of Section 2102 of the CARES Act. The costs of the federal benefit
and of program administration are 100% federally funded.
This guidance has been updated to include amendments made by the Continued Assistance
Act and clarifications provided in Change 1, 2, and 3 to Unemployment Insurance Program
Letter (UIPL) No. 16-20. Additionally, please note the new information below regarding
overpayment fraud penalties and interest. Unless otherwise specified here, all other PUA
program provisions, as provided in Section 2102 of the CARES Act, UIPL Nos. 16-20; 16-
20, Change 1; 16-20, Change 2; and 16-20, Change 3, remain the same. The Agreement
Implementing the Relief for Workers Affected by Coronavirus Act (hereinafter the
Agreement) that the Department of Labor and states signed in March 2020 also remains in
effect, along with the modifications and extensions required by these updated provisions. As
set forth in Section XI of the Agreement, a state may terminate the Agreement with thirty
days’ written notice if it chooses to no longer administer one or more provisions specified in
Section XIV, which includes the state’s agreement to administer the PUA program.
B. Definitions (updated as noted below)
This Section contains the definitions of terms used throughout this document, using
definitions in 20 C.F.R. 625.2 and in Section 205 of the Federal-State Extended
Unemployment Compensation Act of 1970 (EUCA). References to 5 U.S.C. Chapter 85
relate to Unemployment Compensation for Federal Employees (UCFE) and Unemployment
Compensation for Ex-Servicemembers (UCX).
1. “CARES Act” means Coronavirus Aid, Relief, and Economic Security (CARES) Act
(Pub. L. 116-136), including Title II Subtitle A, The Relief for Workers Affected by
Coronavirus Act.
2. “Additional compensation” means compensation totally financed by a state and payable
under a state law by reason of conditions of high unemployment or by reason of other
special factors, and when so payable, includes compensation payable pursuant to 5 U.S.C.
Chapter 85.
3. “Agreement” means the agreement between a state and the U.S. Department of Labor
(Department) to administer the PUA Program. Under the Agreement, the state agency
makes payments of PUA as the Department’s agent. PUA payments must be made in
accordance with the CARES Act, including any applicable amendments, as interpreted by
the Department in these instructions and any other instructions issued by the Department.
4. “Applicable state” means, with respect to an individual, the state from which the
individual is receiving compensation.
5. “Applicable state law” means the unemployment compensation law of the applicable
state for an individual.
6. “Benefit year” means, with respect to an individual, the benefit year as defined in the
applicable state law.
7. “Compensation” shall have the meaning provided in 20 C.F.R. 265.2(d).
8. “COVID-19” means the 2019 Novel Coronavirus or 2019-nCoV.
9. “COVID-19 Public Health Emergency” means the public health emergency declared by
the Secretary of Health and Human Services on January 27, 2020, with respect to the
2019 Novel Coronavirus.
10. “Covered Individual” (updated to include documentation requirement under Section
241 of the Continued Assistance Act) means an individual who: (i) is not eligible for
regular compensation or extended benefits under State or Federal law or pandemic
emergency unemployment compensation under Section 2107 of the CARES Act,
including an individual who has exhausted all rights to regular unemployment or
extended benefits under State or Federal law or Pandemic Emergency Unemployment
Compensation under Section 2107, (ii) self-certifies that the individual is unemployed,
partially unemployed, or unable or unavailable to work because of a listed COVID-19
reason in Section 2102(a)(3)(A)(ii) of the CARES Act (as described in subsection C.1.
below), and (iii) provides required documentation of employment/self-employment
within the applicable period of time (as described in subsection C.2. below).
11. “Department” means the U.S. Department of Labor.
12. “Extended compensation” means compensation payable to an individual for weeks of
unemployment in an extended benefit period, under those provisions of the state law
which satisfy the requirements of the Federal-State Extended Unemployment
Compensation Act of 1970 (Pub. L. 91-373), and when so payable includes additional
compensation and compensation payable pursuant to 5 U.S.C. Chapter 85. Extended
compensation is referred to as Extended Benefits or EB.
13. “Federal Pandemic Unemployment Compensation” means the compensation payable
under Section 2104 of the CARES Act and is referred to as FPUC.
14. “Pandemic Unemployment Assistance” means the compensation payable under Section
2102 of the CARES Act and is referred to as PUA.
15. “Pandemic Emergency Unemployment Compensation” means compensation payable
under Section 2107 of the CARES Act and is referred to as PEUC.
16. “Regular compensation” means compensation payable to an individual under any state
law or the unemployment compensation plan of a political subdivision of a state and,
when so payable, includes compensation payable pursuant to 5 U.S.C. Chapter 85 (parts
609 and 614 of this chapter), but not including extended compensation or additional
compensation.
17. “Secretary” means the U.S. Secretary of Labor.
18. “State” means the states of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, the Federated States of Micronesia, the
Republic of the Marshall Islands, and the Republic of Palau.
19. “State agency” means the agency of the state which administers its state law, and for
Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, the
Federated States of Micronesia, the Republic of the Marshall Islands, and the Republic of
Palau, it means the agency designated in the Agreements entered into with the
Department.
20. “State law” means the unemployment compensation law of a state, approved by the
Secretary under Section 3304 of the Federal Unemployment Tax Act (FUTA). (26
U.S.C. § 3304(a)).
21. “Week” means a week as defined in the applicable state law.
22. “Week of unemployment” is defined as used in 20 C.F.R. 625.2(w).
Note: Except as otherwise provided in Section 2102 of the CARES Act, as amended by the
Continued Assistance Act, or to the extent there is a conflict between Section 2102, as
amended, and 20 C.F.R. Part 625, 20 C.F.R. Part 625 shall apply to Section 2102 as if the
term “COVID-19 public health emergency” were substituted for the term “major disaster”
each place it appears in 20 C.F.R. Part 625 and the term “pandemic” were substituted for the
term “disaster” each place it appears in 20 C.F.R. Part 625.
C. Operating Instructions
1. Eligibility (updated as noted below to reflect changes from the Continued Assistance
Act and includes clarifications to guidance provided in UIPL Nos. 16-20, Change 1;
16-20, Change 2; and 16-20, Change 3). Section 2102 of the CARES Act provides for
payment of PUA to “covered individuals.” A “covered individual” is someone who
meets each of the following three conditions:
Condition #1: The individual is not eligible for regular UC, EB, or PEUC. This
includes an individual who has exhausted all rights to such benefits, as well as
an individual who is self-employed, seeking part-time employment, lacking
sufficient work history, or who is otherwise not qualified for regular UC, EB,
or PEUC. Self-employed individuals include independent contractors and gig
economy workers.
Condition #2: The individual must self-certify that he or she is otherwise able
and available to work within the meaning of applicable state law, except that
the individual is unemployed, partially unemployed, or unable or unavailable to
work because of a listed COVID-19 reason in Section 2102(a)(3)(A)(ii) of the
CARES Act, as described below.
Condition #3 (new): Section 241 of the Continued Assistance Act requires that
an individual must provide documentation substantiating employment or self-
employment, or the planned commencement of employment or self-
employment, if he or she files a new application for PUA on or after January
31, 2021, or, if the individual applied for PUA before January 31, 2021 and
receives PUA benefits on or after December 27, 2020 (the enactment date of
the Continued Assistance Act). This requirement is described in further detail
in Section C.2. below.
PUA is generally not payable to individuals who have the ability to telework with pay, or
who are receiving paid sick leave or other paid leave benefits. However, an individual
receiving paid sick leave or other paid leave benefits for less than his or her customary
work week may still be eligible for a reduced PUA weekly benefit amount (WBA). The
state must treat any paid sick leave or other paid leave received by a claimant in
accordance with state law. Similarly, if an individual has been offered the option of
teleworking with pay and does telework with pay but is working and earning less than the
individual customarily worked/earned due to a COVID-19 related reason identified in
Section 2102(a)(3)(A)(ii)(aa) through (kk) of the CARES Act, the individual may be
eligible for a reduced PUA WBA. Income from such work would be treated in
accordance with state law.
Under Condition #1, an individual “lacking sufficient work history” means an individual:
1) with a recent attachment to the labor force (meaning that he or she worked at some
point from the start of the applicable tax year to the date of filing – refer to C.2. for
additional information on required documentation), 2) who does not have sufficient
wages in covered employment to establish a claim under regular UC, and 3) who is
unemployed or partially unemployed or unable or unavailable to work because of one of
the COVID-19 related reasons identified under Section 2102 of the CARES Act.
Examples of workers which may be seen as “lacking sufficient work history” include
workers for certain religious entities, Peace Corps workers, AmeriCorps participants, and
Fulbright program participants who are working, provided they satisfy Conditions #2 and
#3 as described above. Individuals who had a bona fide offer to start working on a
specific date and were unable to start due to one of the COVID-19 related reasons
identified under Section 2102 of the CARES Act are also considered individuals with a
recent attachment to the labor force.
Additional details for Condition #2. As described under Condition #2, an individual must
self-certify that he or she is otherwise able to work and available for work, as provided
under state law, except that the individual is unemployed, partially unemployed, unable
to work or unavailable for work due to at least one of the following categories described
below. These categories are set forth in Section 2102(a)(3)(A)(ii)(I)(aa) through (kk) of
the CARES Act.
Included for each of the categories are illustrative examples and explanations of
circumstances that fall under each category. Additional examples are also provided in
UIPL Nos. 16-20, Change 1; 16-20, Change 2, and 16-20, Change 3. Examples and
explanations for each of the categories under items (aa) through (jj) of Section
2102(a)(3)(A)(ii)(I) of the CARES Act are not an exhaustive list of all examples within
each category. If states consider other qualifying circumstances, such circumstances
must align with one of the (aa)-(jj) reasons and be applied in a manner consistent with the
examples below. Additionally, the Secretary, in his authority to approve additional items
under Section 2102(a)(3)(A)(ii)(I)(kk) of the CARES Act, has approved one additional
circumstance under which an individual may satisfy Condition #2.
aa. The individual has been diagnosed with COVID-19 or is experiencing symptoms of
COVID-19 and is seeking a medical diagnosis. Examples may include:
An individual who has to quit his or her job as a direct result of COVID-19
because the individual has tested positive for COVID-19 or has been diagnosed
with COVID-19 by a qualified medical professional, and continuing work
activities, such as through telework, is not possible by virtue of such diagnosis or
condition;
An individual who has to quit his or her job due to coming in direct contact with
someone who has tested positive for COVID-19 or has been diagnosed by a
medical professional as having COVID-19, and, on the advice of a qualified
medical health professional is required to resign from his or her position in order
to quarantine.
bb. A member of the individual’s household has been diagnosed with COVID-19. For
example:
A member of the individual’s household has been diagnosed as having COVID-
19 by a qualified medical professional or a member of the individual’s household
has tested positive for COVID-19 and the individual is unable to work as a result.
cc. The individual is providing care for a family member or a member of the individual’s
household who has been diagnosed with COVID-19. For example:
An individual is “providing care” for a family member or a member of the
individual’s household if the provision of care requires such ongoing and constant
attention that the individual’s ability to perform other work functions is severely
limited. An individual who is assisting a family member who is able to
adequately care for him or herself is not “providing care” under this category.
dd. A child or other person in the household for which the individual has primary
caregiving responsibility is unable to attend school or another facility that is closed as
a direct result of the COVID-19 public health emergency and such school or facility
care is required for the individual to work. For example:
An individual has “primary caregiving responsibility” for a child or other person
in the household if he or she is required to remain at home to care for the child or
other person.
This includes an individual whose job allows for telework, but for whom the
provision of care to the child or other person with a closed school or other facility
requires such ongoing and constant attention that it is not possible for the
individual to perform work at home.
ee. The individual is unable to reach the place of employment because of a quarantine
imposed as a direct result of the COVID-19 public health emergency. For example:
An individual who is unable to reach his or her place of employment because
doing so would require the violation of a state or municipal order restricting travel
that was instituted to combat the spread of COVID-19.
ff. The individual is unable to reach the place of employment because the individual has
been advised by a health care provider to self-quarantine due to concerns related to
COVID-19. For example:
An individual who has been advised by a qualified medical professional that he or
she may be infected with COVID-19 and that he or she therefore should self-
quarantine. For example, an individual had direct contact with another person
who has tested positive for COVID-19 or been diagnosed with COVID-19 by a
qualified medical professional and is advised by a health care provider to self-
quarantine to prevent further possible spread of the virus. Such circumstances
would render the individual unable to reach his or her place of employment.
An individual whose immune system is compromised by virtue of a serious health
condition and is therefore advised by a health care provider to self-quarantine in
order to avoid the greater-than-average health risks that the individual might face
if he or she were to become infected by COVID-19.
gg. The individual was scheduled to commence employment and does not have a job or is
unable to reach the job as a direct result of the COVID-19 public health emergency.
Examples include, but are not limited to:
An individual is unable to reach his or her job because doing so would require the
violation of a state or municipal order restricting travel that was instituted to
combat the spread of COVID-19 or the employer has closed the place of
employment.
An individual does not have a job because the employer with whom the individual
was scheduled to commence employment has rescinded the job offer as a direct
result of the COVID-19 public health emergency.
hh. The individual has become the breadwinner or major support for a household because
the head of the household has died as a direct result of COVID-19. For example:
An individual whose head of household previously contributed the majority of
financial support to the household died as a direct result of COVID-19, and the
individual is now the person in the household expected to provide such financial
support.
ii. The individual has to quit his or her job as a direct result of COVID-19 (example
expanded). For example:
An individual was diagnosed with COVID-19 by a qualified medical professional,
and although the individual no longer has COVID-19, the illness caused health
complications that render the individual objectively unable to perform his or her
essential job functions, with or without a reasonable accommodation. States
should also note that, for purposes of item (ii), an individual does not have to quit
his or her job as a direct result of COVID-19 if paid sick leave or other paid leave
benefits are available to the individual. Generally, an employee “has to quit”
within the meaning of this Section only when ceasing employment is an
involuntary decision compelled by the circumstances identified in this Section.
jj. The individual’s place of employment is closed as a direct result of the COVID-19
public health emergency (examples added/updated). Some examples include, but
are not limited to the following:
If a business is shut down due to an emergency declaration or due to necessary
social distancing protocols, the resulting unemployment of affected individuals
would be considered a direct result of COVID-19. While a government-mandated
closure is not necessary to satisfy this category, the claimant must be able to self-
certify that the business was closed “as a direct result of the COVID-19 public
health emergency.”
If a business has multiple parts and one or some of those parts is shut down due to
restrictions imposed by COVID-19, affected staff from the parts of the business
that shut down may be eligible for PUA. For example, a business may include
both a restaurant and a brewery. If the individual’s place of employment is the
restaurant and the restaurant is shut down because of the COVID-19 pandemic,
even if the brewery continues to operate, the individual who was employed in the
restaurant may be eligible for PUA. An individual who is working reduced hours
while his or her place of employment continues to operate does not satisfy the
conditions to self-certify under item (jj).
kk. The individual meets any additional criteria established by the Secretary for
unemployment assistance under this Section (approved criteria clarified).
To date, the Secretary has approved one additional criterion under item (kk): Self-
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).
When states are developing the list of items (aa) through (kk) to include on their self-
certification forms, states may use the following verbiage for item (kk): “I am self-
employed (including an independent contractor or gig worker) and experienced a
significant reduction of services because of the COVID-19 public health emergency.”
States are reminded that for each week of PUA claimed, states must ensure that an
individual completes a self-certification form (either paper or online) that includes the
following. (See UIPL 16-20, Change 1, Question 45).
The identification of the specific applicable COVID-19 related reason(s) under
Section 2102(a)(3)(A)(ii)(I) of the CARES Act, and
A notice advising the individual that intentional misrepresentation on the self-
certification is fraud.
Additionally, states are also required to take reasonable and customary precautions to
deter and detect fraud. Refer to Section C.21. of this Attachment for additional details on
tools to combat fraud. While Condition #2 relies on self-certification to verify that an
individual is covered under the PUA program, when investigating the potential for fraud
and improper payments, the state has, and is encouraged to use, this authority to request
supporting documentation about this COVID-19 related reason. 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). The authority to request supporting documentation for fraud prevention is separate
from the documentation requirement outlined in Section 241 of the Continued Assistance
Act as discussed in Condition #3 above. States may request supporting documentation at
any point during an investigation for potential fraud or improper payments.
States should bear in mind that many of the qualifying circumstances described in
Section 2102(a)(3)(A)(ii) of the CARES Act are likely to be of limited duration and
eligibility for PUA requires that the individual is otherwise able to work and available for
work within the meaning of applicable state law. For example, an individual who has
been advised to self-quarantine by a health care provider because of the individual’s
exposure to a person who has tested positive for COVID-19 and is therefore unable to
reach his or her place of employment for purposes of item (ff) may be able to return to
his or her place of employment within two weeks of the exposure if he or she has not
exhibited symptoms of COVID-19 or tested positive for COVID-19. Similarly, a school
is not closed as a direct result of the COVID-19 public health emergency, for purposes of
item (dd), after the date the school year was originally scheduled to end, as described in
more detail in UIPL No. 16-20, Change 3. As such, the expectation is that states will
continue to assess an individual’s ability to work and availability for work each week in
which the individual is collecting PUA.
2. Requirement to submit documentation substantiating employment or self-employment
(Section 241 of the Continued Assistance Act) (new). Section 241(a) of the Continued
Assistance Act creates a new requirement for individuals to submit documentation to
substantiate their employment or self-employment, or planned commencement of
employment or self-employment.
Anyone that receives a payment of PUA on or after December 27, 2020, (the enactment
date of the Continued Assistance Act) will be required to submit documentation
substantiating employment or self-employment, or the planned commencement of
employment or self-employment. This includes any individual who receives any
payment of PUA on or after December 27, even if the payment is for a week of
unemployment that occurred before December 27, 2020. The deadline for providing
such documentation depends on when the individual filed the initial PUA claim.
Filing New Applications for PUA on or after January 31, 2021. Individuals filing
a new PUA application on or after January 31, 2021 (regardless of whether the
claim is backdated), are required to provide documentation within 21 days of
application or the date the individual is directed to submit the documentation by
the State Agency, whichever is later. The deadline may be extended if the
individual has shown good cause under state UC law within 21 days.
Filing Continued Claims for PUA. Individuals who have an existing PUA claim
as of December 27, 2020, (the enactment date of the Continued Assistance Act)
OR who file a new initial PUA claim before January 31, 2021, and who receive
PUA on or after December 27, 2020, must provide documentation within 90 days
of the application date or the date the individual is instructed to provide such
documentation by the state agency (whichever date is later). The deadline may be
extended if the state finds that the individual has shown good cause under state
UC law for failing to submit the documentation within 90 days.
This documentation demonstrates a recent attachment to the labor force and serves as an
important tool against fraud by requiring the individual to submit documentation to prove
eligibility, rather than have such documentation automatically added to the file based on
agency records. As such, states may not rely solely on agency records to satisfy this
condition – the individual must submit documentation to the agency to be entitled to
benefits.
a. Type of acceptable documentation. The requirements to submit documentation
substantiating employment or self-employment and to submit documentation for a
higher WBA are distinct. As described in Section C of Attachment I and in
Attachment II to UIPL No. 16-20, Change 1, an individual is already required to
submit documentation substantiating wages if the individual is to receive a WBA that
is higher than the state minimum WBA. However, the documentation that an
individual submits in support of a higher WBA may also be used to satisfy the
documentation requirement to substantiate employment or self-employment.
An individual who has not submitted documentation in support of a higher WBA
must still provide documentation substantiating employment or self-employment.
While documentation to support a higher WBA must demonstrate earnings during the
entire look-back period, documentation to substantiate employment or self-
employment need only demonstrate the existence of employment or self-employment
at some point between the start of the applicable tax year and the date of filing.
In general, proof of employment includes, but is not limited to, paycheck stubs,
earnings and leave statements showing the employer’s name and address, and W-2
forms when available. Proof of self-employment includes, but is not limited to, state
or Federal employer identification numbers, business licenses, tax returns, business
receipts, and signed affidavits from persons verifying the individual’s self-
employment. Proof of employment with organizations such as the Peace Corps,
AmeriCorps, and educational or religious organizations includes, but is not limited to,
documentation provided by these organizations and signed affidavits from persons
verifying the individual’s attachment to such organizations. Proof of the planned
commencement of employment includes, but is not limited to, letters offering
employment, statements/affidavits by individuals (with name and contact
information) verifying an offer of employment. Proof of the planned commencement
of self-employment includes, but is not limited to, business licenses, state or Federal
employer identification numbers, written business plans, or a lease agreement.
Individuals must present the proof of employment and the state may verify the proof
submitted using records the state may have available, such as wage records or state
revenue records.
b. Period during which documentation must substantiate employment or self-
employment. Such documentation must demonstrate proof of employment or self-
employment (or the planned commencement of such employment or self-
employment) at some point between the start of the applicable taxable year and the
date of filing. For example, an individual filing a claim effective December 27, 2020,
must submit documentation that substantiates employment or self-employment which
occurred between January 1, 2019 (the start of the applicable tax year) and December
27, 2020. An individual filing a claim effective January 3, 2021, must submit
documentation that substantiates employment or self-employment which occurred
between January 1, 2020 (the start of the applicable tax year) and January 3, 2021.
Unlike the documentation requirement to receive a higher WBA, documentation to
substantiate employment or self-employment need not cover the entire period in
which an individual was working. States have discretion to determine if the
documentation an individual submits substantiates an individual’s employment, self-
employment, or planned commencement of employment or self-employment.
c. Failure to Comply. Individuals who do not provide documentation substantiating
employment/self-employment (or planned employment/self-employment) within the
required timeframe, as described above, are not eligible for PUA. For DUA, if the
individual fails to submit documentation substantiating employment or self-
employment, the state must establish an overpayment for the entire DUA claim, per
20 C.F.R. 625.6(e)(2). However, as provided in Section 241(b)(2) of the Continued
Assistance Act, for PUA, if the individual fails to submit such documentation, the
state may only establish an overpayment for those weeks of unemployment ending on
or after December 27, 2020 (the enactment date of the Continued Assistance Act).
For example, an individual has a PUA claim effective on November 1, 2020, and files
and is paid for weeks of unemployment ending November 7, 2020 through weeks
ending January 9, 2021. Because the individual received a payment for PUA after
December 27, 2020, the state must notify the individual on January 4, 2021 about the
requirement to provide documentation substantiating employment/self-employment
(or planned employment/self-employment) within 90 days (by April 4, 2021). If, in
that timeframe, the individual fails to provide documentation or fails to show good
cause to have the deadline extended, an overpayment must be established for all of
the weeks paid beginning with the week ending January 2, 2021. This is because the
individual cannot be deemed ineligible for a week of unemployment ending before
the date of enactment solely for failure to submit documentation.
As another example, an individual files an initial PUA claim on February 4, 2021 and
the claim is backdated to an effective date of December 13, 2020. On February 8,
2021, the state notifies the individual of the requirement to provide documentation
substantiating employment/self-employment (or planned employment/self-
employment). Because the initial claim was filed after January 31, 2021, the
individual must provide such documentation within 21 days (or by February 28,
2021). If, in that timeframe, the individual fails to provide documentation or fails to
show good cause to have the deadline extended, an overpayment must be established
for all of the weeks paid beginning with the week ending January 2, 2021. This is
because the individual cannot be ineligible for a week of unemployment ending
before the date of enactment solely for failure to submit documentation.
The consequences of failing to provide documentation substantiating employment or
self-employment are different from circumstances where the individual fails to submit
documentation supporting calculation of a higher WBA. If the individual fails to
provide documentation supporting a higher WBA, as described in Question 20 of
Attachment I to UIPL No. 16-20, Change 1, the individual’s WBA will be reduced
based on whichever is higher – the record of wages already on file or the minimum
PUA WBA. Under these circumstances, the state would only establish an
overpayment for the difference between the higher WBA and the lower WBA.
d. Notification Requirements. States must notify individuals filing new PUA claims on
or after January 31, 2021, and individuals filing PUA continued claims on or after
December 27, 2020 (the enactment date of the Continued Assistance Act), of the
requirement to provide documentation to substantiate their employment or self-
employment (or planned commencement of employment or self-employment). Such
notice must include the applicable deadline and the ability to show good cause on or
before the deadline for extending such deadline, and the disqualification for failure to
provide required documentation, including the potential for an overpayment of
benefits paid. States may refer to Attachment III of UIPL 09-21 for sample language.
3. Verification of Identity (Section 242(a) of the Continued Assistance Act) (new). Section
242(a) of Continued Assistance Act modifies Section 2102(f)(1) of the CARES 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” by January 26, 2021, which is 30 days after December
27, 2020 (enactment of the Continued Assistance Act). States that previously verified an
individual’s identity on a UC, EB, or PEUC claim within the last 12 months are not
required to re-verify identity on the PUA claim, though the Department encourages the
state to take additional measures if the identity is questioned. 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.
The Department strongly encourages states to use the Identity Verification (IDV) solution
offered by the UI Integrity Center as part of its Integrity Data Hub (IDH) as one method
to meet this requirement. This IDV solution offers states advanced fraud risk scoring to
maximize front-end ID verification, aiding states in assessing whether an individual is
using a false, stolen, or synthetic ID. It is available to states at no cost and is a secure,
robust, centralized, multi-state data system that allows participating state UI agencies to
submit claims for cross matching and analysis to support the prevention and detection of
improper payments, fraud, and ID theft.
There is also a range of other tools on the market that states may consider to satisfy this
requirement for identity verification. States are also strongly encouraged to explore
implementation of complementary and rigorous forms of identity verification solutions.
The Department will provide states with additional administrative funding to support
state costs to implement PUA identity verification processes and solutions and to
continue work to address fraud in both the PUA and PEUC programs.
4. Determining Exhaustees (no change). A PUA claimant ceases to be an exhaustee of
regular UC, PEUC, and EB when he or she can establish a valid new benefit year. If an
individual is no longer an exhaustee of regular UC, EB, or PEUC, the individual will not
meet the definition of a covered individual and may not receive PUA benefits. Therefore,
at each quarter change, the state must check to determine if an individual meets the state’s
requirements to establish a new benefit year. If individuals can establish a new benefit
year, they are no longer eligible for PUA. In these cases, the claimants should be advised
that they are no longer eligible for PUA and that they may file a regular UC, PEUC or EB
claim.
5. Phaseout Period (Section 201(a) of the Continued Assistance Act) (new). Individuals
receiving PUA as of the end of the program (March 13, 2021 for states with a Saturday
week ending date and March 14, 2021, for states with a Sunday week ending date), who
have not yet exhausted their PUA entitlement may continue to collect PUA for any week
in which they have remaining entitlement and are otherwise eligible, except that no PUA
is payable for any week beginning after April 5, 2021 (April 10, 2021 for states with a
Saturday week ending date and April 11, 2021 for states with a Sunday week ending
date).
Individuals are identified as “receiving” PUA if they have a PUA claim on file as of
March 14, 2021 and are eligible for PUA with respect to week ending March 13, 2021
(or March 14, 2021, for states with a Sunday week ending date).
Similar to the guidance in section C.15. of this UIPL on backdating, if an individual filed
a regular UC claim on or before March 14, 2021, and the state later determines that the
individual is not eligible for regular UC, the state must use the date the claimant filed the
regular UC claim as the date of filing for the PUA claim For example, if the individual
filed a regular UC application on March 1, 2021, and the state determined the claimant
was not eligible for regular UC on March 20, 2021, the PUA application must be deemed
to have been filed on March 1, 2021, and the claimant may be eligible for the phaseout
period, provided they are also eligible for the payment of PUA with respect to week
ending March 13, 2021 (or March 14, 2021 for states with a Sunday week ending date).
However, if for example, the individual first files a PUA claim on March 23, 2021, and
the state backdates the claim and the individual met PUA eligibility requirements for the
week ending March 13, 2021, the individual would not qualify for the phaseout because
the individual did not have a PUA claim on file as of March 14, 2021.
In states where the week of unemployment ends on a Saturday, the last payable week of
PUA for individuals who are eligible to participate in the phaseout period is the week
ending April 10, 2021. In states where the week of unemployment ends on a Sunday, the
last payable week of PUA for individuals who are eligible to participate in the phaseout
period is the week ending April 11, 2021.
Instructions for accepting new applications after March 14, 2021 to be backdated to the
program dates will be forthcoming in additional guidance.
6. Hold Harmless for Proper Administration (Section 201(e) of the Continued Assistance
Act) (new). Generally, an individual must have exhausted all entitlement to regular UC,
PEUC, and EB before filing for PUA. However, Section 201(e) of the Continued
Assistance Act provides a “hold harmless” provision for an individual who previously
exhausted PEUC and is now receiving PUA, but as a result of Section 206(b) of the
Continued Assistance Act, becomes eligible for additional amounts of PEUC beginning
on or after December 27, 2020. States may continue paying PUA to an individual
currently receiving PUA who is newly eligible to receive PEUC due to the additional
weeks of PEUC. This flexibility is allowed for an appropriate period of time as
determined by the Secretary of Labor.
The Department considers four weeks of unemployment commencing on or after the date
of enactment of the Continued Assistance Act an appropriate period of time for states to
implement the additional amounts of PEUC and move an individual from his or her PUA
claim back to PEUC. For states with a Saturday week ending date, this means that the
week ending January 23, 2021 should be the last week that an individual is paid PUA
before moving to the augmented PEUC claim and not the PUA claim (week ending
January 24, 2021 for states with a Sunday week ending date).
During this time, an individual may remain eligible for PUA notwithstanding the fact that
the individual now has additional entitlement to PEUC. Recognizing the unique
circumstances states face and the number and complexity of UI programmatic changes
that states must swiftly implement, should a state determine that it will not be able to
transition individuals from PUA back to PEUC in that timeframe, the state must contact
the appropriate ETA Regional Office to determine the earliest date that the state will be
able to implement this transition.
Individuals may not receive payments under both the PUA and PEUC programs for the
same week of unemployment. Any PUA payments made with respect to weeks of
unemployment during this implementation period do not need to be moved from the PUA
to PEUC claim. This will not affect the individual’s entitlement amounts to the
additional PEUC benefits. Should the individual later exhaust PEUC and resume filing
against his or her PUA claim, such weeks of PUA will be deducted from the individual’s
overall PUA entitlement.
7. Continued Eligibility Requirements (Section 263 of the Continued Assistance Act) (new).
Section 263 of the Continued Assistance Act requires individuals to recertify each week
that he or she remains an individual described in Section 2102(a)(3)(A)(ii) of the CARES
Act.
The Department interprets the use of the term “recertification” to mean the identification
of the specific COVID-19 reason under Section 2102(a)(3)(A)(ii)(I)(aa) through (kk) of
the CARES Act that applies to a claimant’s situation for each week that PUA is claimed.
This amendment to Section 2102 of the CARES Act aligns with the requirement in
Question 45 of Attachment I to UIPL 16-20, Change 1, that individuals are required to
identify the specific COVID-19 related reason specified in Section
2102(a)(3)(A)(ii)(I)(aa) through (kk) of the CARES Act for each week that PUA is
claimed.
In short, to comply with the requirements in Section 263 of the Continued Assistance
Act, all states must ensure that, with respect to weeks of unemployment beginning on or
after January 26, 2021 (30 days after the enactment date of the Continued Assistance
Act), their continued claim forms contain a self-certification process for PUA claimants
to identify the specific COVID-19 related reason under Section 2102(a)(3)(A)(ii)(I)(aa)
through (kk) of the CARES Act for which they are unemployed, partially unemployed, or
unable or unavailable to work. For states with a Saturday week ending date, this begins
with ending February 6, 2021. For states with a Sunday week ending date, this begins
with week ending February 7, 2021.
For continued claims filed with respect to weeks ending before January 26, 2021 (January
30, 2021, for states with a Saturday week ending date and January 31, 2021 for states
with a Sunday week ending date), if a state made a good faith effort to implement the
PUA program, an individual will not be denied benefits solely for failing to submit a
weekly recertification.
In general, states will be determined to have made a good faith effort to implement
Section 2102 of the CARES Act, in accordance with rules similar to those in 20 C.F.R.
625.6, when the state confirmed the individual is a covered individual at the time of the
initial application or by the first week of eligibility. The Department may also consider
other factors, including those listed below. Part of a good faith effort includes the proper
calculation of the PUA WBA in accordance with 20 C.F.R. 625.6 (see Question 2 of
Attachment I to UIPL No. 16-20, Change 2). The Department will evaluate “good faith
effort” in implementing Section 2102 of the CARES Act and identify any retroactive
action needed on a state by state basis.
Examples of factors that the Department may consider in assessing whether or not the
state made a good faith effort to implement Section 2102 include, but are not limited to,
the following:
The extent to which the state required individuals to self-certify that they were
unemployed, partially unemployed, or unable or unavailable to work because of
an identified COVID-19 related reason under Section 2102(a)(3)(A)(ii)(I) of the
CARES Act either on its initial PUA application or as part of the individual’s first
continued claim certification (the first week of eligibility),
If a state paraphrased its description of the statute’s COVID-related reasons (the
(aa) through (kk), the extent to which the state’s paraphrasing reasonably captured
the intent of the reasons, and
The extent to which the states’ implementation of the self-certification
requirement in Section 2102 of the CARES Act may have resulted in potentially
eligible individuals not receiving benefits (e.g., states that failed to provide the
option for item (kk) may require some retroactive action).
8. Eligibility of CW-1 Visa holders in the Commonwealth of the Northern Mariana Islands
(CNMI) (Section 265 of the Continued Assistance Act) (new). The eligibility of
Commonwealth Only Transitional Workers (CW-1) for federal public benefits, such as
DUA or PUA, is governed by the Public Responsibility and Work Opportunity
Reconciliation Act of 1996 (PRWORA). Workers who fit into one of the categories of
“qualified aliens” under PRWORA, as defined in 8 U.S.C. §1641, are potentially eligible
for federal public benefits. Section 265 of the Continued Assistance Act defines CW-1
Visa holders to be qualified aliens under Section 431 of PRWORA for purposes of
eligibility under Section 2102 or 2104 of the CARES Act (PUA and FPUC, respectively).
Therefore, CW-1 workers may receive PUA and FPUC if they meet all PUA eligibility
requirements beginning with claims filed after December 27, 2020 (i.e., claim effective
dates beginning on or after January 3, 2021).
9. State PUA Agreements with the Department (modified). The PUA program is
administered through voluntary agreements between states and the Department. The
program is available in all 50 states, the District of Columbia, the Commonwealth of
Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, the Commonwealth of the
Northern Mariana Islands, the Federated States of Micronesia, the Republic of the
Marshall Islands, and the Republic of Palau, provided the state/territory signs an
agreement with the Department. The Agreement that the Department of Labor and states
signed in March 2020 also remains in effect with the modifications and extensions of
these updated provisions. As set forth in Section XI of the Agreement, a state may
terminate the Agreement with thirty day’s written notice if it chooses to no longer
administer one or more provisions specified in Section XIV, which includes the state's
agreement to administer the PUA program.
10. Termination of PUA Agreement (technical changes to align with the PUA
Agreement). As provided in Section III of the Agreement, the Department reserves the
right to terminate this Agreement immediately if it determines that the State does not
have an adequate system for administering such assistance, including because the State is
not adequately ensuring that individuals receiving benefits under the PUA Program are
eligible for such benefits. If a state’s agreement is terminated by the Department for
failure to have an adequate system for administering the PUA program, the state must
immediately stop any PUA payments.
Either party, upon thirty days written notice, may terminate the PUA Agreement. Under
these circumstances, the PUA period will end 30 days after the date one of the parties to
the agreement notifies the other party of its election to terminate the PUA agreement. No
PUA payments may be made with respect to weeks of unemployment that begin after the
date the termination of the Agreement is effective. However, PUA is payable for weeks
of unemployment ending on or before such termination date.
11. Agreements between States (no change). One state that has entered into an agreement
with the Department to operate a PUA program may choose to enter into an agreement
with another state that has an agreement with the Department to operate the program on
behalf of the other state.
12. Processing PUA Claims (no change).
a. Applicability of State Law Provisions. Under Section 2102(h) of the CARES Act, 20
C.F.R. Part 625 applies to the administration of this program except as otherwise
provided in Section 2102. Consistent with 20 C.F.R 625.11, the terms and conditions
of the state law of the applicable state for an individual which apply to claims for, and
the payment of, regular compensation apply to the payment of PUA to individuals.
The provisions of the applicable state law that apply to claims for PUA include, but
are not limited to:
Claim Filing and Reporting;
Information and Due Process to individuals;
Notices to individuals and employers, as appropriate, including notice to each
individual of each determination and redetermination of eligibility for or
entitlement to PEUC;
Determinations, redeterminations, appeals, and hearings;
Disqualification, including disqualifying income provisions;
Ability to work and availability for work, absent a COVID-19 related
circumstance listed above;
The Interstate Benefit Payment Plan; and
The Interstate Arrangement for Combining Employment and Wages.
b. Claims for PUA. In processing claims for PUA, states must verify that individuals
have no regular UC entitlement. If the individual is not eligible for regular UC
because there are insufficient covered wages or the individual has an active UC claim
with a definite or indefinite disqualification, then a state does not need to require the
individual to file a regular UC initial claim. However, the state must have an
established process whereby the individual’s ineligibility for regular UC is
documented on the application.
If the individual’s eligibility for regular UC is questionable (for example, there are
wages in the base period, but no claim is filed, or a job separation that has not been
adjudicated), then the state must first require the individual to file a regular UI initial
claim. If the individual is subsequently disqualified, then the state may consider the
individual for PUA eligibility.
13. PUA Work Search Requirements. As previously stated in Question #47 (Attachment I,
UIPL No. 16-20, Change 1), work search requirements should be applied to PUA as
appropriate. The applicable state UC laws related to continued claims are applicable to
PUA claims, including work search. However, states may use the emergency flexibility
described in UIPL No. 13-20 to temporarily modify or suspend work search requirements
as needed to respond to the spread of COVID-19.
14. Establishment of the Effective Date of PUA claims – Beginning and Ending Dates of the
PUA Program, including Claim Effective Dates (Section 201(a) of the Continued
Assistance Act) (updated to reflect the extension of the PUA Program). Under
Section 2102 of the CARES Act, states may begin making PUA payments after their
agreement with the Secretary is signed. For most states, this occurred on March 28,
2020. Under Section 201 of the Continued Assistance Act, the period of applicability for
the PUA program is extended to weeks of unemployment ending on or before March 14,
2021, unless the individual meets the requirements for phaseout payments (Refer to C.5.
above). In states where the week of unemployment ends on a Saturday, the last payable
week of PUA is the week ending March 13, 2021. In states where the week of
unemployment ends on a Sunday, the last payable week of PUA is the week ending
March 14, 2021.
15. Backdating Requirements and Limitations (Section 201(f) of the Continued Assistance
Act) (new). As discussed in Question 4 of Attachment I to UIPL No. 16-20, Change 1,
individuals filing for PUA must have their claim backdated to the first week during the
Pandemic Assistance Period (PAP) in which the individual was unemployed, partially
unemployed, or unable or unavailable to work because of a COVID-19 related reason
listed in Section 2102(a)(3)(A)(ii)(I) of the CARES Act. Section 201(f) of the Continued
Assistance Act provides a limitation on backdating for claims filed after December 27,
2020 (the enactment date of the Continued Assistance Act).
PUA initial claims filed on or before December 27, 2020 (the enactment date of
the Continued Assistance Act). Initial PUA claims filed on or before this date
may be backdated no earlier than the week that begins on or after February 2,
2020, the first week of the PAP.
PUA initial claims filed after December 27, 2020 (the enactment date of the
Continued Assistance Act). Initial PUA claims filed after this date may be
backdated no earlier than December 1, 2020 (a claim effective date of December
6, 2020 for states with a Saturday week ending date and a claim effective date of
December 7, 2020, for states with a Sunday week ending date).
If an individual filed a regular UC claim on or before December 27, 2020, and the state
later determines that the individual is not eligible for regular UC, the state should use the
date the claimant filed the regular UC claim as the date of filing for the PUA claim, so
long as the individual met the requirements for PUA as of that date. For example, if the
individual filed a regular UC application on October 4, 2020 and the state determined the
claimant was not eligible for regular UC on January 15, 2021, the PUA application will
be deemed to have been filed on October 4, 2020 and the PUA claim will be backdated to
that date.
16. Establishment of PUA Weekly Benefit Amount (Section 241 of the Continued Assistance
Act) (updated to reflect changes from the Continued Assistance Act and
clarifications provided in UIPL Nos. 16-20, Change 1).
a. Self-Attestation for establishing PUA WBA (new/reminder). As provided for in 20
C.F.R. 625.6, states must establish the PUA WBA immediately upon the filing of the
PUA claim based on documentation submitted, state wage records, or the claimant’s
self-attestation of wages/income earned during the base period for the PUA claim.
When the state establishes the PUA WBA based on the claimant’s self-attestation of
wages, the state must advise the claimant to submit proof to substantiate the wages
used to establish the PUA claim within 21 days. Refer to Question 2 of Attachment I
to UIPL No. 16-20, Change 2, for details on calculating the WBA based on an
individual’s self-attestation.
If the claimant fails to provide proof to substantiate the higher WBA within 21 days,
states must recalculate any PUA claim that was originally established based on a
claimant’s self-attestation. In no case shall the state recalculate the PUA WBA lower
than the PUA minimum WBA as outlined in UIPL No. 03-20.
NOTE: Providing documentation to support the calculation of a higher WBA is a
separate requirement from the new requirement to provide documentation
substantiating employment or self-employment as outlined in Section C.2. above.
b. Calculation of WBA (updated to confirm use of UIPL No. 03-20 for all PUA
claims, a change to the FPUC payment information, and a reminder to use gross
income for employment covered by the regular UI program and net income for
self-employment when calculating the WBA). While there is no minimum
monetary requirement for an individual to qualify for PUA, states must consider
wages earned in the prior tax year to determine if the individual qualifies for a WBA
that is higher than the state minimum PUA WBA. Section 2102(d) of the CARES
Act requires the state to pay individuals the WBA under the UC law of the state
where the covered individual was employed plus the FPUC payment in effect for the
week being paid. The minimum WBA may not be less than the minimum WBA in 20
C.F.R. 625.6 before the amount of FPUC under Section 2104 of the CARES Act is
added.
If an individual is self-employed or would not otherwise qualify for regular UC under
a state’s UC law, the individual’s PUA WBA is calculated as provided in 20 C.F.R.
625.6 and is increased by the FPUC payment in effect for the weeks of
unemployment being paid. If a self-employed individual or an individual who is
“lacking sufficient work history” had earnings for the prior tax year that would result
in a lower WBA than the minimum DUA WBA that is outlined UIPL No. 03-20 for
the minimum DUA benefit, the individual’s WBA must be the minimum amount
listed in the UIPL.
All PUA claims within the PAP will use the minimum DUA WBA as published in
UIPL No. 03-20. If an individual lives in a territory that does not have UC under its
law, the individual’s PUA WBA is calculated as provided in 20 C.F.R. 625.6.
When calculating the WBA, states must use the gross income for employment
covered by the regular UC program and net income for self-employment. Refer to
Attachment II of UIPL No. 16-20, Change 1, for additional detail.
c. WBA payable (no change).
Total Unemployment. The WBA payable to an individual for a week of total
unemployment is equal to the individual's most recent WBA (including any
dependents’ allowances) for the applicable PAP.
Partial and Part-Total Unemployment. To determine the amount payable for a
week of partial or part-total unemployment, the state will calculate the payment
amount in accordance with the state law applicable to such a week of
unemployment.
d. Base Period for PUA Claims (new). The base period to be utilized in computing the
PUA WBA is the most recent tax year that has ended for the individual (whether an
employee or self-employed) prior to the first week in which the individual certifies
that his or her unemployment, partial unemployment, inability to work or
unavailability for work was due to at least one of the reasons outlined in Section
2102(a)(3)(A)(ii)(I)(aa) through (kk) of the CARES Act.
For example, if an individual files a new PUA claim effective January 3, 2021, the
state would consider income from tax year 2020. If an individual files a new PUA
claim effective December 27, 2020, the state would consider income from tax year
2019. Refer to Question 19 of UIPL No. 16-20, Change 1, for examples of
acceptable documentation when the prior year’s income tax return is not available.
17. Establishment of PUA Maximum Entitlement (Number of weeks of PUA) – Additional
Weeks Available (Section 201(b) of the Continued Assistance Act) (updated). The
maximum number of weeks of PUA benefits is increased from 39 weeks to 50 weeks,
minus any weeks of regular UC and EB that the individual receives with respect to the
PAP. Individuals may only collect these additional 11 weeks of benefits for weeks of
unemployment beginning on or after December 27, 2020 (the enactment date of the
Continued Assistance Act), which means the week ending January 2, 2021 for states with
a Saturday week ending date and January 3, 2021 for states with a Sunday week ending
date.
Individuals who establish PUA eligibility with respect to weeks of unemployment
beginning on or after December 27, 2020 (the enactment date of the Continued
Assistance Act) will have the duration established at 50 weeks, minus any weeks of
regular UC and EB received during the applicable PAP.
Individuals who established PUA eligibility with respect to a week of unemployment
beginning before December 27, 2020, must have their PUA claim augmented by 11
weeks (which represents the difference between the new number of 50 weeks minus the
initial number of 39 weeks) for weeks of unemployment beginning on or after December
27, 2020.
If an individual files a new PUA claim after December 27, 2020, and is eligible for the
claim to be backdated to no earlier than December 1, 2020, the state may establish the
claim for 50 weeks of eligibility. However, any weeks of regular UC or EB received for
weeks during the PAP (since January 27, 2020) must be subtracted from this amount.
Additionally, the 11 extra weeks under the Continued Assistance Act are ONLY payable
with respect to a week of unemployment beginning on or December 27, 2020 (the
enactment date of the Continued Assistance Act) (i.e., these additional benefits can only
be paid for weeks of unemployment ending on or after January 2, 2021).
Additionally, as provided for in the CARES Act, during the period in which a state is
triggered “on” to a high unemployment period (HUP) under EUCA, the PUA duration is
extended for additional weeks as well. This only applies to states whose law provides for
the optional Total Unemployment Rate (TUR) trigger and whose TUR meets the
thresholds necessary to provide for a HUP. If the state’s maximum duration for regular
UC is 26 weeks, then all PUA claims must be augmented for 7 weeks during the HUP
(this is equal to 80 percent of the regular UC duration available during periods of high
unemployment minus 50 percent of the regular UC duration available during regular EB
periods). If the state’s maximum duration for regular UC is less than 26 weeks, then the
PUA augmentation during a HUP will be less than 7 weeks. For example, states with a
maximum duration of 20 weeks of regular UC may pay up to an additional 6 weeks of
PUA during a HUP.
18. Other PUA Operational Instructions (updated). When determining the appropriate
course of action in administering the PUA program, states should first consult Section
2102 of the CARES Act, as amended by the Continued Assistance Act of 2020, and the
subsequent operating instructions provided by the Department. Where the CARES Act,
as amended, and the operating instructions are silent, states should refer to the DUA
regulations at 20 C.F.R. Part 625. All other PUA program parameters, as provided in
Section 2102 of the CARES Act, UIPL Nos. 16-20; 16-20, Change 1; 16-20, Change 2;
and 16-20, Change 3, remain the same.
19. Secretary’s Standard (no change). The procedures for reporting and filing claims for
PUA must be consistent with these instructions and the Secretary’s “Standard for Claim
Filing, Claimant Reporting, Job Finding and Employment Services” (Employment
Security Manual, Part V, Sections 5000 et. seq.).
20. Determination of Entitlement: Notices to Individuals (no change, except as noted
below).
a. Determination of Initial Claim. When an individual files an initial claim for PUA the
state agency must determine promptly the eligibility of the individual and, if eligible,
the weekly and maximum amounts of PUA payable. If denied PUA, the individual
must be issued an appealable determination.
b. Determination of Weekly Claims. The state agency must promptly, upon the filing of
a claim for a payment of PUA for a week of unemployment, determine whether the
individual is entitled to a payment of PUA for such week, and, if entitled, the amount
of PUA to which the individual is entitled to and issue a prompt payment.
c. Redetermination. An individual filing a PUA initial claim or weekly certification has
the same rights to request a reconsideration of a determination as are provided for in
the applicable state law for regular compensation.
d. Notices to Individual. The state agency must give written notice to the individual of
any determination or redetermination of an initial claim and all weekly claims. Each
notice must include such information regarding rights to reconsideration or appeal, or
both, using the same process that is used for redeterminations of regular
compensation.
e. Promptness. Full payment of PUA when due must be made as soon as
administratively feasible.
f. Secretary’s Determination Standard. The procedures for making determinations and
redeterminations and furnishing written notices of determinations, redeterminations,
and rights of appeal to individuals claiming PUA must be consistent with the
Secretary’s “Standard for Claim Determinations—Separation Information"
(Employment Security Manual (ESM), Part V, Sections 6010 et seq.). In processing
claims, states must comply with Section 6013 of the ESM about conducting an
investigation and Section 6014 of the ESM concerning gathering separation
information from employers when the claim involves separation from an employer.
g. Appeal and Hearing.
Applicable State Law (revised). To ensure that appeals and hearings are held
promptly, the applicable state law provisions concerning the right of appeal and
fair hearing from a determination or redetermination of entitlement to regular
compensation shall apply to determinations and redeterminations of eligibility for
or entitlement to PUA.
Additionally, Section 201(c) of the Continued Assistance Act, establishes in
statute the Department’s previous guidance from Section 13.g. of Attachment I to
UIPL No. 16-20. States must continue to process PUA appeals in the same
manner and to the same extent as the state would conduct appeals of
determinations or redeterminations regarding rights to regular UC. Additionally,
with respect to any appeal filed in Guam, American Samoa, the Commonwealth
of the Northern Mariana Islands, the Federated States of Micronesia, the Republic
of the Marshall Islands, and the Republic of Palau, appeals must be carried out by
the applicable entity in the same manner and to the same extent as those
conducted under the UC law of Hawaii. Any decision issued on appeal or review
before December 27, 2020, (the enactment date of the Continued Assistance Act)
is not affected by this provision. The Department intends to work individually
with Guam, American Samoa, the Commonwealth of the Northern Mariana
Islands, the Federated States of Micronesia, the Republic of the Marshall Islands,
and the Republic of Palau to support implementation of these provisions.
Rights of Appeal and Fair Hearing. The right of appeal and opportunity for a fair
hearing for claims for PUA must be consistent with these instructions and with
Sections 303(a)(1) and 303(a)(3) of the Social Security Act (SSA) (42 U.S.C.
503(a)(1) and 503(a)(3)).
Promptness of Appeals Decisions.
o Decisions on appeals under the PUA Program must accord with the
“Standard for Appeals Promptness—Unemployment Compensation” in 20
C.F.R. Part 650.
o Any applicable state law provision allowing the advancement or priority of
UC cases on judicial calendars, or otherwise intended to provide for the
prompt payment of UC when due, must apply to proceedings involving
entitlement to PUA.
21. Fraud and Overpayments (updated to reflect the Continued Assistance Act and other
guidance).
a. Identity Theft and Imposter Claims (new). If the state determines that a PUA claim
was filed by an individual who is not the owner of the Social Security number that
was used to file the claim, the state must deny the entire PUA claim. Additionally,
the state may not augment the PUA claim and may not send any notification of
potential entitlement with regard to such claim.
b. Fraud. An individual commits fraud if he or she knowingly has made or caused to be
made by another, a false statement or representation of a material fact, or knowingly
has failed, or caused another to fail, to disclose a material fact, and as a result of such
false statement or representation or of such nondisclosure such individual has
received an amount of PUA to which such individual was not entitled.
Disqualification Periods (updated). The provisions set out in 20 C.F.R. 625.14
apply with respect to PUA overpayments to the same extent and in the same
manner as in the case of DUA. 20 C.F.R. 625.14(i). This Section sets the
disqualification period for PUA and requires that the disqualification be based on
when the fraud occurs.
1. If the fraud was in connection with the initial application (for example, the
individual says he or she quit the job because of COVID-19 and the state
determines the individual was fired for reasons not related to COVID-19), the
individual would be disqualified for the entire PAP.
2. If the fraud occurred during the continued claim series, the disqualification
would apply to the week the fraud occurred, plus the next two compensable
weeks for PUA that immediately follow that week. If the individual is not
otherwise entitled to PUA following the week of fraud, then the
disqualification would be assessed on the first two weeks in which the
individual once again becomes eligible for PUA.
Fraud Penalties (new/updated). States must apply a 15 percent penalty to an
individual’s overpayment when the state determines that it made an erroneous
PUA payment to an individual due to fraud the individual committed. See
Section 251 of the Trade Adjustment Assistance Extension Act of 2011
(TAAEA), Pub. L. 112-40 (2011). Section 251(a)(2) of the TAAEA requires
assessing a 15 percent penalty in these circumstances to any “unemployment
compensation program of the United States.” “Unemployment compensation
program of the United States” is defined, in relevant part under the TAAEA, as
including “any other Federal program providing for the payment of
unemployment compensation.” PUA is one such program.
UIPL No. 02-12 provides that Section 251(b) of the TAAEA also requires, as a
condition of administering “any” Federal UC program, that a state assess penalties
against individuals determined to be overpaid under these programs due to fraud
in the same manner as the state assesses and deposits these penalties under state
law implementing Section 303(a)(11), SSA, with respect to UC paid out of the
state’s unemployment fund. The 15 percent penalty amount is the minimum
amount required; states may impose a greater penalty.
Tools for Combatting Fraud (new). The state should use the crossmatches and
tools described in Section 4.b. of UIPL No. 23-20 to monitor for suspicious
activity on PUA claims, as it does for regular UC. States are required to share
information with the Department’s Office of Inspector General (OIG), and the
Department strongly encourages states to 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 IDH which
includes the IDV module, Suspicious Actor Repository (SAR), suspicious e-mail
domains, Multi-State Cross-Match (MSCM), foreign internet protocol (IP)
address detection, and the Fraud Alert system. 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.
If a state has reasonable suspicion of fraudulent activity on a claim, then the state
may request supporting documentation to address the concern. Requests for
supporting documentation and a state’s investigative and adjudicative practices
should be done in alignment with the processes described in UIPL No. 01-16 to
ensure due process is afforded to the individual.
c. Overpayments (changes as noted below). A PUA overpayment occurs when an
individual has received a PUA payment to which he or she is not entitled.
1. Opportunity for a Hearing. A State may not require repayment of a PUA
overpayment until it determines that the payment was an overpayment, the
individual was provided notice of the determination, the individual had an
opportunity for a fair hearing, and the determination is final.
2. Authority to Waive Overpayments (new). Section 201(d) of the Continued
Assistance Act amends Section 2102(d) of the CARES Act and authorizes
states to waive the repayment if the state determines that the payment of PUA
was without fault on the part of any such individual and such repayment
would be contrary to equity and good conscience. This waiver authority
applies to overpayments that meet this criteria at any time since the PUA
program began.
The waiver provision is permissive. Therefore the state may choose not to
waive the PUA overpayment. A state may also, if a state has an existing UC
law that provides for the waiver of overpayments for equity and good
conscience, apply its own definition of the terms “equity and good
conscience” in applying the waiver.
If a state UC law provides for the waiver of overpayments but does not
include a provision defining “equity and good conscience” the state must use
the following provisions for equity and good conscience, when assessing
whether an individual overpayment may be waived.
It would cause financial hardship to the person from whom it is sought;
The recipient of the overpayment can show (regardless of his or her
financial circumstances) that due to the notice that such payment would be
made or because of the incorrect payment either he/she has relinquished a
valuable right or changed positions for the worse; or
Recovery could be unconscionable under the circumstances.
States that choose to waive overpayments under Section 201(d) of the
Continued Assistance Act must notify all individuals with a non-fault
overpayment of their ability to request a waiver. The notification must
include how to request the waiver.
Waiver determinations must be made on the facts and circumstance of each
individual claim, blanket waivers are not permissible. For example, states
cannot waive overpayments due to administrative error for a group of
individuals before first assessing and documenting why each individual meets
the state’s waiver requirements. The Department will monitor each state’s
process for waivers when monitoring program implementation.
3. Recovery Provisions (new). If the overpayment amount is not subject to
waiver, the State agency must recover the amount of PUA to which an
individual was not entitled in accordance with the same procedures as apply to
recovery of overpayments of regular UC paid by the State.
4. Benefit Offsets (updated). States must offset benefits from other
unemployment programs, as described below, to recover PUA overpayments.
A state has significant flexibility in the way it implements the offset
requirement. While a state must attempt to recover the full amount of the
overpayment, a state may limit the amount that will be deducted from each
payment as noted on page 4 of UIPL No. 05-13, 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.
Recovery by Cross-Program Offsets. A state must recover PUA
overpayments from any additional PUA payments to which the individual
is entitled and from any other UC payable under state or Federal law
administered by the state agency (including FPUC and PEUC from the
CARES Act, and any other assistance or allowance payable with respect
to a week of unemployment under any other state or Federal law).
Additionally, PUA payments must be reduced to recover overpayments
from any state and federal unemployment benefit programs, if the state
has a cross-program offset agreement in place under Section 303(g)(2),
SSA (42 U.S.C. §503(g)(2)).
Recovery by Interstate Reciprocal Overpayment Recovery Arrangement
(IRORA). If a state has an Interstate Reciprocal Overpayment Recovery
Arrangement in effect with the National Association of State Workforce
Agencies, the state must offset any state or Federal benefits to repay PUA
overpayments in another state. These instructions supersede the prior
instructions that PUA benefits could only be offset to recover other PUA
overpayments in another state.
Limitation on offset amounts. A state may not offset more than 50 percent
from the PUA payment to recover overpayments from any state or Federal
unemployment benefit program.
22. Effect of Other UI-Related Programs on Eligibility for PUA (updated).
a. Trade Readjustment Allowances (TRA). PUA is payable only if the individual is not
eligible for or has exhausted TRA (basic, additional, or completion). Eligibility for
DUA (and accordingly PUA) requires that the individual NOT be eligible for
“compensation” as defined at 20 C.F.R. 625.4(i). The definition of “compensation”
at 20 C.F.R. 625.2(d) includes TRA. See UIPL No. 14-20, Change 1, Attachment I,
Question 7. Therefore, to be eligible for PUA, an individual must have exhausted
their entitlement to TRA.
b. Disaster Unemployment Assistance (DUA). If an individual is eligible for DUA with
respect to a week of unemployment under Section 410 of the Robert T. Stafford
Disaster Relief and Emergency Assistance Act, as amended, (42 U.S.C. 5177), the
individual is not eligible to receive PUA for that week. This is because eligibility for
both PUA and DUA is based on the reason for an individual’s unemployment. If an
individual’s unemployment is directly caused by a major disaster, then the
individual’s unemployment is not due to a COVID-19 reason and the individual
would not qualify for PUA.
Conversely, if the reason for the individual’s unemployment is because of a listed
COVID-19 related reason in Section 2102(a)(3)(A)(ii)(I) of the CARES Act, the
individual’s unemployment is not a direct result of a major disaster and the individual
would not qualify for DUA. See UIPL No. 14-20, Change 1, Attachment I, Question
16.
23. Effect of State Additional Compensation (also known as Additional Benefits or AB) (no
change). Section 2102 of the CARES Act and, by reference, DUA regulations at 20
C.F.R. Part 625 require that an individual have no rights to regular UC, EB, or additional
compensation in order to meet the eligibility requirements for PUA.
24. Effect of Federal Pandemic Unemployment Compensation (FPUC) (updated to reflect
changes from the Continued Assistance Act). Section 2102 of the CARES Act
provides that FPUC payments provided under Section 2104 of the CARES Act must be
added to the PUA WBA. With respect to weeks of unemployment beginning after the
state signed the Agreement and ending on or before July 31, 2020. Section 203 of the
Continued Assistance Act made modifications to the FPUC payment dates and amounts
payable. FPUC payments are reauthorized for weeks of unemployment beginning after
December 26, 2020, and ending on or before March 14, 2021.
25. Record Maintenance and Disposal of Records (no change). The state must maintain
PUA payment data as required by the Department.
a. Record Maintenance. Each state will maintain records on the administration of the
PUA program and will make all such records available for inspection, examination,
and audit by such federal officials, employees as the Department may designate, or as
may be required by the law. Reference ET Handbook No. 401, UI Report Handbook
for details.
b. Disposal of Records. The electronic/paper records created in the administration of
the PUA program must be maintained by the state for three years after final action
(including appeals or court action) on the payments, or for less than the three-year
period if copied by micro photocopy or by an electronic imaging method. At the end
of the three-year period, the PUA records shall be transferred to state accountability
under the conditions for the disposal of records that apply to UCFE and UCX records,
as explained in Chapter X of ET Handbook No. 391 (1994 Edition) (OMB No. 1205-
0179) and Chapter I of ET Handbook No. 384 (1994 Edition) (OMB No. 1205-0176).
26. Disclosure of Information (no change). Information in records made and maintained by
the state agency in administering the PUA program must be kept confidential, and
information in such records may be disclosed only in the same manner and to the same
extent as information with respect to regular compensation, and the entitlement of
individuals thereto, may be disclosed under provisions of the applicable state law meeting
the requirements of 20 C.F.R. Part 603. As provided under 20 C.F.R. 603.4(b), the
confidentiality requirements do not apply when such information is being provided in the
aggregate, provided it cannot be combined with other publicly available information to
reveal any such identifying particulars about an individual or the individual’s past or
present employer.
27. Inviolate Rights to PUA (no change). The rights of individuals to PUA must be protected
in the same manner and to the same extent as the rights of persons to regular UC are
protected under the applicable state law. Such measures must include protection of
individuals from waiver, release, assignment, pledge, encumbrance, levy, execution,
attachment, and garnishment of their rights to PUA. In the same manner and to the same
extent, individuals must be protected from discrimination and obstruction in regard to
seeking, applying for, and receiving PUA.
28. Notifications (changes as noted below).
a. Identification and Notification of Potentially Eligible Claimants (updated). The state
must identify individuals who are potentially eligible for PUA and provide them with
appropriate written notification of their potential entitlement to PUA, including filing
instructions. This includes notifying claimants who were found ineligible for regular
UC.
States must also identify each individual with a PUA claim on file and advise these
individuals that they are potentially eligible for additional PUA benefits. States must
provide these individuals with instructions for reopening their PUA claims (if the
individual has stopped collecting PUA). States may include these instructions in the
monetary redetermination notice or a separate notice. In addition to this individual
notification, states may also want to post the availability of additional PUA benefits
on their websites or other social media.
Additionally, 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. See C.21. above.
States are not required to take a new PUA application for an individual with an
existing PUA claim, whether the individual is in active claim filing status or not at the
time he or she requests to resume filing. However, states must ensure that individuals
remain eligible for PUA, including checking for entitlement to regular UC, PEUC,
and EB and requesting a self-certification that the individual’s unemployment, partial
unemployment, or inability or unavailability to work is specifically attributable to one
or more of the COVID-19 related reasons specified in section 2102(a)(3)(A)(ii)(I)(aa)
through (kk) of the CARES Act. This self-certification may be done at the time the
individual returns to resume collecting PUA or as part of the continued claim process
before payment is released. States must document its evaluation of the individual’s
eligibility for UC in the state’s system.
b. Interstate Claims. PUA is payable to individuals filing under the Interstate Benefit
Payment Plan in the same manner and to the same extent that benefits are payable to
intrastate claimants. The liable state is responsible for identifying and notifying all
potentially eligible interstate claimants of their potential eligibility, including filing
instructions.
c. Notification of Media. To assure public knowledge of the PUA program’s status, the
state must notify all appropriate news media having coverage throughout the state of
the beginning and any extensions of the PUA program. This includes the extension
of the PUA program to March 14, 2021 and the availability of up to an additional 11
weeks of benefits.
D. Financial Information and Instructions (updated):
1. Payment to States. Requesting PUA Benefit Funds—Under Section 2102(f)(2) of the
CARES Act, each state that has entered into an agreement with the Secretary to pay PUA,
will be paid an amount equal to l00 percent of the amount of PUA paid to eligible
individuals by the state under the agreement and in full accordance with the CARES Act
and these instructions. States will request funds from the Extended Unemployment
Compensation Account through the Automated Standard Application for Payments
(ASAP) system. Drawdown requests must adhere to the funding mechanism stipulated in
the Treasury-State Agreement executed under the Cash Management Improvement Act of
1990. Requests will be funded in the same manner as all ASAP transactions elected by
the states (FEDWIRE or ACH to the state benefit payment account).
There will be one new line in the ASAP for making drawdowns to pay PUA benefits,
refer to #3 below for drawdown instructions. The line will be clearly labeled
PANDEMIC UNEMPLOYMENT ASSISTANCE (PUA).
Section 2102(f)(2)(B) authorizes the Secretary to determine the amounts to be paid to
states for processing PUA workloads. Such costs will be based on workload counts
reported on the ETA902P report and will incorporate minute per unit factors and salary
rates identical to those used in the computation of the regular UC program above base
administrative costs.
Administrative costs will be computed on the ETA 902P report, line 301, column 17. See
Attachment VI for additional detail. The supplemental budget request process will be
used for states to request funds for implementation.
Augmenting Claims. Augmentations of claims are counted as monetary
redeterminations. States will receive administrative funding for monetary
redetermination activity related to the augmentation of PUA entitlement that does not
meet the definition under ET Handbook No. 401 for an initial, additional or a transitional
claim. Such counts should be reported in the comments section of the ETA902P report
and labeled “Monetary Redeterminations = “#######””.
Consistent with treatment of monetary redeterminations on the UI-3 report, five minutes
per redetermination will be funded. The National Office will compute the additional
reimbursement associated with these counts by applying the same hours and salary rate
information used in the monthly administrative cost formula on line 301, column 17.
2. PUA Accounting Obligational Authority. The Grant Officer will assign a separate line
on the UI program notices of obligational authority for PUA administrative grant funds,
and a separate sub-account for PUA will be set up in the Payment Management System
for states to draw down PUA administrative funds.
Administrative Fund Accounting—Because of the separate appropriation for PUA
administrative funds and the availability of these funds until expended, states must track
and report PUA administrative expenditures and obligations separately from the regular
UI program. Therefore, states must establish a separate fund ledger and must submit a
separate ETA 9130 for the PUA program. States must include any PUA administrative
expenditures and obligations incurred in March 2020 in their June 30, 2020, PUA ETA
9130 report.
3. Time Distribution. To ensure that PUA costs are tracked separately, states must charge
time used for all PUA activities to the appropriate UI functional activity codes as outlined
in Appendix E to ET Handbook No. 410 under the separate PUA fund ledger; however,
states must combine regular and PUA staff year usage data in Section A of the UI-3
worksheet.
4. Accounting for PUA Payments (Benefits). PUA advances to the states’ Unemployment
Trust Fund (UTF) accounts and disbursements for PUA benefit payments will be reported
on the monthly ETA 2112. Do not use a separate form for this report. (See Reporting
Instructions.) Accurate reporting of advances, reimbursements and payments is important
due to the monthly reconciliation of balances with Department of Labor records.
5. Processing Refunds. There are two scenarios for returning funds to the program line for
PUA.
a. The most likely scenario will be when the state has funds in its state benefit payment
account and must return those funds to the Extended Unemployment Compensation
Account. This should be completed as a negative amount posted to the appropriate
line in ASAP. To accomplish this, the total draw for the day in ASAP must be
greater than the negative balance posted to the appropriate line.
b. The second scenario is when a state actually has the funds in its Federal UI account
that are required to be returned to the appropriate program line. This should be
accomplished by the state processing a book transfer transaction that accomplishes a
transfer from its UI account to the appropriate program under the Extended
Unemployment Compensation Account.
E. Reporting Instructions
1. ETA 2112. PUA benefit payment activity must be reported in the aggregate on the
regular ETA 2112 report.
a. Line 23c. Pandemic Unemployment Assistance. Report in columns C and E the
amount of Federal funds received as advances or reimbursement for PUA.
b. Line 42c. PUA Activity. Enter in columns C and F the net amount for which the
Federal government is liable for PUA.
2. States are reminded that if a regular program initial claim is taken when verifying that a
claimant is not eligible for regular UI before proceeding with a PUA claim, the state
must record and report that as only a PUA initial claim and the regular program initial
claim must not be reported. Regular program initial claims taken to verifying that a
PUA claimant is not eligible for regular UI should be excluded from the regular State
UI initial claims reported on the ETA538, ETA539, and ETA5159 reports.
Similarly, states are reminded that as they work through backlogs, backdated continued
claims processed should be reported in the ETA 538 and ETA 539 reports reflecting the
weeks of unemployment for which the backdated claims were claimed. States should
revise previous ETA 539 reports to include the backdated claims and avoid reporting
multiple weeks of backdated claims for single claimants in the same week.
3. ETA 902 (changes as noted below). ETA has revised the ETA 902P report to include
additional data items for tracking of overpayment recovery activities, PUA claim final
payments, and a section for overpayment activity related to identity theft. This guidance
supersedes the reporting instructions provided in Attachment VI to UIPL No. 16-20.
The ETA 902P now includes the following additional data cells:
Section A, Application and Payment Activities
Columns 14, 15, and 16, Overpayments. The Overpayments header for columns 14, 15,
and 16 has been renamed to Overpayments Established.
Column 18, Final Payments. Enter the number of final payments made to claimants for
PUA. A final payment for PUA is defined as the last PUA payment a claimant receives
during the pandemic assistance period because the claimant has exhausted their
entitlement to the program. Excluded from the definition is the last payment to an
individual if, but for the end of the pandemic assistance period, the individual would
otherwise be entitled to further PUA benefits. Final payments should be reported based
on the augmented 50-week PUA availability.
Section C, Overpayment Activity (all activity EXCEPT Identity Theft) and
Administration
Column 16A Overpayment Recoveries. In column 16A, Amount, enter in line 301, the
total amount of all PUA recoveries collected for the reporting period. In line 302,
provide a sub-breakout of the amount of recoveries involving fraud. States must begin
including this information in subsequent ETA 902P report submissions.
Section D, Overpayment Activity Related to Identity (ID) Theft
Column 19, 20, and 21, ID Theft Overpayments Established. In column 19, Cases, line
401, enter the number of ID theft cases established, including willful misrepresentation
(fraud) determined during the report period as an ID theft overpayment. In line 402
provide a sub-breakout of the number of ID theft cases determined as ID theft fraud
cases. In column 20, Weeks, enter in line 401 the number of weeks of PUA overpaid in
connection with the ID theft cases reported in column 19; enter the number of weeks of
ID theft fraud overpayments included in line 402. In column 21, Amount, enter in line
401, the amount overpaid represented by ID theft cases reported in column 19. Provide a
sub-breakout of the amount involving ID theft fraud in line 402. Do not include
overpayments established as a result of failure to report issues where the claimant did not
respond or failed to provide sufficient information to verify identity.
Column 21A, ID Theft Overpayment Recoveries. In column 21A, Amount, enter in line
401, the total amount of all PUA ID theft recoveries collected for the reporting period.
Provide a sub-breakout of the amount of ID theft recoveries involving fraud in line 402.
Timeline for submitting new reporting components. Any ETA 902P report submitted
after the publication of this UIPL must include the additional components. For ETA
902P reports previously submitted for prior months, states may submit amended reports,
for each month, containing the following:
PUA overpayment recovery data in column 16A;
PUA ID Theft Overpayments Established data in columns 19, 20, and 21; and,
PUA ID theft overpayment recovery data in column 21A.
Alternatively, states have the option of including cumulative amounts for all prior
months, in the Comments section of the next ETA 902P report submission for:
PUA overpayment recoveries;
PUA ID theft overpayment Cases, Weeks, and Amount(s); and,
PUA ID theft overpayment recoveries.
Comments Section: Report the number of monetary redeterminations related to the
augmentation of PUA claims that do not meet the definition under ET Handbook No. 401
for an initial, additional or a transitional claim. Such counts should be reported in the
comments section of the ETA902P report and labeled “Monetary Redeterminations =
“#######””.
Refer to Attachment II of this UIPL for the revised report template and instructions about
this reporting.
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
Attachment II to UIPL No. 16-20 Change 4
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE ACTIVITIES
Section IV-4
A. Facsimile of Form ..................................................................................................................183
B. Purpose...................................................................................................................................185
C. Scope and Duration of the Report ..........................................................................................185
D. Due Date and Transmittal ......................................................................................................185
E. General Reporting Instructions ..............................................................................................185
F. Definitions..............................................................................................................................185
1. Effective Date of an Initial Application .........................................................................186
2. Eligible ........................................................................................................................ 186
3. Fraud ........................................................................................................................... 186
4. Identity (ID) Theft ....................................................................................................... 186
5. Identity Theft Overpayment (cases) Established ........................................................ 186
6. Overpayments (cases) Established .............................................................................. 186
G. Item by Item Instructions .......................................................................................................186
1. Report Period Ended186
2. State. ...............................................................................................................................186
3. Report Type ....................................................................................................................186
4. Section A. Application and Payment Activities .............................................................186
5. Section B. Denial and Appeals Activity ........................................................................187
6. Section C. Overpayment Activity and Administration .................................................187
7. Section D. Overpayment Activity Related to Identity (ID) Theft .................................187
H. Checking the Report ...........................................................................................................188
1. General Checks ..............................................................................................................188
2. Arithmetic Checks ..........................................................................................................188
3. Signature ........................................................................................................................188
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
A. Facsimile of Form
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
ACTIVITIES
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE ACTIVITIES (PUA)
STATE: REGION: REPORT FOR PERIOD ENDING:
SECTION A. APPLICATION AND PAYMENT ACTIVITIES
CATEGORY LINE INITIAL NO. FIRST WKS. WKS. AMOUNT FINAL
NO. APPS. DETERM. PAYMTS. CLAIMED COMP. COMP. PAYMTS.
ELIG.
1 2 3 4 5 6 18
Total 101
Self - Employed 102
SECTION B. DENIAL AND APPEALS ACTIVITY
CATEGORY LINE WKS.OF APPEALS APPEALS FAVOR OF
NO. PUA FILED DISPOSED APPELLANT
DENIED
STATE RA STATE RA STATE RA
7 8 9 10 11 12 13
Total 201
Self - Employed 202
SECTION C. OVERPAYMENT ACTIVITY (all activity EXCEPT Identity Theft) AND ADMINISTRATION
CATEGORY LINE OVERPAYMENTS OVERPAYMENT
NO. ESTABLISHED RECOVERIES
ADMINISTRATIVE COSTS
CASES WEEKS AMOUNT AMOUNT
14 15 16 16A 17
Total 301
Fraud 302
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
SECTION D. OVERPAYMENT ACTIVITY RELATED TO IDENTITY (ID) THEFT
CATEGORY LINE ID THEFT OVERPAYMENTS ID THEFT OVERPAYMENT
NO. ESTABLISHED RECOVERIES
CASES WEEKS AMOUNT AMOUNT
19 20 21 21A
Total 401
Fraud 402
Comments:
OMB No.: NA OMB Expiration Date: NA OMB Burden Minutes:
NA
OMB Burden Statement: 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 by this subtitle.” Therefore
these reporting instructions do not require additional OMB approval and the submission of
this information is required to obtain or retain benefits under the SSA 303(a)(6).
B. Purpose
The ETA 902P report contains monthly data on Pandemic Unemployment Assistance
(PUA) activities provided by the Coronavirus Aid, Relief, and Economic Security
(CARES) Act of 2020 (Pub. Law 116-136), enacted on March 27, 2020. PUA is a
temporary Federal program created under the CARES Act to provide relief for
workers affected by the coronavirus who do not qualify for other Federal benefits
such as regular unemployment insurance or extended benefits.
C. Scope and Duration of the Report
1. The first report shall be sent in the month following the date the state
agreement to participate in the PUA program, and later reports shall be sent
each month that PUA activity continues to occur, such as for payments
made for weeks in the pandemic assistance period (PAP) issued as a result
of appeals.
2. Reports should be submitted monthly through the end of the Pandemic
Assistance Period and until all payment and appeals activity is complete.
D. Due Date and Transmittal
Reports shall be submitted electronically each month providing PUA activities
performed during the preceding calendar month. Reports are due in the National
Office on the 30th of the month following the month to which data relate. South
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
Pacific Island jurisdictions must submit hardcopy reports, as there is no electronic
submittal method available to them at this time.
For South Pacific Island jurisdictions via email to [email protected]. If mailed, one
copy should be sent to the National Office addressed as follows:
U.S. Department of Labor, ETA
Attn: Pandemic Unemployment Assistance
Coordinator/Program Specialist
Division of Unemployment Insurance Operations
Frances Perkins Building
200 Constitution
Avenue, N.W.
Washington, D.C. 202l0
One copy should also be sent to the San Francisco ETA Regional Office.
E. General Reporting Instructions
1. In all instructions, reference to State UI (UC) claims will include UCFE,
UCX, TRA, RRA (Railroad), EB, and any other program included and/or
defined under 20
C.F.R. 625.2(d).
2. Self-employed applicants are those who have filed an initial request for PUA
and for whom it was determined that their primary reliance for income is on
their performance of services in their own business or farm. These individuals
include independent contractors, gig economy workers, and workers for certain
religious entities.
Payments of UI made to replace erroneously paid PUA should not be reported on the
ETA 902P, but should be reported on the appropriate UI reports, i.e., ETA 5159.
F. Definitions
1. Effective Date of an Initial Application. (updated) Refer to Section C.15
of this UIPL for information on effective dates of PUA claims.
2. Eligible. (updated) Meets qualifications for receiving Pandemic
Unemployment Assistance, as specified in Section 2102 of the CARES Act.
If an individual is eligible for UC, EB, and PEUC, such individual is not
eligible for PUA and should not be counted in any PUA Activities report.
3. Fraud. An overpayment for which material facts to the determination or
payment of a claim are found to be knowingly misrepresented or concealed
(i.e., willful misrepresentation) by the claimant in order to obtain benefits to
which the individual is not legally entitled. All states have definitions for
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
fraud and impose disqualifications for fraudulent misrepresentation to obtain
or increase benefits.
4. Identity (ID) Theft. The crime of obtaining and using the personal or
financial information of another individual to file or attempt to file a claim
for UI benefits.
5. Identity Theft Overpayment (cases) Established. Any single issue involving
an ID theft overpayment that has been determined for a claimant within a
single calendar month and for which: 1) a formal notice of determination
has been issued, or 2) a formal notice of determination has not been issued,
since ownership of the ID theft overpayment has not been assigned, due to a
state’s inability to identify the individual responsible for generating the ID
theft overpayment. An ID theft overpayment that covers one or more weeks
(or partial weeks) of benefits shall be counted as one ID theft case if all
weeks of ID theft overpayments are included in the same notice of
determination. An ID theft overpayment covering consecutive weeks of
benefits that span two months should be reported for the month in which the
notice of determination is issued, or if no notice of determination is issued,
report when the investigation reaches conclusion. This does not include
overpayments established as a result of failure to report issues where the
claimant did not respond or failed to provide sufficient information to verify
identity.
6. Overpayments (cases) Established. Any single issue involving an
overpayment that has been determined for a claimant within a single
calendar month and for which a formal notice of determination has been
issued. An overpayment that covers one or more weeks (or partial weeks)
of benefits shall be counted as one case if all weeks of overpayments are
included in the same notice of determination. An overpayment covering
consecutive weeks of benefits that span two months should be reported for
the month in which the notice of determination is issued. Overpayments
Established includes all overpayment EXCEPT those involving identity
theft. An overpayment should be reported here if such overpayment is
established as a result of failure to report issues where the claimant did not
respond or failed to provide sufficient information to verify identity.
G. Item by Item Instructions
1. Report Period Ended. Enter the month, last day of the month, and four digit
year to which the data relate; e.g., 01/31/2020.
2. State. Enter the two-letter Federal Information Processing Standards (FIPS)
State Alpha Code (identical to the two-letter U.S. Postal Service
abbreviation) of the state or South Pacific Island jurisdiction as it appears in
FIPS Publication 5-2. The National Institute of Standards and Technology
issued the FIPS publication on May 28, 1987.
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
3. Section A. Application and Payment Activities.
a. Column 1, Initial Applications. Enter the number of initial applications for
PUA taken during the report period. This will equal the number of initial
applications that were completed and/or number of applications entered
into an automated system through an electronic/telephone claims taking
system during the report period. Do not include individuals eligible for UC
where it may have been necessary, due to the filing environment, to accept
initial claims for both programs.
b. Column 2, Number Determined Eligible. Enter the number of individuals
determined eligible for PUA during the report period. Do not include
individuals eligible for UC where it may have been necessary, due to the
filing environment, to accept initial claims for both programs.
c. Column 3, First Payments. Enter the number of payments which represent,
for any individual, the first week for which assistance is paid in the
pandemic assistance period.
d. Column 4, Weeks Claimed. Enter the total number of weeks for which
PUA is claimed during the report period whether or not PUA is actually
paid. If claims are filed weekly, the number of weeks will equal the number
of weekly received during the report period. If claims are filed other than
weekly claims, the number of weeks will equal the number of weeks during
the report period.
e. Column 5, Weeks Compensated. Enter the number of weeks of
unemployment for which PUA was paid during the report period. A week
of unemployment compensated is any week of unemployment for which
PUA funds are paid, regardless of amount.
f. Column 6, Amount Compensated. Enter the amount of PUA funds
represented by the weeks reported in column 5.
g. Column 18, Final Payments. Enter the number of final payments made to
claimants for PUA. A final payment for PUA is defined as the last PUA
payment a claimant receives during the pandemic assistance period
because the claimant has exhausted their entitlement to the program.
Excluded from the definition is the last payment to an individual if, but for
the end of the pandemic assistance period, the individual would otherwise
be entitled to further PUA benefits.
4. Section B. Denial and Appeals Activity.
a. Column 7, Weeks of PUA Denied. Enter the number of weeks of
unemployment where a PUA payment was denied for which an individual,
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
except for the reason of the denial, would have been eligible to receive a
PUA payment.
NOTE: For columns 8 through 13, the entries refer to the number of cases
received or disposed of during the report period by authority (i.e., first
level state appeals authority and the second level state higher authority).
All cases, including cases disposed of before reaching the appeals
authority, should be included. Definitions of case, authority, disposal, etc.,
are those developed for the PUA program where found or, when these do
not exist, are those used in the state UI program.
b. Columns 8 and 9, Appeals Filed. In columns 8 and 9, distribute, by type of
authority, the appeal cases or requests for review received during the
month. In addition, provide a sub-breakout of the Total for self-employed
individuals in line 202.
c. Columns 10 and 11, Appeals Disposed. Enter in columns 10 and 11 the
total number of cases disposed during the month by authority level. In line
202, provide the number of cases disposed of involving self-employed
individuals.
d. Columns 12 and 13, Favor of Appellant. Enter in columns 12 and 13 the
number of appeal decisions included in columns 10 and 11, which were in
favor of the appellant by authority level. In line 202 enter a breakout of
self-employed individuals who appealed and had the decision in their
favor.
5. Section C. Overpayment Activity and Administration (all activity EXCEPT
for Identity Theft).
a. Columns 14, 15, and 16, Overpayments Established. In column 14, Cases,
line 301, enter the number of cases established, including willful
misrepresentation (fraud) determined during the report period as an
overpayment. In line 302 provide a sub-breakout of the number of cases
determined as fraud cases. In column 15, Weeks, enter in line 301 the
number of weeks of PUA overpaid in connection with the cases reported
in column 14; enter the number of weeks of fraud overpayments included
in line 302 In column 16, Amount, enter in line 301, the amount overpaid
represented by cases reported in column 14. Provide a sub-breakout of
the amount involving fraud in line 302.
b. Column 16A Overpayment Recoveries. In column 16A, Amount, enter in
line 301, the total amount of all PUA recoveries collected for the reporting
period. Provide a sub-breakout of the amount of recoveries involving
fraud in line 302.
c. Columns 17, Administrative Costs. This data cell will self-populate and
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
reflect computed administrative costs based on workload items reported in
Section A. and Section B. above. Minute per unit factors reflected in the
annual UIPL advisory communicating target allocations for base
administrative grants and staff year usage information from the UI-1 report
will be used to compute staffing levels needed to process the initial claims
(line 101 column 1), weeks claimed (line 101 column 4) and appeals
disposed (line 201 column 10) workload. Staff salary rates will reflect the
rates used for quarterly above base computations. Staffing costs will be
increased by the applicable factor to account for leave, and resulting costs
will be increased by 19% to account for overhead.
Time factors and staff salary rates necessary for the computations of
administrative costs described above for Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, the Federated States of
Micronesia, the Republic of the Marshall Islands, and the Republic of Palau
will be communicated to each territory separately.
6. Section D. Overpayment Activity Related to Identity (ID) Theft.
a. Columns 19, 20, and 21 ID Theft Overpayments Established. In column 19,
Cases, line 401, enter the number of ID theft cases established, including
willful misrepresentation (fraud) determined during the report period as an ID
theft overpayment. In line 402 provide a sub-breakout of the number of ID theft
cases determined as ID theft fraud cases. In column 20, Weeks, enter in line
401 the number of weeks of PUA overpaid in connection with the ID theft
cases reported in column 19; enter the number of weeks of ID theft fraud
overpayments included in line 402. In column 21, Amount, enter in line 401,
the amount overpaid represented by ID theft cases reported in column 19.
Provide a sub-breakout of the amount involving ID theft fraud in line 402.
b. Column 21A ID Theft Overpayment Recoveries. In column 21A, Amount,
enter in line 401, the total amount of all PUA ID theft recoveries collected for
the reporting period. Provide a sub-breakout of the amount of ID theft
recoveries involving fraud in line 402.
H. Checking the Report
1. General Checks. Entries should be made for all required items. If the item is
inapplicable, or if applicable but no activity corresponding to the items
occurred during the report period, a zero should be entered. A report
containing missing data cannot be sent to the National Office, but can be
stored on the state’s system.
2. Arithmetic Checks.
a. For columns 1, 2, and 8 through 13, the entries in line 102 and 202
respectively, should be equal to or less than the entries in line 101 or
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
201.
b. For columns 14 through 16A, the entries in line 302 should be equal to or
less than line 301.
c. For columns 19 through 21A, the entries in line 402 should be equal to or less
than line 401.
3. Signature. Signature is only required if reports are sent manually to the
National Office.
Attachment III to UIPL No. 16-20 Change 4
Processing PUA Claims Based on the Claim Filing Date
SCENARIO 1 SCENARIO 2 SCENARIO 3 SCENARIO 4
Claim filed on or before Claim filed after Claim filed on or after Claim filed on or after
December 27, 2020 December 27, 2020 and January 1, 2021 and January 31, 2021
on or before December before January 31, 2021
31, 2020
Pandemic Assistance January 27, 2020 through January 27, 2020 through January 27, 2020 through January 27, 2020 through
Period April 10, 2021 (April 11, April 10, 2021 (April 11, April 10, 2021 (April 11, April 10, 2021 (April 11,
2021 for states with a 2021 for states with a 2021 for states with a 2021 for states with a
Sunday week ending date) Sunday week ending date) Sunday week ending date) Sunday week ending date)
Last week payable for March 13, 2021 (unless March 13, 2021 (unless March 13, 2021 (unless March 13, 2021 (unless
states with a Saturday individual qualifies for the individual qualifies for the individual qualifies for the individual qualifies for the
week ending date phaseout period) phaseout period) phaseout period) phaseout period)
Earliest possible claim February 2, 2020 December 6, 2020 December 6, 2020 December 6, 2020
effective date1
Wages considered for Calendar Year (CY) 2019 CY 2019 If claim is effective on or If claim is effective on or
calculating the weekly after January 1, 2021 (i.e., after January 1, 2021 (i.e.,
benefit amount (WBA) claim effective January 3, claim effective January 3,
2021 or later for states 2021 or later for states
with a Saturday week with a Saturday week
ending date), then CY ending date), then CY
2020 2020
If claim is effective before If claim is effective before
January 1, 2021, then CY January 1, 2021, then CY
2019 2019
1
The claim must be backdated to the first week during the Pandemic Assistance Period that the individual was unemployed, partially unemployed, or unable or unavailable to
work because of a COVID-19 related reason listed in section 2102(a)(3)(A)(ii)(i) of the CARES Act.
SCENARIO 1 SCENARIO 2 SCENARIO 3 SCENARIO 4
Claim filed on or before Claim filed after Claim filed on or after Claim filed on or after
December 27, 2020 December 27, 2020 and January 1, 2021 and January 31, 2021
on or before December before January 31, 2021
31, 2020
Guidance for UIPL No. 03-20 UIPL No. 03-20 UIPL No. 03-20 UIPL No. 03-20
determining the state’s
minimum PUA WBA
Duration of benefits2 39 weeks + 11 weeks 50 weeks 50 weeks 50 weeks
which may only be
collected for weeks of
unemployment ending on
or after January 2, 2021
Requirement to submit Yes, if the individual Yes, if the individual Yes, if the individual Yes, documentation is due
documentation receives a payment of PUA receives a payment of PUA receives a payment of PUA within 21 days of the
substantiating on or after December 27, on or after December 27, on or after December 27, initial application or when
employment or self- 2020 (regardless of which 2020 (regardless of which 2020 (regardless of which directed by the State
employment week ending date is being week ending date is being week ending date is being Agency (whichever is
paid), documentation is paid), documentation is paid), documentation is later).
due within 90 days of the due within 90 days of the due within 90 days of the
application or when application or when application or when
directed by the State directed by the State directed by the State
Agency (whichever is Agency (whichever is Agency (whichever is
later). later). later).
2
Duration must subtract any weeks of regular unemployment compensation (UC) or Extended Benefits (EB) received during the Pandemic Assistance Period. Additionally, if a
state is in a High Unemployment Period, the individual’s account is to be augmented by up to 7 weeks as discussed in section C.17 of attachment I to this UIPL.
SCENARIO 1 SCENARIO 2 SCENARIO 3 SCENARIO 4
Claim filed on or before Claim filed after Claim filed on or after Claim filed on or after
December 27, 2020 December 27, 2020 and January 1, 2021 and January 31, 2021
on or before December before January 31, 2021
31, 2020
Documentation CY 2019 to date of filing CY 2019 to date of filing If claim is effective on or If claim is effective on or
substantiating after January 1, 2021 (i.e., after January 1, 2021(i.e.,
employment or self- claim effective January 3, claim effective January 3,
employment must 2021 or later for states 2021 or later for states
represent activity during with a Saturday week with a Saturday week
this time period ending date), then CY ending date), then CY
2020 to date of filing 2020 to date of filing
If claim is effective before If claim is effective before
January 1, 2021, then CY January 1, 20201, then CY
2019 to date of filing 2019 to date of filing
If documentation is not Any paid weeks of Any paid weeks of Any paid weeks of Any paid weeks of
provided within the unemployment ending on unemployment ending on unemployment ending on unemployment ending on
required timeframe, or after January 2, 2021 or after January 2, 2021 or after January 2, 2021 or after January 2, 2021
these weeks must be
established as an
overpayment
Attachment IV to UIPL No. 16-20 Change 4
TITLE II-ASSISTANCE TO INDIVIDUALS, FAMILIES, AND BUSINESSES
Subtitle A-Unemployment Insurance
CHAPTER I-CONTINUED ASSISTANCE TO UNEMPLOYED WORKERS
The following Sections are relevant to the Pandemic Unemployment Assistance program.
Subchapter I-Extension of CARES Act Unemployment Provisions
SEC. 201. EXTENSION AND BENEFIT PHASEOUT RULE FOR PANDEMIC
UNEMPLOYMENT ASSISTANCE.
IN GENERAL.-Section 2102(c) of the CARES Act (15 U.S.C. 9021(c)) is amended-
(1) in paragraph (1)-
(A) by striking "paragraph (2)" and inserting "paragraphs (2) and (3)"; and
(B) in subparagraph (A)(ii), by striking "December 31, 2020" and inserting
"March 14, 2021"; and
(2) by redesignating paragraph (3) as paragraph (4); and
(3) by inserting after paragraph (2) the following:
"(3) TRANSITION RULE FOR INDIVIDUALS REMAINING ENTITLED TO
PANDEMIC UNEMPLOYMENT ASSISTANCE AS OF MARCH 14, 2021.-
"(A) IN GENERAL.-Subject to subparagraph (B), in the case of any individual who, as of
the date specified in paragraph (l)(A)(ii), is receiving pandemic unemployment assistance
but has not yet exhausted all rights to such assistance under this section, pandemic
unemployment assistance shall continue to be payable to such individual for any week
beginning on or after such date for which the individual is otherwise eligible for pandemic
unemployment assistance.
"(B) TERMINATION.- Notwithstanding any other provision of this subsection, no
pandemic unemployment assistance shall be payable for any week beginning after April 5,
2021.".
(b) INCREASE IN NUMBER OF WEEKS.-Section 2102(c)(2) of the CARES Act (15
U.S.C. 9021(c)(2)) is amended-
(1) by striking "39 weeks" and inserting "50 weeks; and
(2) by striking "39-week period " and inserting "50-week period".
(c) APPEALS.-
(1) IN GENERAL.-Section 2102(c) of the CARES Act (15 U.S.C. 9021(c)), as
amended by subsections (a) and (b), is amended by adding at the end the following:
"(5) APPEALS BY AN INDIVIDUAL.-
"(A) IN GENERAL.-An individual may appeal any determination or
redetermination regarding the rights to pandemic unemployment assistance
under this section made by the State agency of any of the States.
"(B) PROCEDURE.-All levels of appeal filed under this paragraph in the 50
states, the District of Columbia, the Commonwealth of Puerto Rico, and the
Virgin Islands-
"(i) shall be carried out by the applicable State that made the
determination or redetermination; and
"(ii) shall be conducted in the same manner and to the same extent as
the applicable State would con- duct appeals of determinations or
redeterminations regarding rights to regular compensation under
State law.
"(C) PROCEDURE FOR CERTAIN TERRITORIES.-With respect to any
appeal filed in Guam, American Samoa, the Commonwealth of the Northern
Mariana Islands, the Federated States of Micronesia, Republic of the
Marshall Islands, and the Republic of Palau-
"(i) lower level appeals shall be carried out by the applicable entity
within the State;
"(ii) if a higher level appeal is allowed by the State, the higher level
appeal shall be carried out by the applicability entity within the
State; and
"(iii) appeals described in clauses (i) and (ii) shall be conducted in
the same manner and to the same extent as appeals of regular
unemployment compensation are conducted under the
unemployment compensation law of Hawaii.".
(2) EFFECTIVE DATE.-The amendment made by paragraph (1) shall take
effect as if enacted as part of division A of the CARES Act (Public Law
116-136), except that any decision issued on appeal or review before the
date of enactment of this Act shall not be affected by the amendment made
by paragraph (1).
(d) WAIVER AUTHORITY FOR CERTAIN OVERPAYMENTS OF PANDEMIC
UNEMPLOYMENT ASSISTANCE.-Section 2102(d) of the CARES Act (15 U.S.C.
9021(d)) is amended by adding at the end the following:
"(4) WAIVER AUTHORITY.-ln the case of individuals who have received
amounts of pandemic unemployment assistance to which they were not entitled, the
State shall require such individuals to repay the amounts of such pandemic
unemployment assistance to the State agency, except that the State agency may
waive such repayment if it determines that-
"(A) the payment of such pandemic unemployment assistance was without
fault on the part of any such individual; and
"(B) such repayment would be contrary to equity and good conscience.".
(e) HOLD HARMLESS FOR PROPER ADMINISTRATION.-ln the case of an individual
who is eligible to receive pandemic unemployment assistance under section 2102 the
CARES Act (15 U.S.C. 9021) as of the day before the date of enactment of this Act and on
the date of enactment of this Act becomes eligible for pandemic emergency unemployment
compensation under section 2107 of the CARES Act (15 U.S.C. 9025) by reason of the
amendments made by section 206(b) of this subtitle, any payment of pandemic
unemployment assistance under such section 2102 made after the date of enactment of this
Act to such individual during an appropriate period of time, as determined by the Secretary
of Labor, that should have been made under such section 2107 shall not be considered to
be an overpayment of assistance under such section 2102, except that an individual may
not receive payment for assistance under section 2102 and a payment for assistance under
section 2107 for the same week of unemployment.
(f) LIMITATION.-ln the case of a covered individual whose first application for pandemic
unemployment assistance under section 2102 of the CARES Act (15 U.S.C. 9021) is filed
after the date of enactment of this Act, subsection (c)(l)(A)(i) of such section 2102 shall be
applied by substituting "December 1, 2020" for "January 27, 2020".
(g) EFFECTIVE DATE.-The amendments made by subsections (a), (b), (c), and (d) shall
apply as if included in the enactment of the CARES Act (Public Law 116-136), except that
no amount shall be payable by virtue of such amendments with respect to any week of
unemployment commencing before the date of the enactment of this Act.
SEC. 203. EXTENSION OF FEDERAL PANDEMIC UNEMPLOYMENT
COMPENSATION.
(a) IN GENERAL.-Section 2104(e) of the CARES Act (15 U.S.C. 9023(e)) is amended to
read as follows:
"(e) APPLICABILITY.-An agreement entered into under this section shall apply-
(1) to weeks of unemployment beginning after the date on which such
agreement is entered into and ending on or before July 31, 2020; and
"(2) to weeks of unemployment beginning after December 26, 2020 (or , if
later, the date on which such agreement is entered into), and ending on or
before March 14, 2021.".
(b) AMOUNT.-
(1) IN GENERAL.-Section 2104(b) of the CARES Act (15 U.S.C. 9023(b)) is
amended-
(A) in paragraph (l)(B), by striking "of $600" and inserting "equal to the
amount specified in paragraph (3)"; and
(B) by adding at the end the following new paragraph:
"(3) AMOUNT OF FEDERAL PANDEMIC UNEMPLOYMENT
COMPENSATION.-
"(A) IN GENERAL.- The amount specified in this paragraph is the
following amount:
"(i) For weeks of unemployment beginning after the date on which
an agreement is entered into under this section and ending on or
before July 31, 2020, $600.
"(ii) For weeks of unemployment beginning after December 26,
2020 (or, if later, the date on which such agreement is entered into),
and ending on or before March 14, 2021, $300.".
(2) TECHNICAL AMENDMENT REGARDING APPLICATION TO SHORT-
TIME COMPENSATION PROGRAMS AND AGREEMENTS.-Section 2104(i)(2)
of the CARES Act (15 U.S.C. 9023(i)(2)l is amended-
(A) in subparagraph (Cl, by striking "and" at the end;
(B) in subparagraph (D), by striking the period at the end and inserting";
and"; and
(C) by adding at the end the following:
"(E) short-time compensation under a short-time compensation program (as
defined in section 3306(v) of the Internal Revenue Code of 1986).".
SEC. 206. EXTENSION AND BENEFIT PHASEOUT RULE FOR PANDEMIC
EMERGENCY UNEMPLOYMENT COMPENSATION.
(a) IN GENERAL.-Section 2107(g) of the CARES Act (15 U.S.C. 9025(g)) is amended to
read as follows:
"(g) APPLICABILITY.-
"(1) IN GENERAL.-Except as provided in paragraphs (2) and (3), an
agreement entered into under this section shall apply to weeks of
unemployment-
"(A) beginning after the date on which such agreement is entered
into; and
"(B) ending on or before March 14, 2021.
"(2) TRANSITION RULE FOR INDIVIDUALS REMAINING
ENTITLED TO PANDEMIC EMERGENCY UNEMPLOYMENT
COMPENSATION AS OF MARCH 14, 2021.-ln the case of any individual
who, as of the date specified in paragraph (l)(B), is receiving Pandemic
Emergency Unemployment Compensation but has not yet exhausted all
rights to such assistance under this section, Pandemic Emergency
Unemployment Compensation shall continue to be payable to such
individual for any week beginning on or after such date for which the
individual is otherwise eligible for Pandemic Emergency Unemployment
Compensation.
"(3) TERMINATION.-Notwithstanding any other provision of this
subsection, no Pandemic Emergency Unemployment Compensation shall be
payable for any week beginning after April 5, 2021.".
(b) INCREASE IN NUMBER OF WEEKS.-Section 2107(b)(2) of the CARES Act (15
U.S.C. 9025(b)(2)) is amended by striking "13" and inserting "24".
(c) COORDINATION RULES.-
(1) COORDINATION OF PANDEMIC EMERGENCY UNEMPLOYMENT
COMPENSATION WITH REGULAR COMPENSATION.-Section 2107(b) of the
CARES Act (15 U.S.C. 9025(b)) is amended by adding at the end the following:
"(4) COORDINATION OF PANDEMIC EMERGENCY UNEMPLOYMENT
COMPENSATION WITH REGULAR COMPENSATION.-
"(A) IN GENERAL.-If-
"(i) an individual has been determined to be entitled to pandemic
emergency unemployment compensation with respect to a benefit
year;
"(ii) that benefit year has expired;
"(iii) that individual has remaining entitlement to pandemic
emergency unemployment compensation with respect to that benefit
year; and
"(iv) that individual would qualify for a new benefit year in which
the weekly benefit amount of regular compensation is at least $25
less than the individual's weekly benefit amount in the benefit year
referred to in clause (i), then the State shall determine eligibility for
compensation as provided in subparagraph (B).
"(B) DETERMINATION OF ELIGIBILITY.-For individuals described in
subparagraph (A), the State shall determine whether the individual is to be
paid pandemic emergency unemployment compensation or regular
compensation for a week of unemployment using one of the following
methods:
"(i) The State shall, if permitted by State law, establish a new benefit
year, but defer the payment of regular compensation with respect to
that new benefit year until exhaustion of all pandemic emergency
unemployment compensation payable with respect to the benefit
year referred to in subparagraph (A)(i).
"(ii) The State shall, if permitted by State law, defer the
establishment of a new benefit year (which uses all the wages and
employment which would have been used to establish a benefit year
but for the application of this subparagraph), until exhaustion of all
pandemic emergency unemployment compensation payable with
respect to the benefit year referred to in subparagraph (A)(i).
"(iii) The State shall pay, if permitted by State law-
"(I) regular compensation equal to the weekly benefit amount
established under the new benefit year; and
"(II) pandemic emergency unemployment compensation
equal to the difference between that weekly benefit amount
and the weekly benefit amount for the expired benefit year.
"(iv) The State shall determine rights to pandemic emergency
unemployment compensation without regard to any rights to regular
compensation if the individual elects to not file a claim for regular
compensation under the new benefit year.".
(2) COORDINATION OF PANDEMIC EMERGENCY UNEMPLOYMENT
COMPENSATION WITH EXTENDED COMPENSATION.-
(A) INDIVIDUALS RECEIVING EXTENDED COMPENSATION AS OF THE
DATE OF ENACTMENT.- Section 2107(a)(5) of the CARES Act (15 U.S.C.
9025(a)(5)) is amended-
(i) by striking "RULE.-An agreement" and inserting the following:
"RULES.-
"(A) IN GENERAL.-Subject to subparagraph (B), an agreement";
and
(ii) by adding at the end the following:
"(B) SPECIAL RULE.-ln the case of an individual who is receiving
extended compensation under the State law for the week that
includes the date of enactment of this subparagraph (without regard
to the amendments made by subsections (a) and (b) of section 206 of
the Continued Assistance for Unemployed Workers Act of 2020),
such individual shall not be eligible to receive pandemic emergency
unemployment compensation by reason of such amendments until
such individual has exhausted all rights to such extended
benefits.".
(B) ELIGIBILITY FOR EXTENDED COMPENSATION.- Section
2107(a) of the CARES Act (15 U.S.C. 9025(a)) is amended by
adding at the end the following:
"(8) SPECIAL RULE FOR EXTENDED COMPENSATION.-At the
option of a State, for any weeks of unemployment beginning after
the date of the enactment of this paragraph and before April 12,
2021, an individual's eligibility period (as described in section
203(c) of the Federal-State Extended Unemployment Compensation
Act of 1970 (26 U.S.C. 3304 note)) shall, for purposes of any
determination of eligibility for extended compensation under the
State law of such State, be considered to include any week which
begins-
"(A) after the date as of which such individual exhausts all rights to
pandemic emergency unemployment compensation; and
"(B) during an extended benefit period that began on or before the
date described in subparagraph (A).".
(d) EFFECTIVE DATE.-
(1) IN GENERAL.-Except as provided in paragraph (2), the amendments made by
this section shall apply as if included in the enactment of the CARES Act (Public
Law 116-136), except that no amount shall be payable by virtue of such
amendments with respect to any week of unemployment commencing before the
date of the enactment of this Act.
(2) COORDINATION RULES .- The amendments made by subsection (c)(l) hall
apply to individuals whose benefit years, as described in section 2107(b)(4)(A)(ii)
of the CARES Act, expire after the date of enactment of this Act.
Subchapter IV-Improvements to Pandemic Unemployment Assistance to
Strengthen Program Integrity
SEC. 241. REQUIREMENT TO SUBSTANTIATE EMPLOYMENT OR
SELF-EMPLOYMENT AND WAGES EARNED OR PAID TO CONFIRM
ELIGIBILITY FOR PANDEMIC UNEMPLOYMENT ASSISTANCE.
(a) IN GENERAL.-Section 2102(a)(3)(A) of the CARES Act (15 U.S.C. 9021(a)(3)(A)) is
amended-
(1) in clause (i), by striking "and" at the end;
(2) by inserting after clause (ii) the following:
"(iii) provides documentation to substantiate employment or self-
employment or the planned commencement of employment or self-
employment not later than 21 days after the later of the date on which the
individual submits an application for pandemic unemployment assistance
under this section or the date on which an individual is directed by the State
Agency to submit such documentation in accordance with section
625.6(e) of title 20, Code of Federal Regulations, or any successor
thereto, except that such deadline may be extended if the individual
has shown good cause under applicable State law for failing to
submit such documentation; and".
(b) APPLICABILITY.—
(1) IN GENERAL.—Subject to paragraphs (2) and (3), the amendments made by
subsection (a) shall apply to any individual who files a new application for
pandemic unemployment assistance or claims pandemic unemployment assistance
for any week of unemployment under section 2102 of the CARES Act (15 U.S.C.
9021) on or after January 31, 2021.
(2) SPECIAL RULE.—An individual who received pandemic unemployment
assistance under section 2102 of the CARES Act (15 U.S.C. 9021) for any week
ending before the date of enactment of this Act shall not be considered ineligible
for such assistance for such week solely by reason of failure to submit
documentation described in clause (iii) of subsection (a)(3)(A) of such section
2102, as added by subsection (a).
(3) PRIOR APPLICANTS.—With respect to an individual who applied for
pandemic unemployment assistance under section 2102 of the CARES Act (15
U.S.C. 9021) before January 31, 2021, and receives such assistance on or after the
date of enactment of this Act, clause (iii) of subsection (a)(3)(A) of such section
shall be applied by substituting ‘‘90 days’’ for ‘‘21 days’’.
SEC. 242. REQUIREMENT FOR STATES TO VERIFY IDENTITY OF
APPLICANTS FOR PANDEMIC UNEMPLOYMENT ASSISTANCE.
(a) IN GENERAL.—Section 2102(f) of the CARES Act (15 U.S.C. 9021(f)) is amended—
(1) in paragraph (1), by inserting ‘‘, including procedures for identity verification or
validation and for timely payment, to the extent reasonable and practicable’’ before
the period at the end; and
(2) in paragraph (2)(B), by inserting ‘‘and expenses related to identity verification
or validation and timely and accurate payment’’ before the period at the end.
(b) APPLICABILITY.—The requirements imposed by the amendments made by this
section shall apply, with respect to agreements made under section 2102 of the CARES
Act, beginning on the date that is 30 days after the date of enactment of this Act.
SEC. 263. CONTINUING ELIGIBILITY FOR CERTAIN RECIPIENTS OF
PANDEMIC UNEMPLOYMENT ASSISTANCE.
(a) IN GENERAL.—Section 2102(c) of the CARES Act (15 U.S.C. 9021(c)), as amended
by section 201, is further amended by adding at the end the following:
‘‘(6) CONTINUED ELIGIBILITY FOR ASSISTANCE.—As a condition of
continued eligibility for assistance under this section, a covered individual shall
submit a recertification to the State for each week after the individual’s 1st week of
eligibility that certifies that the individual remains an individual described in
subsection (a)(3)(A)(ii) for such week.’’.
(b) EFFECTIVE DATE; SPECIAL RULE.—
(1) IN GENERAL.—The amendment made by subsection (a) shall apply with
respect to weeks beginning on or after the date that is 30 days after the date of
enactment of this section.
(2) SPECIAL RULE.—In the case of any State that made a good faith effort to
implement section 2102 of division A of the CARES Act (15 U.S.C. 9021) in
accordance with rules similar to those provided in section 625.6 of title 20, Code of
Federal Regulations, for weeks ending before the effective date specified in
paragraph (1), an individual who received Pandemic unemployment assistance from
such State for any such week shall not be considered ineligible for such assistance
for such week solely by reason of failure to submit a recertification described in
subsection (c)(5) of such section 2102.
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