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Updated Pandemic Unemployment Assistance operations and reporting
Summary ETA gave state unemployment agencies further instructions for processing Pandemic Unemployment Assistance claims, including added eligibility reasons, application dates and claims involving more than one state. It also addressed activity after the program expired, retroactive self-certifications and overpayment waiver reporting. Five attachments provide detailed eligibility, operations and reporting instructions for this historical pandemic program.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 16-20, Change 6
Date issued
September 3, 2021
Status
Active
ETA’s listing marks this change Active, and its PDF prints “Rescissions: None” and “Expiration Date: Continuing.” The PUA program and implementation dates discussed in the letter are historical.
Status last verified October 24, 2026
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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
September 3, 2021
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 16-20,
Change 6
TO: STATE WORKFORCE AGENCIES
FROM: LENITA JACOBS-SIMMONS
Acting Assistant Secretary
SUBJECT: Pandemic Unemployment Assistance (PUA) Program: Updated Operating
Instructions and Reporting Changes
1. Purpose. To provide states with additional operating instructions in processing PUA claims
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 to implement these changes to
the PUA program.
3. Summary and Background.
a. Summary – This guidance provides: (1) additional instructions to states in processing the
expanded eligibility provisions as described in UIPL No. 16-20, Change 5, published
February 25, 2021; (2) guidance on establishing the correct effective date for PUA
applications; (3) instructions for handling claims for individuals who are eligible for PUA
in multiple states and the state in which they are filing has terminated participation in the
program before the program expiration date; (4) guidance for states regarding additional
PUA activity after the program expires; (5) an overview of how the Department will
assess if a state made a “good faith effort” to implement the PUA program for purposes
of states requesting that individuals submit retroactive self-certification declarations; (6)
updated reporting requirements to include overpayment waivers on the ETA 902P report.
The Department acknowledges that states need time to implement the provisions of this
UIPL. States are expected to implement the expanded eligibility provisions (see UIPL
No. 16-20, Change 5, and Section 4.a. of this UIPL) – if they have not already done so –
and to implement the provisions regarding individuals who are eligible for PUA in
RESCISSIONS EXPIRATION DATE
None Continuing
multiple states (see Section 4.c. of this UIPL) no later than December 31, 2021. States
are expected to implement the additional reporting requirements (see Section 4.f. and
Attachment IV of this UIPL) no later than March 31, 2022. States that need additional
time to implement these provisions should work with their appropriate ETA Regional
Office.
In addition to the $250,000 provided to states in UIPL No. 09-21 and $100,000 provided
to states in UIPL No. 16-20, Change 5, states may seek additional funding of up to
$100,000 to cover the costs of implementing provisions in this UIPL. States must submit
the required request for funding (SF-424) electronically to [email protected], with a
copy to the appropriate ETA Regional Office by October 4, 2021.
The Department published UIPL No. 14-21 on March 15, 2021, which explains the
program changes included with enactment of the American Rescue Plan Act of 2021
(ARPA) (Public Law (Pub. L.) 117-2). The Department published UIPL No. 20-21 on
May 5, 2021, which describes parameters under which a state may waive recovery of
PUA overpayments and includes limited circumstances under which a state may process
“blanket waivers” of PUA overpayments. Additionally, the Department published UIPL
No. 14-21, Change 1, on July 12, 2021, which provides states with instructions for
processing PUA claims after the date of termination or expiration of the PUA program.
All other PUA program parameters, as provided in Section 2102 of the Coronavirus Aid,
Relief, and Economic Security (CARES) Act of 2020, (Pub. L. 116-136), PUA
agreements, and UIPL Nos. 16-20, Changes 1-5 remain the same unless otherwise noted
in this UIPL.
Attachment I provides a list of all acceptable COVID-19 related reasons to which an
individual may self-certify eligibility that they are unemployed, partially unemployed, or
unable or unavailable to work. This includes the COVID-19 related reasons from Section
2102(a)(3)(A)(ii)(I)(aa)-(jj) of the CARES Act and the additional reasons authorized by
the Secretary of Labor (Secretary) under the provisions of Section
2102(a)(3)(A)(ii)(I)(kk) of the CARES Act. Attachment II provides questions and
answers regarding additional PUA activity after the program expires. Attachment III
elaborates on Section C.7. of Attachment I to UIPL No. 16-20, Change 4, to provide
information on how ETA will assess whether a state made a good faith effort to
implement the PUA program. Attachment IV provides Handbook 401 Instructions for
ETA 902 Pandemic Unemployment Assistance. Attachment V provides instructions for
completing the SF-424.
b. Background – The CARES Act includes the Relief for Workers Affected by Coronavirus
Act set out in Title II, Subtitle A. Section 2102 of the CARES Act created a new,
temporary federal program called PUA and provided states with administrative funding
to operate the program through an agreement with the Department.
In general, PUA provides unemployment benefits to individuals who are: 1) not eligible
for regular unemployment compensation (UC), Pandemic Emergency Unemployment
Compensation (PEUC), or Extended Benefits (EB), including those who have exhausted
all rights to such benefits, and those who are self-employed, seeking part-time
employment, do not have sufficient wage history, or otherwise would not qualify for
regular UC, PEUC, or EB; and 2) are otherwise able to work and available for work
within the meaning of applicable state law, except that the individual is unemployed,
partially unemployed, or unable or unavailable to work due to a specific COVID-19
related reason identified in Section 2102(a)(3)(A)(ii)(I)(aa)-(kk) of the CARES Act. Any
weeks of benefits previously received under the regular UC or EB programs starting with
week ending February 8, 2020 (February 9, 2020, for states with a Sunday week ending
date) are deducted from the individual’s PUA entitlement (see Section C.17. of
Attachment I to UIPL No. 16-20, Change 4). States are reminded that PUA is 100
percent federally-funded and states may not charge employers for these benefits.
The CARES Act authorized the Secretary to establish COVID-19 related reasons for
which an individual may be eligible for PUA in addition to those specific COVID-19
related reasons listed in items (aa)-(jj) of Section 2102(a)(3)(A)(ii)(I) of the CARES Act.
The Secretary provided one additional reason described in Section C.1.k. of Attachment I
to UIPL No. 16-20 published on April 5, 2020. (See also Section 4.b. of UIPL No. 16-
20, Change 2, published on July 21, 2020.) The Department added three more COVID-
19 related reasons with the publication of UIPL No. 16-20, Change 5, on February 25,
2021.
The Consolidated Appropriations Act, 2021 (Pub. L. 116-260), enacted on December 27,
2020, included the Continued Assistance for Unemployed Workers Act of 2020
(Continued Assistance Act) in Division N, Title II, Subtitle A. The Continued Assistance
Act extended the PUA program and enacted several program integrity measures,
including a requirement that all individuals receiving a PUA payment on or after
December 27, 2020, submit documentation substantiating employment, self-employment,
or the planned commencement of employment or self-employment.
ARPA was enacted on March 11, 2021. It extends authorization of PUA as well as other
CARES Act programs through weeks ending on or before September 6, 2021 and
increases the maximum number of weeks of PUA available from 50 to 79. See UIPL No.
14-21 for details on all Unemployment Insurance (UI)-related provisions under ARPA.
The Department has made available $100,000 to each state for the implementation of the
ARPA provisions associated with the PUA program. Detailed information about the
available funding for program implementation, application process and permissible
implementation costs regarding these funds are provided in Section 4.e. of UIPL No. 14-
21.
Importance of Program Integrity. Addressing improper payments and fraud is a top
priority for the Department and the entire UI system. States play a fundamental role in
ensuring the integrity of the UI system. Especially during this time of extraordinary
workloads, states should maintain a steadfast focus on UI functions and activities that
ensure program integrity and the prevention and detection of improper payments and
fraud across all programs operated within the UI system, while ensuring that eligible
individuals continue to have and maintain access to benefits. It is critical that states
implement processes that ensure payments are being made only to eligible individuals
and that states have aggressive strategies and tools in place to prevent, detect, and recover
fraudulent payments, with a particular emphasis on imposter fraud by claimants using
false or stolen identities.
Additionally, under the Continued Assistance Act, for states to have an adequate system
for administering the PUA program, states must include procedures for identity
verification or validation and for timely payment, to the extent reasonable and
practicable, for all new PUA claims filed on or after January 26, 2021 (see Section C.3.
of Attachment I to UIPL No. 16-20, Change 4).
UIPL No. 28-20, published on August 31, 2020, UIPL No. 28-20, Change 1, published
on January 15, 2021, and UIPL No. 28-20, Change 2, published on August 11, 2021,
provided states with funding to assist with efforts to prevent and detect fraud and identity
theft and to recover fraud overpayments in the PUA and PEUC programs. UIPL No. 22-
21, published on August 11, 2021 provided states with funding to assist with such efforts
across all UC programs.
Promoting Program Equity. As states consider additional tools to incorporate into their
fraud management operations, equitable access to unemployment benefits must be at the
forefront of the decision-making process, in line with Executive Order (EO) 13985 issued
January 20, 2021 and UIPL Nos. 02-16 and 02-16, Change 1. At the most fundamental
level, equity within the UC program means the provision of UC payments to eligible
workers, regardless of one’s background, in a timely and fair manner, with an application
process that is readily accessible to all workers. In the context of fraud management,
equitable access means that there are alternatives to digital mechanisms of identity
proofing; that the mechanisms used to prove identity or flag for fraud do not contain
racial, gender, or other bias; and that data is available to understand the impact of fraud
mitigation on eliminating barriers that prevent full and equal access to benefits for all
eligible individuals. UIPL No. 23-21, published on August 17, 2021, provided states
with funding to assist with efforts to promote program equity for all UC programs,
including PUA.
4. Guidance.
a. Processing the Expanded Eligibility Provisions under UIPL No. 16-20, Change 5.
i. Notification. States have requested clarification about the notification
requirements related to the newest expanded PUA eligibility provisions described
in UIPL No. 16-20, Change 5. As provided in Section 4.b.ii. of that UIPL,
notification to individuals must include the following:
States must notify every individual who had previously filed a PUA claim at
any time while the PUA program was in effect and was denied for any week
because they were not unemployed, partially unemployed, or unable or
unavailable to work for one of the COVID-19 related reasons available at the
time. Below are some examples of who is included in this population.
o If the individual selected “none of the above” or skipped selecting a
COVID-19 related reason and was denied only for this reason, they are
included in this population.
o If a state offered a free-form text box and, upon evaluation against the
COVID-19 related reasons available at the time, the state determined
that the individual was not unemployed, partially unemployed, or
unable or unavailable to work for one of the listed reasons, thus
denying them – then the individual is included in this population.
o If an individual was denied for a reason other than failure to self-
certify to a COVID-19 related reason(s), they are not included in this
population (e.g., if the individual was denied because they were
eligible for regular UC instead, they are not included in this
population).
This notification must advise the individual of the opportunity to self-certify
to the complete list of COVID-19 related reasons and to identify the date the
individual first became unemployed, partially unemployed, or unable or
unavailable to work for COVID-19 related reason(s).
Such notification must occur individually as described in Section C.28. of
Attachment I to UIPL No. 16-20, Change 4.
If the state determines (or previously determined) that a PUA claim was filed
by an individual who did not own the identity, the state must not send any
notification of potential entitlement based on the complete list of Covid-19
related reasons to the individual.
States have flexibility in how they provide the notice. A state may choose to
provide a generic message to all individuals with at least one denied week
explaining that eligibility provisions for PUA have been expanded, and providing
the complete list of COVID-19 related reasons, including instructions for how the
individual may contact the state agency to self-certify to previously denied weeks.
This notice could read:
This notice is to inform you of recent changes to the
eligibility provisions for Pandemic Unemployment
Assistance (PUA). You were previously denied PUA
benefits because you did not meet one of the specific
COVID-19 related reasons. On February 25, 2021, the
U.S. Department of Labor approved new COVID-19 related
reasons under which you may self-certify eligibility for
PUA, if applicable. Below is a complete list of the COVID-
19 related reasons. If any of the reasons apply to you for a
week that you were previously denied or for a week prior to
your claim start date, but no earlier than [either February
2, 2020 or December 6, 2020, depending on when the
initial claim was filed], to apply for benefits, you may
contact [insert state-specific instructions].
Alternatively, a state may choose to include self-certification forms for each
previously denied week or a single table providing a row for each COVID-19
related reason and a column for each previously denied week. Such forms or
tables must include a notice advising the individual that intentional
misrepresentation on the self-certification is fraud, consistent with Question 45 of
Attachment I to UIPL No. 16-20, Change 1. Additionally, the state must allow
the individual to self-certify to the complete list of COVID-19 related reasons for
a week prior to the claim start date, if the individual indicates that they were
unemployed, partially unemployed, or unable or unavailable to work due to one or
more of the COVID-19 related reasons prior to their PUA claim filing date (but
no earlier than either February 2, 2020 or December 6, 2020, depending on when
the initial claim was filed and subject to the backdating limitations described in
Section C.15. of Attachment I to UIPL No. 16-20, Change 4).
ii. Processing certifications returned from previously denied PUA weeks. An
individual must be found eligible for a previous week if they: (1) were previously
denied for a week only because they did not self-certify to one or more of the
COVID-19 related reason(s) available at the time; (2) upon receiving notification
of the expanded eligibility list of COVID-19 related reasons, self-certified that
they were unemployed, partially unemployed, or unable or unavailable to work
due to one or more of the COVID-19 related reasons; and (3) meet all other
eligibility requirements for the program.
If such an individual had a week of unemployment that was previously denied
only because the individual was not unemployed, partially unemployed, or unable
or unavailable to work because of available COVID-19 related reason(s) and that
denial was affirmed at the appellate level, the state must reevaluate this denial in
the context of the Department’s guidance provided in UIPL No. 16-20, Change 5.
States are encouraged to coordinate with their Lower Authority and Higher
Authority appellate levels to implement this requirement.
Further, under the “Agreement Implementing the Relief for Workers Affected by
Coronavirus Act (Agreement)” that the state entered into with the Department to
administer the PUA program, the state agreed to administer the program “in
accordance with the terms of this Agreement, and all guidance or operating
instructions issued by the Department of Labor.” A state’s jurisdictional
limitation cannot prevent the Department from taking action if a state is found to
be out of compliance with the requirements of this Agreement. Additionally, we
note that some state UC laws contain a “savings clause” which may be invoked in
order to administer the program in conformity with federal UC law and
regulations. Invoking the savings clause may be an appropriate step to ensure the
state can administer the PUA program in accordance with Section 2102 of the
CARES Act, as amended, and the Department’s subsequent guidance authorized
under Section 2116 of the CARES Act, as amended.
b. Establishing the Correct Effective Date for PUA Applications. As described in
Question 4 of Attachment I to UIPL No. 16-20, Change 1, an individual does not need to
demonstrate good cause to backdate a PUA claim. Rather, 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 the COVID-19 related
reason(s) described in Attachment I to this UIPL.
States must include a question on their initial PUA application to determine when the
individual first became unemployed, partially unemployed, unable or unavailable to work
because of one of the COVID-19 related reason(s). With this information, states must
automatically backdate the PUA claim to the week that the individual first met the
requirements for PUA (subject to the limitations described in Section C.15. of Attachment
I to UIPL No. 16-20, Change 4).
If a state did not gather this information at the time of initial PUA application, retroactive
action is not needed to obtain such information. However, the state must continue to
process any individual requests.
c. Individuals eligible for PUA in multiple states. To expand on Question 7 of Attachment
I to UIPL No. 16-20, Change 1, an individual (whether self-employed or working in
covered employment) must file their PUA claim with the state where they were working at
the time of becoming unemployed, partially unemployed, or unable or unavailable to work
because of approved COVID-19 related reason(s). If the individual worked in more than
one state at that time, the individual may file a PUA claim in any of those states.
If the individual was working outside of the country in a job with a connection to the U.S.
labor market at the time of becoming unemployed, partially unemployed, or unable or
unavailable to work (e.g., as a Peace Corps participant), then the individual should file in
the state in which they reside. Absent this situation, an individual may not file a PUA
claim with a state in which they did not work.
An individual who worked in more than one state at the initial time of becoming
unemployed, partially unemployed, or unable or unavailable to work because of approved
COVID-19 related reason(s) or after filing the original PUA claim – and whose state in
which they originally filed for PUA terminated the program prior to its expiration date –
may then file a PUA claim in the other state in which they worked.
States are reminded that an individual may not receive PUA in more than one state for any
given week and may only receive assistance under the PUA program for a total of 79
weeks (minus any week for which the individual received regular UC or EB during the
Pandemic Assistance Period).
For example, an individual worked in both State A and State B at the time of becoming
unemployed due to approved COVID-19 related reason(s). The individual filed for and
received PUA from State A. State A elected to terminate participation in the PUA
program effective June 26, 2021; State B did not terminate the program early. Upon
termination of the PUA program in State A, the individual may file a PUA claim in State
B. The individual may not receive PUA from State B for the same weeks of
unemployment in which they received PUA from State A. Additionally, any weeks of
regular UC, EB, and PUA that the individual previously received must be deducted from
the individual’s total PUA duration in State B. In this example, the individual received 26
weeks of regular UC, 0 weeks of EB, and 46 weeks of PUA in State A, for a total of 72
weeks of benefits. Weeks of unemployment under the PEUC program are not deducted.
The individual would be potentially eligible for seven (7) additional weeks of PUA in
State B.
i. Responsibility of states that have terminated the PUA program prior to its
expiration.
A. Legal Authority. As noted in the Department’s correspondence with states
that have terminated the PUA program, the state must process and pay
benefits under the PUA program for all weeks of unemployment ending on or
before the date of termination, and comply with all responsibilities with
respect to claims filed under these programs for those weeks. As noted in
Section 4.a.i.A. of UIPL No. 14-21, Change 1, this includes taking new
applications for PUA for 30 days after the date of termination.
B. Notifications. As noted in Section 4.b. of UIPL No. 14-21, Change 1, states
are required to individually notify individuals of the termination of the PUA
program, including anyone who was receiving PUA at the time of termination,
as well as anyone for whom a PUA claim was previously established (i.e.,
individuals with remaining PUA balances who stopped filing such claims).
Additionally, such states are strongly encouraged to notify this same
population of individuals that they may be eligible , under specific
circumstances, to file a new PUA claim in states that have not terminated
participation in the PUA program. By October 4, 2021, the Department will
provide states with a sample communication notice that they may use,
including information on where to direct individual inquiries regarding this
matter.
C. Coordination with States that Continue to Administer the PUA Program.
States that have terminated the PUA program must cooperate with information
requests from states that continue to administer the PUA program, including
by providing information on the weeks of unemployment for which an
individual received payment under the regular UC, EB, or PUA program
during the Pandemic Assistance Period.
ii. Responsibility of states that continue to administer the PUA program prior to its
expiration date.
A. Legal Authority. Section 2102 of the CARES Act, as amended, requires that
benefits be paid to individuals who meet the definition of a covered individual
in a state that has an agreement to pay PUA in place. Under the terms of the
statute, if an individual meets the eligibility requirements on the basis of
employment or self-employment in more than one state, benefits are to be
paid by either state which has an agreement with the Department. As noted
above, if the individual worked in more than one state at the time of becoming
unemployed, partially unemployed, or unable to work because of approved
COVID-19 related reason(s), the individual may choose to file a PUA claim in
any of those states.
In the event that the paying state terminates its agreement with the
Department, the covered individual would remain eligible for PUA in any
other state where the individual also worked which continues to administer the
PUA program so long as: i) the individual has not exhausted their entitlement
to PUA benefits; ii) there remains an agreement between the other state and
the Department; and iii) the individual meets all the other eligibility
requirements.
B. Determining Eligibility. The individual must continue to meet all the
eligibility criteria for PUA to receive benefits in the new state. This includes
the state’s obligation to verify or validate an individual’s identity (see Section
C.3. of Attachment I to UIPL No. 16-20, Change 4).
The individual must also submit documentation substantiating employment or
self-employment (or the planned commencement of such) performed in the
state where they are filing the new PUA claim. See Section C.2. of
Attachment I to UIPL No. 16-20, Change 4. For purposes of individuals filing
a second PUA claim under this section, the state must obtain such
documentation substantiating employment or self-employment (or the planned
commencement of such) prior to releasing payment on the new claim.
Note that this is different from individuals who are filing a PUA claim for the
first time – for which an eligible individual may receive immediate payment
while they have 21 days to submit such documentation (see Section C.2. of
Attachment I to UIPL No. 16-20, Change 4).
Additionally, for purposes of individuals filing a second PUA claim under this
section, such documentation must demonstrate proof of employment or self-
employment (or the planned commencement of such employment or self-
employment) in the new state at some point between the start of the
applicable taxable year for the original PUA claim and the date of filing
of the new claim.
C. Calculating Benefit Entitlement.
(1) Weekly Benefit Amount (WBA). The base period for calculating a PUA
claim’s WBA is defined as the most recent tax year that has ended for the
individual prior to the individual’s unemployment, partial unemployment,
or inability or unavailability to work because of the approved COVID-19
related reason(s). See Attachment II to UIPL No. 16-20, Change 1, for
instructions on calculating the WBA.
For purposes of individuals filing a second PUA claim under this section,
the state should use the base period from the individual’s original PUA
claim. As noted in Attachment II to UIPL No. 16-20, Change 1, the
computation formula is based on state law and so it is possible for an
individual to have a different PUA WBA on the second claim despite
using the same look-back period as the original claim.
Additionally, because employers are not charged for PUA, there is no
prohibition on using wages from the original state in calculating the WBA
for the new state.
(2) Number of Weeks (i.e., Duration). The maximum number of weeks of
PUA benefits for an individual is 79 weeks (see Section 4.c.i. of UIPL No.
14-21 for additional details). For new PUA claims filed in a state which
continues to administer the PUA program, the state must determine if an
individual has previously received PUA in another state and, if so, subtract
any weeks of unemployment for which the individual received regular
UC, EB, or PUA during the Pandemic Assistance Period from the
individual’s PUA entitlement.
D. Coordination with Terminating States. States that continue to administer the
PUA program must coordinate with terminating states to obtain information
on the weeks of unemployment for which an individual received payment
under the regular UC, EB, or PUA program during the Pandemic Assistance
Period and such weeks must be deducted from the individual’s PUA
entitlement.
d. State activity after the PUA program expires . For a state that did not terminate the
PUA program before the expiration date, the PUA program expires with weeks of
unemployment ending on or before September 6, 2021. In states where the week of
unemployment ends on a Saturday, the last payable week of PUA is the week ending
September 4, 2021. In states where the week of unemployment ends on a Sunday, the last
payable week of PUA is the week ending on September 5, 2021. See Section 4.c.i. of
UIPL No. 14-21.
i. Taking new applications after the date of termination or expiration. As described
in Section 4.a.i.A. of UIPL No. 14-21, Change 1, states must accept new PUA
applications for 30 days after the date of state termination or program expiration
(whichever comes first) and such claims must be backdated, as appropriate, to the
first week during the Pandemic Assistance Period in which the individual was
unemployed, partially unemployed, or unable or unavailable to work because of
approved COVID-19 related reason(s) (subject to the backdating limitations
described in Section C.15. of Attachment I to UIPL No. 16-20, Change 4).
ii. Taking new applications from individuals eligible for PUA in multiple states. The
Department recognizes that states may need additional time to accommodate this
process described in Section 4.c. of this UIPL in their existing computer systems.
As such, states that did not terminate their participation in the PUA program prior
to the program’s expiration date on September 6, 2021 must accept applications
meeting the following criteria for 30 days after the state’s PUA system becomes
capable of accepting and processing such applications:
Individuals who worked in more than one state at the time of becoming
unemployed, partially unemployed, or unable or unavailable to work because
of approved COVID-19 related reason(s); and
The state in which such individual originally filed for PUA terminated the
program prior to its expiration date, which prevented the individual from
continuing to receive PUA.
Attachment II of this UIPL provides Questions and Answers to address recent state
inquiries, as well as a table summarizing the dates included in these answers. This
includes timeframes for states to accept continued claim forms and documentation
submitted by an individual to be considered for a higher WBA.
e. Assessing a State’s Good Faith Effort in Implementing the PUA Program. Section
263 of the Continued Assistance for Unemployed Workers Act of 2020 (Continued
Assistance Act) requires individuals, as a condition of continued eligibility for PUA
benefits, to provide a weekly recertification (i.e., self-certification) that they are otherwise
able to work and available to work within the meaning of applicable state law, except that
they are unemployed, partially unemployed, or unable or unavailable to work because of
one or more of the COVID-19 related reasons specified in Section 2102(a)(3)(A)(ii) of the
CARES Act. This applies with respect to weeks beginning on or after January 26, 2021
(30 days after the enactment of the Continued Assistance Act).
If a state made a good faith effort to implement the PUA program under Section 2102 of
the CARES Act and in accordance with rules similar to those provided in 20 C.F.R. 625.6,
as provided for in Section 263 of the Continued Assistance Act, an individual who
previously received PUA must not be denied benefits for weeks of unemployment ending
before February 6, 2021 (or February 7, 2021 for states with a Sunday week-ending date),
solely for failing to submit a weekly recertification (i.e., self-certification) which identifies
the specific COVID 19 reason(s) as described in 2102(a)(3)(A)(ii).
The Department recognizes the significant operational load on states and the burden on
individuals to complete retroactive activities. ETA will assess each state’s PUA
implementation to determine if the state made a good faith effort to implement the PUA
program in accordance with Section 2102 of the CARES Act and 20 C.F.R. 625.6. This
assessment will determine what, if any, retroactive action is needed by the state.
Attachment III of this UIPL provides information on how ETA will assess whether the
state made a good faith effort in implementing the PUA program. This assessment will
determine what, if any, action is needed from the state to obtain retroactive self-
certification declarations from individuals.
f. Updated Reporting Requirements. ETA has revised the ETA 902P report to include
one additional data item for tracking of the PUA overpayment waiver amount. This
guidance supersedes the reporting instructions provided in Attachment II to UIPL No. 16-
20, Change 4. The ETA 902P now includes the following additional data cells:
Section C, Overpayment Activity
Column 22, the total amount of all PUA overpayments waived for the reporting
period.
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 waiver amount in column 22;
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 waiver amounts
Refer to Attachment IV of this UIPL for the revised report template and instructions
about this reporting.
Additional obligational authority for the PUA program will be added to the existing
PUA Administration funding line on the state’s Pandemic Grant.
g. Additional administrative costs for implementation. In addition to the $250,000
provided to states in UIPL No. 09-21 and $100,000 provided to states in UIPL No. 16-20,
Change 5, states may seek additional funding of up to $100,000 to cover the costs of
implementing provisions in this UIPL. States must submit a signed SF-424 form to
request this funding.
Permissible implementation costs include:
Computer programming and other technology costs;
Implementation of necessary business processes required for program
implementation, including customer experience and usability expertise, as well as
plain language expertise;
Training and travel;
Notices to beneficiaries; and
Overhead related only to the above.
States will receive funding to administer claims under these provisions as part of their
usual submissions of workload counts to the Department. Such ongoing administrative
costs must not be included in the request for implementation funding. See Attachment IV
of this UIPL for updated instructions on the ETA 902P report.
States must submit the required request for funding electronically to [email protected],
with a copy to the appropriate ETA Regional Office by October 4, 2021. For
information on completing the SF-424, refer to Attachment V of this UIPL, Instructions
for Completing the SF-424.
Additionally, please note that grantees that receive supplemental grant awards for
implementing these program changes must submit a quarterly progress report using the
form ETA 9178-P to the appropriate ETA Regional Office. The form ETA 9178-P
requires the grantee to provide ETA with narrative updates on supplemental grant
activities. Attachments III and IV to UIPL No. 16-20, Change 1, contain Form ETA
9178-P and instructions for completing the Form ETA 9178-P and timeline for the
submission of these status reports.
If a state exhausts resources before implementation changes are completed, the state may
submit a Supplemental Budget Request (SBR) for additional administrative funds,
detailing such costs along with the required SF-424 form. The basis for these estimated
costs must be included in the SBR application. Calculations for costs for state staff and
contractors should be shown in accordance with the SBR instructions in ET Handbook
No. 336, 18th Edition, Change 4, Unemployment Insurance State Quality Service Plan
Planning and Reporting Guidelines. For SBR application instructions, refer to UIPL No.
16-20, Attachment IV, Supplemental Budget Request (SBR) Application Template.
5. Inquiries. Please direct inquiries to [email protected] with a copy to the appropriate ETA
Regional Office.
6. References.
American Rescue Plan Act of 2021 (ARPA), including Title IX, Subtitle A, Crisis
Support for Unemployed Workers (Pub. L. 117-2);
Consolidated Appropriations Act, 2021, including Division N, Title II, Subtitle A,
the Continued Assistance for Unemployed Workers Act of 2020 (Continued
Assistance Act) (Pub. L. 116-260);
Coronavirus Aid, Relief, and Economic Security (CARES) Act, including Title II,
Subtitle A, Relief for Workers Affected by Coronavirus Act (Pub. L. 116-136);
Families First Coronavirus Response Act, including Division D Emergency
Unemployment Insurance Stabilization and Access Act of 2020 (EUISAA) (Pub. L.
116-127);
20 C.F.R. Part 625, Disaster Unemployment Assistance;
Executive Order 13985 of January 20, 2021; 86 FR 7009, page 7009-7013,
https://www.federalregister.gov/documents/2021/01/25/2021-01753/advancing-
racial-equity-and-support-for-underserved-communities-through-the-federal-
government;
UIPL No. 23-21, Grant Opportunity for Promoting Equitable Access to
Unemployment Compensation (UC) Programs, issued August 17, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7400;
UIPL No. 22-21, Grant Opportunity to Support States with Fraud Detection and
Prevention, Including Identity Verification and Overpayment Recovery Activities, in
All Unemployment Compensation (UC) Programs, published August 11, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=4240;
UIPL No. 20-21, State Instructions for Assessing Fraud Penalties and Processing
Overpayment Waivers under the Coronavirus Aid, Relief, and Economic Security
(CARES) Act, as Amended, issued May 5, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6830;
UIPL No. 14-21, Change 1, State Responsibilities After the Temporary
Unemployment Benefit Programs under the Coronavirus Aid, Relief, and Economic
Security (CARES) Act, as amended, End Due to State Termination of Administration
or When the Programs Expire, issued July 12, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9502;
UIPL No. 14-21, American Rescue Plan Act of 2021 (ARPA) – Key Unemployment
Insurance (UI) Provisions, issued March 15, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5669;
UIPL No. 09-21, Continued Assistance for Unemployed Workers Act of 2020
(Continued Assistance Act) – Summary of Key Unemployment Insurance (UI)
Provisions, issued December 30, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3831;
UIPL No. 28-20, Change 2, Additional Funding to Assist with Strengthening Fraud
Detection and Prevention Efforts and the Recovery of Overpayments in the Pandemic
Unemployment Assistance (PUA) and Pandemic Emergency Unemployment
Compensation (PEUC) Programs, as well as Guidance on Processes for Combatting
Identity Fraud, issued August 11, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=7207;
UIPL No. 28-20, Change 1, Additional Funding for Identity Verification or
Verification of Pandemic Unemployment Assistance (PUA) Claimants and Funding to
Assist with Efforts to Prevent and Detect Fraud and Identity Theft as well as Recover
Fraud Overpayments in the PUA and Pandemic Emergency Unemployment
Compensation (PEUC) Programs, issued January 15, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=9897;
UIPL No. 28-20, Addressing Fraud in the Unemployment Insurance (UI) System and
Providing States with Funding to Assist with Efforts to Prevent and Detect Fraud and
Identity Theft and Recover Fraud Overpayments in the Pandemic Unemployment
Assistance (PUA) and Pandemic Emergency Unemployment Compensation (PEUC)
Programs, issued August 31, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8044;
UIPL No. 23-20, Program Integrity for the Unemployment Insurance (UI) Program
and the UI Programs Authorized by the Coronavirus Aid, Relief, and Economic
Security (CARES) Act of 2020 – Federal Pandemic Unemployment Compensation
(FPUC), Pandemic Unemployment Assistance (PUA), and Pandemic Emergency
Unemployment Compensation (PEUC) Programs, issued May 11, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4621;
UIPL No. 16-20, Change 5, Expanded Eligibility Provisions for the Pandemic
Unemployment Assistance (PUA) Program, issued February 25, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3202;
UIPL No. 16-20, Change 4, Continued Assistance to Unemployed Workers Act of
2020 – Pandemic Unemployment Assistance (PUA) Program: Updated Operating
Instructions and Reporting Changes, issued January 8, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6973;
UIPL No. 16-20, Change 3, Coronavirus Aid, Relief, and Economic Security
(CARES) Act of 2020 – Eligibility of Individuals who are Caregivers for Pandemic
Unemployment Assistance (PUA) in the Context of School Systems Reopening , issued
August 27, 2020, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3849;
UIPL No. 16-20, Change 2, Coronavirus Aid, Relief, and Economic Security
(CARES) Act of 2020 – Pandemic Unemployment Assistance (PUA) Additional
Questions and Answers, issued July 21, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5479;
UIPL No. 16-20, Change 1, Coronavirus Aid, Relief, and Economic Security
(CARES) Act of 2020 – Pandemic Unemployment Assistance (PUA) Program
Reporting Instructions and Questions and Answers, issued April 27, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5899;
UIPL No. 16-20, Coronavirus Aid, Relief, and Economic Security (CARES) Act of
2020 – Pandemic Unemployment Assistance (PUA) Program Operating, Financial,
and Reporting Instructions, issued April 05, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4628;
UIPL No. 10-20, Change 1, Unemployment Compensation (UC) for Individuals
Affected by the Coronavirus Disease 2019 (COVID-19) – Interpretation of “Between
and Within Terms” Denial Provisions in Section 3304(a)(6)(A) of the Federal
Unemployment Tax Act (FUTA), published May 15, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8879;
UIPL No. 05-17, Interpretation of “Contract” and “Reasonable Assurance” in
Section 3304(a)(6)(A) of the Federal Unemployment Tax Act, published December
22, 2016, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8999;
UIPL No. 02-16, Change 1, State Responsibilities for Ensuring Access to
Unemployment Insurance Benefits, Services, and Information, published May 11,
2020, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5491;
UIPL No. 02-16, State Responsibilities for Ensuring Access to Unemployment
Insurance Benefits, issued October 01, 2015,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4233; and
ET Handbook No. 336, 18th Edition, Change 4, Unemployment Insurance State
Quality Service Plan Planning and Reporting Guidelines.
7. Attachment(s).
Attachment I: Acceptable COVID-19 Related Reasons for PUA Eligibility.
Attachment II: Questions and Answers – State Activity After the PUA Program
Expires.
Attachment III: Assessment of a State’s Good Faith Effort in Implementing the
PUA Program.
Attachment IV: ETA 902P – Pandemic Unemployment Assistance Activities.
Attachment V: Instructions for Completing the SF-424.
Attachment I to UIPL No. 16-20 Change 6
Acceptable COVID-19 Related Reasons for PUA Eligibility
Individuals must self-certify that they are 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 COVID-19 related reason(s) described below.
Included for each of the reasons are illustrative examples and explanations of circumstances that
fall under each category. 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 four (4) additional
circumstances under which an individual may certify.
aa. The individual has been diagnosed with COVID-19 or is experiencing symptoms of COVID-
19 and is seeking a medical diagnosis. For example:
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. For example:
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. 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. For example:
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.
To date, the Secretary has approved the four (4) criterion under the Secretary’s authority
provided in Section 2102(a)(3)(A)(ii)(I)(kk) of the CARES Act (see Section 4.b. of UIPL
No. 16-20, Change 2; Section C.1.kk. of Attachment I to UIPL No. 16-20, Change 4; and
Section 4.a of UIPL 16-20, Change 5). These reasons are described below.
1. 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.
States may use the following verbiage for item (kk.1): “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.”
2. The individual has been denied continued unemployment benefits because the individual
refused to return to work or accept an offer of work at a worksite that, in either instance,
is not in compliance with local, state, or national health and safety standards directly
related to COVID-19. This includes, but is not limited to, those related to facial mask
wearing, physical distancing measures, or the provision of personal protective equipment
consistent with public health guidelines.
For purposes of this COVID-19 related reason, unemployment benefits include regular
UC, Unemployment Compensation for Federal Employees (UCFE), Unemployment
Compensation for Ex-Servicemembers (UCX), PUA, PEUC, EB, Short-Time
Compensation (STC), Trade Readjustment Allowances (TRA), Disaster Unemployment
Assistance (DUA), and payments under the Self-Employment Assistance (SEA) program.
An individual is generally denied unemployment benefits if the state determines that the
work is suitable and the individual did not have good cause for refusing such work. This
COVID-19 related reason applies only to individuals who had already been receiving
unemployment benefits but were determined to be ineligible or disqualified under state
law because they refused an offer of work at a worksite that was not in compliance with
local, state, or national health and safety standards directly related to COVID-19. This is
a separate COVID-19 related reason from item (ii) of Section 2102(a)(3)(A)(ii)(I) of the
CARES Act, which provides eligibility to an individual who quits their job as a direct
result of COVID-19.
For example, an individual may self-certify under this COVID-19 related reason who has
previously been denied because the state law does not consider health and safety
standards when assessing suitability or good cause, or who has previously been denied
because the health and safety standards considered under state law are more restrictive
than the local, state, or national COVID-19 health standards. Below are a few non-
exhaustive scenarios. See Section 4.b.iv. UIPL No. 16-20, Change 5 for additional
details regarding PUA effective dates.
o An individual was laid off in June 2020 and began receiving regular UC. The
individual was recalled to work in October 2020. However, because the worksite
was not in compliance with the local mask mandate, the individual refused to
return to work. The individual was disqualified from continued receipt of regular
UC under state law. The individual is eligible to apply for PUA under this
COVID-19 related reason.
o An individual was laid off in October 2020 and began receiving regular UC. The
individual received a new job offer in January 2021, however, the new worksite
was unsafe due to non-compliance with physical distancing measures under state
law. The individual was disqualified from continued receipt of regular UC under
state law. The individual is eligible to apply for PUA under this COVID-19
related reason.
An individual is not eligible for PUA if they are otherwise eligible for regular UC (or
PEUC or EB). Many states have provisions in their state UC law that consider work that
unreasonably exposes an individual to health and safety risks to be unsuitable work. The
state may determine, if it is consistent with the state’s law, that the work is not suitable.
Or, the state may find the work is suitable but determine that the individual had good
cause for refusing such work. 1 In these circumstances, the individual must continue to
receive unemployment benefits, provided they are otherwise eligible. The individual is
not eligible for PUA using this COVID-19 related reason if the individual was
determined eligible for continued unemployment benefits for refusal of work under state
law. Moreover, an individual who is allowed continued unemployment benefits and
subsequently exhausts such benefits is not eligible for PUA using this COVID-19 related
reason.
3. An individual provides services to an educational institution or educational service
agency and the individual is unemployed or partially unemployed because of volatility in
the work schedule that is directly caused by the COVID-19 public health emergency.
This includes, but is not limited to, changes in schedules and partial closures.
This COVID-19 related reason addresses situations where an individual provides services
to educational institutions or educational service agencies and is subject to significant
volatility in the school schedule directly related to COVID-19. Whether the individual is
“between or within terms” and has a “contract” or “reasonable assurance” to return in the
subsequent year or term will affect the individual’s ability to self-certify under this
COVID-19 related reason, as described below. 2 Attachment II to UIPL 16-20, Change 5
provides a graphical representation of the process for determining PUA eligibility under
this reason.
A. Individual does not have a contract or reasonable assurance. An individual who:
(1) has provided services to an educational institution or educational service
agency; (2) lacks a contract or reasonable assurance and, as a result, is not subject
1
The Department reminds states that Section 4102(b) of the Emergency Unemployment Insurance Stabilization and
Access Act of 2020 (EUISAA), set out at Division D of the Families First Coronavirus Response Act (Pub. L. 116-
127), provides states with the authority to temporarily modify their good cause provisions as needed in response to
the spread of COVID-19 (see Section 5.C. of UIPL No. 13-20).
2
UIPL No. 10-20, Change 1, provides additional information about the “between and within terms” denial provision
within the context of COVID-19. UIPL No. 05-17 clarifies the Department’s interpretation of the terms “contract”
and “reasonable assurance” and assists states in applying these terms consistent with federal law requirements.
to the “between and within terms” denial provisions; and (3) is not otherwise
eligible for regular UC (or PEUC or EB) may self-certify eligibility for PUA
under this COVID-19 related reason if they are subject to significant volatility in
the school schedule.
If the individual does not have a contract or reasonable assurance to return and
self-certifies eligibility under this COVID-19 related reason (or another COVID-
19 related reason that is applicable to their situation), the individual may use
wages from the educational institution to potentially qualify for a WBA that is
higher than the state’s minimum PUA WBA.
B. Individual has a contract or reasonable assurance. An individual is generally not
eligible for PUA if they: (1) have provided services to an educational institution
or educational service agency; and (2) are filing for a week that is between or
within terms and they have a contract or reasonable assurance to return in the
subsequent year or term, and, as a result, they are denied regular UC (or PEUC or
EB).
However, the individual may be eligible for PUA if they have other non-
educational employment from which they are able to self-certify that they are
unemployed, partially unemployed, or unable or unavailable to work for a
different COVID-19 related reason. As described in Section 4.e.i. of UIPL No.
10-20, Change 1, wages from the educational institution may not be used to
calculate the individual’s PUA WBA.
If school schedules or planned school openings are disrupted and an individual is
found to no longer have a contract or reasonable assurance to return in the
subsequent year or term, then they can establish eligibility going forward as
described in subparagraph (A) under this COVID-19 related reason or another
COVID-19 related reason that is applicable to their situation.
Federal law allows retroactive payments of regular UC (or PEUC or EB) under
certain circumstances for individuals in a nonprofessional capacity if they no
longer have a contract or reasonable assurance. See Section 4.d.(4). of UIPL No.
05-17. When determining if such individuals may receive PUA for weeks
previously denied under regular UC (or PEUC or EB) because the individual had
a contract or reasonable assurance and the individual was later found not to have
reasonable assurance, states must first determine if the individual qualifies for
regular UC (or PEUC or EB) under the state’s backdating provisions. If the
individual does not qualify for backdating for regular UC, then they may
retroactively self-certify for PUA under this COVID-19 related reason. States
must determine PUA effective dates consistent with instructions provided in
Section 4.b.iv. of UIPL 16-20, Change 5 and Section C.15. of Attachment I to
UIPL No. 16-20, Change 4.
The individual must report any earnings each week that they file for PUA. The
individual’s WBA must be reduced on account of such earnings and income as prescribed
under state law. Individuals who receive a full salary during periods of disruption are not
considered to be “unemployed” and would not be eligible for PUA. See Section 4.a. of
UIPL No. 10-20.
4. An individual is an employee and their hours have been reduced or the individual was
laid off as a direct result of the COVID-19 public health emergency.
This COVID-19 related reason expands eligibility beyond the current provision of item
(jj) of Section 2102(a)(3)(A)(ii)(I) of the CARES Act, which is limited to situations
where the individual’s place of employment is closed. Under this COVID-19 related
reason, if an individual is laid off because the place of employment is partially closed
(either permanently or temporarily) or the individual has experienced a reduction in
hours, the individual may self-certify eligibility.
Generally, individuals in covered employment who are laid off, are experiencing a
reduction in hours, or are working part-time as a result of partial business closure would
qualify for regular UC (or PEUC or EB) and therefore would not be eligible for PUA.
However, such individuals may not be eligible for regular UC (or PEUC or EB) because,
for example, they lack sufficient wages to qualify, have a previous disqualification, or
have exhausted regular UC, PEUC, and EB. This COVID-19 related reason establishes a
circumstance under which they may self-certify eligibility for PUA. 3
The individual must report any earnings from the reduced hours when filing continued
claims and such amounts must be deducted from the PUA weekly benefit amount in
accordance with the state law. See Section C.16.c. of Attachment I to UIPL No. 16-20,
Change 4.
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:
• The identification of the specific applicable COVID-19 related reason(s) under Section
2102(a)(3)(A)(ii) of the CARES Act, and
• A notice advising the individual that intentional misrepresentation on the self-
certification is fraud (see Question 45 of Attachment I to UIPL No. 16-20, Change 1).
Because eligibility is based on self-certification, no further fact-finding is involved.
Additionally, states are required to take reasonable and customary precautions to deter and detect
fraud. See Section C.21. of Attachment I to UIPL 16-20, Change 4 and UIPL Nos. 28-20;28-20,
Change 1; and 28-20, Change 2, for additional details on tools to combat fraud.
3
For examples of individuals who may qualify for PUA with previous disqualifications, refer to Questions 30, 31,
and 33 of Attachment I to UIPL No. 16-20, Change 1, or Question 12 of Attachment I to UIPL No. 16-20, Change 2.
Attachment I to UIPL No. 16-20, Change 5, provides a sample self-certification declaration for
states and includes all of the approved COVID-19 related reasons.
Able and Available Requirements for PUA. States should bear in mind that many of the
qualifying COVID-19 related reasons 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 their place of employment for purposes of item (ff)
may be able to return to their place of employment within two weeks of the exposure if they
have 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 that the individual is
collecting PUA to ensure the individual remains otherwise able to work and available for work
except for the identified COVID-19 related reason(s). States may do this through the continued
claims process by asking if the individual is otherwise able and available for work, except the
their inability or unavailability is due to one of the COVID-19 reasons.
Attachment II to UIPL No. 16-20, Change 6
Questions and Answers
State Activity after the Pandemic Unemployment Assistance (PUA) Program Expires
Section 4.c. of this UIPL describes state activity after the PUA program expires. Below are
Questions and Answers to address recent state inquiries. The table after the questions and
answers summarizes the dates included in these answers.
One of the criteria to be eligible for PUA is that an individual must self-certify that they are
unemployed, partially unemployed, or unable or unavailable to work due to approved COVID-19
related reason(s) for weeks of unemployment ending on or before the date of state termination or
program expiration (whichever comes first). PUA may not be paid for any weeks of
unemployment ending after September 6, 2021.
The Department recognizes that for states with a backlog in resolving eligibility issues, these
claims may not be processed for months into the future and the Department stands ready to
provide technical assistance to such states to address this backlog.
1. Question: Is the state required to accept PUA applications until October 6, 2021, or would it
be through the end of the unemployment week prior to October 6, 2021?
Answer: For claims other than those described in Section 4.c. of this UIPL where the
individual is eligible for PUA in multiple states and where the state did not terminate the
PUA program before the program expiration date, the state must accept new PUA
applications through October 6, 2021. Note that PUA may not be paid for any weeks of
unemployment ending after September 6, 2021.
2. Question: May an individual file a new PUA application after the 30-day required period if
they filed for regular unemployment compensation (UC) prior to October 6, 2021, but the
state does not make a determination of ineligibility for regular UC until after October 6,
2021?
Answer: Yes. If the individual self-certifies that they were unemployed, partially
unemployed, or unable or unavailable to work because of approved COVID-19 related
reason(s) for weeks of unemployment ending on or before the date of state termination or
program expiration (whichever comes first), they may file a new PUA application after the
30-day required period only if they: (1) filed a regular UC claim prior to the end of the 30-
day required period for accepting new PUA applications after the date of state termination or
program expiration (whichever comes first) and (2) are found ineligible for regular UC (or
PEUC or EB) after the end of the 30-day required period. However, such an individual must
file the PUA claim within 21 days of the determination of ineligibility for regular UC. The
state must notify affected individuals of this PUA filing deadline, which may be done as part
of the notification that their UC (or PEUC or EB) claim was denied or in a separate
notification.
3. Question: The state is required to accept new PUA applications for 30 days after the date of
state termination or program expiration (whichever comes first). How long must the state
accept continued claim forms for a PUA claim?
Answer: PUA may not be paid for any weeks of unemployment ending after September 6,
2021, though payment for weeks of unemployment ending before September 6, 2021, may
occur at a later date. After the Pandemic Assistance Period ends September 6, 2021, the state
must accept continued claim forms for 21 days after the later of: i) the date on which the state
notifies an individual of their right to self-certify under the expanded eligibility provisions
described in UIPL No. 16-20, Change 5; ii) the program expiration date; or iii) the date the
individual files a new PUA application.
4. Question: The state must accept documentation submitted by the individual to be considered
for a higher weekly benefit amount (WBA) at any time during the Pandemic Assistance
Period (see Question 2 of Attachment I to UIPL No. 16-20, Change 2). Since the Pandemic
Assistance Period ends on September 6, 2021, and the state must accept new PUA
applications for an additional 30 days, what is the deadline for accepting documentation to be
considered for a higher WBA?
Answer: After the Pandemic Assistance Period ends September 6, 2021, the state must accept
documentation to be considered for a higher WBA for up to 21 days after the later of: i) the
program expiration date; ii) the date the individual files a new PUA application; or iii) the
date the state notifies the individual of their ability to submit documentation to be considered
for a higher WBA. This applies to all states, regardless of whether they terminated the PUA
program prior to its expiration date.
NOTE: Providing documentation to support the calculation of a higher WBA is a separate
provision from the requirement to provide documentation substantiating employment or self-
employment. The deadline for submitting documentation substantiating employment or self-
employment is determined by the date the individual filed a new claim or was instructed by
the state to provide such documentation (whichever is later) – either 21 days or 90 days. See
Section C.2. of Attachment I to UIPL No. 16-20, Change 4.
5. Question: States are required to process and pay benefits under the PUA program for all
weeks of unemployment ending on or before the date of state termination or program
expiration (whichever comes first). Will the Department continue to provide administrative
funding for the required PUA activities after this date?
Answer: Yes. So long as the state is processing PUA-related workload (e.g., determinations,
appeals, overpayments), the state may continue to receive administrative funding for such
activities. To receive such funding, the state must continue to report workload activity on the
ETA 902P. The Department expects that such activity may continue, at an increasingly
diminishing rate, for several months or years into the future and will continue to fund
administration based on the ETA 902P reporting numbers – with the expectation that this
amount will likely decrease over time.
Reference Description States Terminating the PUA States Not Terminating the PUA
Program Early Program Early
Section 4.c. of PUA Program End Date Varies by state but prior to week Weeks of unemployment ending on or
this UIPL ending 09/04/21 before 09/06/21
Question 1 Timeframe for state to accept new PUA applications + 30 days from state termination date For claims other than those described
(date varies by state) in Section 4.c. of this UIPL where the
individual is eligible for PUA in
multiple states and the state did not
terminate the PUA program before the
program expiration date, + 30 days
from program expiration date
(10/06/21)
Section 4.c. of Special Scenario. Timeframe for state to accept new N/A + 30 days from date the state’s PUA
this UIPL PUA applications for an individual who: i) worked in system is capable of accepting and
more than one state at the time of becoming processing such applications
unemployed, partially unemployed, or unable or
unavailable to work because of approved COVID-19
related reason(s); and ii) the state in which such
individual originally filed for PUA terminated the
program prior to its expiration date, which prevented
the individual from continuing to receive PUA
Question 2 Special Scenario: Timeframe for state to accept new + 21 days after determination of + 21 days after determination of
PUA applications for an individual who self-certifies ineligibility for regular UC claim that ineligibility for regular UC claim that
that they were unemployed, partially unemployed, or was filed on or before 30-day required was filed on or before 30-day required
unable or unavailable to work because of approved period from Question 1 period from Question 1
COVID-19 related reason(s) for weeks of
unemployment ending on or before the date of state
termination or program expiration (whichever comes
first) and meets the following criteria: 1) filed a
regular UC claim prior to the end of 30-day required
period; and 2) state does not determine they are
ineligible for regular UC (or PEUC or EB) until after
30-day required period
Reference Description States Terminating the PUA States Not Terminating the PUA
Program Early Program Early
Question 3 Timeframe for state to accept continued claim forms + 21 days after the later of: i) the date + 21 days after the later of: i) the date
for PUA claim on which the state notifies an on which the state notifies an
individual of their right to self-certify individual of their right to self-certify
under the expanded eligibility under the expanded eligibility
provisions described in UIPL No. 16- provisions described in UIPL No. 16-
20, Change 5; ii) the program 20, Change 5; ii) the program
expiration date; or iii) the date the expiration date; or iii) the date the
individual files a new PUA individual files a new PUA
application. application.
Question 4 Timeframe for state to accept documentation + 21 days after the later of: i) the + 21 days after the later of: i) the
submitted by the individual to be considered for a program expiration date; ii) the date program expiration date; ii) the date
higher WBA the individual files new PUA the individual files new PUA
application; or iii) the date the state application; or iii) the date the state
notifies the individual of their ability notifies the individual of their ability
to submit documentation to be to submit documentation to be
considered for a higher WBA considered for a higher WBA
Attachment III to UIPL No. 16-20 Change 6
Assessment of a State’s Good Faith Effort in Implementing the PUA Program
As discussed in Section 4.e. of this UIPL, ETA will assess each state’s PUA implementation to
determine if the state made a good faith effort to implement the PUA program in accordance
with Section 2102 of the CARES Act and 20 C.F.R. 625.6. This assessment will determine
what, if any, retroactive action is required by the state.
Acknowledging that the eligibility requirements for the PUA program evolved over time in
response to legislative enactments, states may have had multiple implementation phases for
administering PUA. ETA will work with each state to review initial applications and continued
claim forms to determine if the state made a good faith effort to implement the PUA program.
Step 1: Evaluate the state’s implementation of Monetary Determinations. ETA defines a good
faith effort “in accordance with 20 C.F.R. 625.6” to mean that a state took the following actions:
a. provided a Monetary Determination for all PUA claims and included notice that
individuals may submit documentation to be considered for a higher PUA weekly benefit
amount (WBA) at any time during the Pandemic Assistance Period;
b. issued a monetary redetermination if the state determined that such documentation was
sufficient to permit a re-computation for a higher PUA WBA. See Question 2 of
Attachment I to UIPL No. 16-20, Change 2; and
c. when establishing a WBA based on self-attestation and the individual failed to submit
proof of earnings/income within 21 days, the state issued a Monetary Redetermination
reducing the WBA and established an overpayment as appropriate.
States that did not make a good faith effort will be required to take the following actions, based
on the reason why the state was determined to not have made a good faith effort to implement
the monetary determination:
1. Notify all individuals receiving PUA that they may submit documentation to demonstrate
that they may be eligible for a higher WBA at any time during the Pandemic Assistance
Period (see Section 4.d. and Attachment II of this UIPL for additional details about
accepting such documentation after the program expiration date).
2. If the state received documentation from an individual that is sufficient to permit a re-
computation of the PUA WBA, the state must process the request and issue a Monetary
Redetermination and issue supplementary payment(s) as appropriate.
3. If the state relied on self-attestation to calculate a WBA higher than the minimum WBA
and the state has not yet taken action for individuals who either failed to respond with
proof of earnings/income within 21 days (and did not provide any documentation
subsequent to the 21-days that would support the higher WBA) or for individuals whose
documentation did not support the higher WBA amount, the state must issue a Monetary
Redetermination reducing the WBA and establish an overpayment as appropriate. See
UIPL No. 20-21 for information regarding PUA overpayments.
Step 2: Evaluate the state’s implementation of the self-certification. ETA defines a good faith
effort to implement the self-certification declaration to mean that the state took the following
actions:
a. the state obtained a self-certification either on the initial PUA application or as part of the
individual’s first continued claim certification (the first week of eligibility) ;
b. the language used on the state’s self-certification reasonably captures the intent of the
COVID-19 related reasons in Section 2102(a)(3)(A)(ii)(I) of the CARES Act and
Department guidance; and
c. the state assessed whether the individual was otherwise able to work and available for
work within the meaning of applicable state law (“able and available” status) except for
the self-certified COVID-19 related reason(s).
A Note on Evaluating Underpayments. Section C.7. of Attachment I to UIPL No. 16-20, Change
4, advised that an evaluation of good faith effort may also include the extent to which the state’s
implementation of the self-certification requirement may have resulted in potentially eligible
individuals not receiving benefits. In Section 4.b.1. of UIPL No. 16-20, Change 5, ETA
provided states instructions to retroactively evaluate all claims that were previously denied and
additional instructions are provided in Section 4.a. of this UIPL. Provided the state complies
with the requirements of UIPL No. 16-20, Change 5, no further retroactive action is needed
in ensuring potentially eligible individuals were not denied benefits .
States that did not make a good faith effort will be required to take the following actions, based
on the reason why the state was determined to not have made a good faith effort to implement
the self-certification:
1. Seek retroactive self-certifications from any individuals who were not asked to self-
certify to the approved COVID-19 related reason(s) at some point during their claim
series to assess eligibility.
2. Seek retroactive self-certifications from individuals who were paid based on an
unapproved, overly-expansive COVID-19 related reason who were not asked to self-
certify to the approved COVID-19 related reason(s) at some point during their claim
series to assess eligibility.
3. If the state failed to include an eligibility question regarding an individual’s able and
available status on the continued claim form, or if the state included such a question but
failed to properly adjudicate the eligibility issue when an individual reported that they
were either unable or unavailable to work (for a reason other than the approved COVID-
19 related reason(s) described in Attachment I of this UIPL), the state must retroactively
request such status for every paid week and, if the individual responds that they were not
able and available for any given week, properly adjudicate the eligibility issue and
establish overpayments where appropriate.
For any of these possible retroactive actions: If the individual is provided an opportunity to self-
certify that they were unemployed, partially unemployed, or unable or unavailable to work due to
the full list of approved COVID-19 related reason(s) and the individual is determined to not have
actually qualified for PUA for the weeks already paid, the individual must be determined
ineligible and an overpayment must be established for any week in which the individual did not
meet the PUA eligibility requirements. See UIPL No. 20-21 for further information regarding
PUA overpayments and evaluating eligibility to waive recovery of such overpayments.
Attachment IV to UIPL No. 16-20 Change 6
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 Overpayments (cases) Established....................................................... 186
6. Overpayments (cases) Established ............................................................................ 186
7. Waived .................................................................................................................... 186
G. Item by Item Instructions ................................................................................................. 186
1. Report Period Ended ................................................................................................ 186
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
A. Facsimile of Form
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 WAIVED
NO. ESTABLISHED RECOVERIES
ADMINISTRATIVE
COSTS
CASES WEEKS AMOUNT AMOUNT AMOUNT
14 15 16 16A 22 17
Total 301
Fraud 302
SECTION D. OVERPAYMENT ACTIVITY RELATED TO IDENTITY (ID) THEFT
CATEGORY LINE ID THEFT OVERPAYMENT
ID THEFT OVERPAYMENTS ESTABLISHED
NO. 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
entered into an 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 must be submitted monthly until all payment and appeals activity
are completed.
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
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
Room # S-4524
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. Refer to Section C.15 of Attachment I
to UIPL No. 16-20, Change 4 for information on effective dates of PUA
claims.
2. Eligible. Meets qualifications for receiving Pandemic Unemployment
Assistance, as specified in Section 2102 of the CARES Act. If an individual is
eligible for UC, EB, or 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
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 Overpayments (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.
7. Waived. Section 2102(d)(4) of the CARES 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.c.2.of Attachment I to UIPL
No. 16-20, Change 4 for additional detail.
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.
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,
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
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 percent 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.
d. Columns 22, Waived. In column 22, Amount, enter in line 301, the total
amount of all PUA overpayments waived for the reporting period.
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
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 V to UIPL No. 16-20, Change 6
Instructions for Completing the SF-424
Application for Federal Assistance (SF-424)
Use the current version of the form for submission. Expired forms will not be accepted. SF-424,
Expiration Date 12/31/2022, Office of Management and Budget (OMB) Control No. 4040-0004
(Grants.gov). https://apply07.grants.gov/apply/forms/sample/SF424_4_0-V4.0.pdf
Section # 8, APPLICANT INFORMATION:
Legal Name: The legal name must match the name submitted with the System for Award
Management (SAM). Please refer to instructions at https://www.sam.gov
Employer/Tax Identification Number (EIN/TIN): Input your correct 9-digit EIN and
ensure that it is recorded within SAM.
Organizational DUNS: All applicants for Federal grant and funding opportunities are
required to have a 9-digit Data Universal Numbering System (D-U-N-S®) number, and
must supply their D-U-N-S® number on the SF-424. Please ensure that your state is
registered with the SAM. Instructions for registering with SAM can be found at
https://www.sam.gov. Additionally, the state must maintain an active SAM registration
with current information at all times during which it has an active Federal award or an
application under consideration. To remain registered in the SAM database after the
initial registration, there is a requirement to review and update the registration at least
every 12 months from the date of initial registration or subsequently update the
information in the SAM database to ensure it is current, accurate, and complete. Failure
to register with SAM and maintain an active account will result in a rejection of your
submission.
Address: Input your complete address including Zipcode+4; Example: 20110-831. For
lookup, use link at https://tools.usps.com/go/ZipLookupAction!input.action
Organizational Unit: Input appropriate Department Name and Division Name, if
applicable
Name and contact information of person to be contacted on matters involving this
application. Provide complete and accurate contact information including telephone
number and email address for the point of contact
Section # 9, Type of Applicant 1: Select Applicant Type: Input “State Government”
Section # 10, Name of the Federal Agency: Input “Employment and Training Administration”
Section # 11, Catalog of Federal Domestic Assistance Number: Input “17.225”; CFDA Title;
Input “Unemployment Insurance”
Section # 12, Funding Opportunity Number and Title :
For Pandemic Unemployment Assistance Funding Allotment:
Input “UIPL No. 16-20, Change 6, Pandemic Unemployment Assistance Implementation
Grants”
Section # 13, Competition Identification Number: Leave Blank
Section # 14, Areas Affected by Project: Input the place of performance for the project
implementation; Example “NY” for New York
Section # 15, Descriptive Title of Applicant’s Project:
For Pandemic Unemployment Assistance Funding Allotment:
Input “UIPL No. 16-20, Change 6, Pandemic Unemployment Assistance Implementation
Grants”
Section # 16, Congressional Districts of:
a. Applicant: Input the Congressional District of your home office. For lookup, use link at
www.house.gov with Zipcode + 4
b. Program/Project: Input the Congressional District where the project work is performed. If
it’s the same place as your home office, input the congressional district for your home
office. For lookup, use link at www.house.gov with Zipcode+4
Section # 17, Proposed Project
a. Start Date: Input a valid start date for the project (earliest start date will be January 1,
2021).
b. End Date: Input a valid end date for the project (June 30, 2022).
Section # 18, Estimated Funding ($):
Each state is allotted up to $100,000 in funding to cover implementation costs.
Complete Section #s 19 – 20: Complete as per instructions in Form SF-424
Section # 21, Authorized Representative: Please select the “I AGREE” check box and provide
complete information for your authorized signatory including contact information such as
telephone number and email address. If your Authorized Representative has changed from your
previous application submission for this program, please include a letter from a higher level
leadership authorizing the new signatory for the application submission.
Remember to get the SF-424 signed and dated by the Authorized Representative.
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