Unemployment Insurance Program Letter No. 16-20, Pandemic Unemployment Assistance — Department of Labor
- Date
- 2020-04-05
Summary
Unemployment Insurance Program Letter No. 16-20 from the Department of Labor, dated April 5, 2020, giving states guidance on Pandemic Unemployment Assistance (PUA) under Section 2102 of the CARES Act. It stresses program integrity, noting the CARES Act appropriation of $26 million to the Department's OIG, and states that PUA generally provides up to 39 weeks of benefits to individuals unable to work for listed COVID-19 related reasons. It sets out the relationship with Disaster Unemployment Assistance under 20 C.F.R. Part 625, the additional $600 per week of FPUC, PUA's availability for weeks beginning on or after January 27, 2020 and ending by December 31, 2020, and 100% federal funding. Attachment I gives implementation and operating instructions, and the document closes with ETA 902P reporting instructions from UI Report Handbook No. 401.
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eligible for regular UC (such as individuals who are self-employed or who have limited
recent work history). These individuals may also include certain gig economy workers,
clergy and those working for religious organizations who are not covered by regular
unemployment compensation, and other workers who may not be covered by the
regular UC program under some state laws.
Importance of Program Integrity. The programs and provisions in the CARES Act
operate in tandem with the fundamental eligibility requirements of the Federal-State UI
program must be adhered to. In addition, some of the CARES Act programs include
new eligibility requirements which states will need to apply. These requirements
include that individuals are only entitled to benefits if they are no longer working
through no fault of their own and that individuals must be able and available to work.
States play a fundamental role in ensuring the integrity of the UI program. While states
have been provided some flexibilities as a result of COVID-19, those flexibilities are
generally limited to dealing with the effects of COVID-19, as discussed in UIPL Nos.
10-20 and 13-20. States must ensure that individuals only receive benefits in
accordance with these statutory provisions.
Further, quitting work without good cause to obtain UI benefits is fraud under PUA.
Specifically related to PUA, 20 C.F.R. 625.14 governs overpayments and
disqualifications for fraud. States are expected to enforce this provision.
The Department is actively working with states receiving funding under the CARES
Act to provide UI benefits only to individuals who are entitled to such benefits. The
Department will also be actively engaged with its Office of the Inspector General
(OIG) to ensure program integrity. The CARES Act includes an appropriation of $26
million to the Department’s OIG (Section 2115) to carry out audits, investigations, and
other oversight activities related to states’ adherence to existing UI laws and policies,
as well as the provisions of the CARES Act.
4. Guidance. An overview of key information about the PUA program is provided below.
a. Program overview.
PUA provides benefits to covered individuals, who are those individuals not eligible for
regular unemployment compensation or extended benefits under state or Federal law or
pandemic emergency unemployment compensation (PEUC), including those who have
exhausted all rights to such benefits. Covered individuals also include self-employed,
those seeking part-time employment, individuals lacking sufficient work history, and
those who otherwise do not qualify for regular unemployment compensation or extended
benefits under state or Federal law or PEUC.
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PUA is also generally not payable to individuals who have the ability to telework with
pay or who are receiving paid sick leave or other paid leave benefits. However,
individuals receiving paid sick leave or other paid leave benefits for less than their
customary work week may still be eligible for PUA. The state must treat any paid sick
leave or paid leave received by a claimant in accordance with the income restrictions set
out in Disaster Unemployment Assistance (DUA) at 20 C.F.R. 625.13. Similarly, if an
individual has been offered the option of teleworking with pay and does, but works less
than the individual worked prior to the COVID-19 pandemic, income from such work
must be treated in accordance with the income restrictions set out in DUA at 20 C.F.R.
625.13.
In general, PUA provides up to 39 weeks of benefits to qualifying individuals who are
otherwise able to work and available for work within the meaning of applicable state UC
law, except that they are unemployed, partially unemployed, or unable or unavailable to
work due to one of the COVID-19 related reasons identified in Section
2102(a)(3)(A)(ii)(I) of the CARES Act and listed below:
The individual has been diagnosed with COVID-19 or is experiencing symptoms
of COVID-19 and is seeking a medical diagnosis;
A member of the individual’s household has been diagnosed with COVID-19;
The individual is providing care for a family member or a member of the
individual’s household who has been diagnosed with COVID-19;
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;
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;
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;
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;
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;
The individual has to quit his or her job as a direct result of COVID-19; or
The individual’s place of employment is closed as a direct result of the COVID-19
public health emergency.
For purposes of determining eligibility for PUA, regular UC includes state UC,
Unemployment Compensation for Federal Employees (UCFE), Unemployment
Compensation for Ex-servicemembers (UCX), Trade Readjustment Allowances (TRA),
DUA, Short-Time Compensation (STC), and payments under the Self-Employment
Assistance (SEA) programs. 20 C.F.R. 625.2(d)(1). Extended benefits mean
compensation provided under the provisions of the Federal-State Extended
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Unemployment Compensation Act of 1970. 20 C.F.R. 625.2(d)(3). See UIPL No. 14-20
for additional information regarding coordination across programs. PUA is not payable
in conjunction with state additional compensation.
The PUA WBA is equal to the WBA authorized under state UC law where the individual
was employed. In no case will the amount be less than the minimum WBA described in
20 C.F.R 625.6. For individuals without reported wages sufficient to establish a WBA,
the WBA will be calculated according to processes for DUA benefits set out in 20 C.F.R.
625.6.
For weeks of unemployment beginning on or after March 27, 2020, and ending on or
before July 31, 2020, individuals eligible to receive PUA are also eligible to receive
FPUC, authorized under section 2104 of the CARES Act. FPUC provides an additional
$600 per week. See UIPL No. 15-20 for additional information.
The duration of PUA benefits is generally limited to 39 weeks, minus any weeks of
regular UC and Extended Benefits (EB) the individual received. The weeks for which an
individual collected PEUC may not be deducted from the individual’s PUA entitlement.
b. Relationship between PUA and DUA. Section 2102(h) of the CARES Act provides that
regulations at 20 C.F.R. Part 625 shall apply to the PUA program “except as otherwise
provided in this section or to the extent there is a conflict” between section 2102 and
20 C.F.R Part 625. These regulations “shall apply to this section as if (1) the term
‘COVID-19 public health emergency’ were substituted for the term ‘major disaster’ each
place it appears in such 20 C.F.R Part 625; and (2) the term ‘pandemic’ were substituted
for the term ‘disaster’ each place it appears in 20 C.F.R. Part 625.”
Like DUA, the PUA program is an emergency program activated in response to a crisis
and designed to provide benefits to certain individuals who are ineligible for or who have
exhausted entitlement to regular unemployment compensation or extended benefits. Like
DUA, PUA has a defined assistance period, and a set minimum WBA which is
determined based on each state’s WBA. In addition, PUA benefits and the cost of its
administration are federally funded. To the extent possible, the PUA program should be
administered using the same initial application, weekly certifications, adjudication, and
appeal procedures utilized by the state for the DUA program. If an individual is eligible
for DUA with respect to a week of unemployment, he or she is not eligible to receive
PUA for that week.
c. Important program dates. PUA is payable for weeks of unemployment, partial
unemployment, or inability to work caused by the COVID-19 related reasons listed above
beginning on or after January 27, 2020. For states where the week of unemployment ends
on a Saturday, the first week for which PUA may be paid is the week ending February 8,
2020. In states where the week of unemployment ends on a Sunday, the first week for
which PUA may be paid is the week ending February 9, 2020.
PUA is not payable for any week of unemployment ending after December 31, 2020.
Accordingly, in states where the week of unemployment ends on a Saturday, the last
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week that PUA may be paid is the week ending December 26, 2020. For states where the
week of unemployment ends on a Sunday, the last week that PUA is payable is the week
ending December 27, 2020.
d. Program administration. The cost of PUA benefits is 100%federally funded.
Implementation costs and ongoing administrative costs are also 100%% federally funded.
The PUA program is administered through a voluntary agreement between states and the
Department. The program is available in all 50 states, the District of Columbia, the
Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, the Federated States of Micronesia, the
Republic of the Marshall Islands, and the Republic of Palau, provided the state/territory
signs an agreement with the Department.
States that have entered into an agreement with the Secretary of Labor (Secretary) to
operate a PUA program may enter into agreements to operate the PUA program on behalf
of other states that have also entered into agreements with the Secretary.
e. PUA Implementation Costs Reimbursement for One Time/Additional
Administrative Costs. Section 2102(f) provides for the payment of all additional
administrative expenses, as determined by the Secretary, incurred by the states to
implement and operate the PUA program. To aid in the determination of the necessity of
additional administrative expenses to implement the program, states requesting payments
of such costs are required to submit Supplemental Budget Requests (SBRs) detailing the
program startup costs. These SBRs must be limited to one-time costs that are attributable
to implementation of the PUA program.
Examples of permissible implementation costs include:
Computer programming and other technology costs;
Implementation of necessary business processes required for program
implementation;
Training and travel;
Notices to beneficiaries; and/or
Overhead related only to the above.
The estimated cost basis for all items must be included in the SBR Application.
Calculations for costs of state staff and contractors must be shown in accordance with the
SBR instructions in ET Handbook No. 336. For application submission instructions refer
to Attachment IV, Supplemental Budget Request Application; and Attachment V,
Instructions for Completing the SF424 and SF424A.
ETA requires a state to submit its PUA implementation SBR Application along with
required SF424 and SF424A forms. ETA encourages states to submit these forms by
April 30, 2020, by electronic submission to the National Office at covid-19@dol.gov with
a copy to the appropriate Regional Office.
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State agencies will receive reimbursement for on-going workload costs through the new
ETA902P report. More specific information is included in Attachment I, Section E, and
“Reporting Instructions.”
f. Additional Guidance and Instructions. Additional guidance and instructions on
implementing and operating the PUA program are provided in the attachments to this
UIPL. Attachment I of this UIPL provides states with the implementation and operating
instructions, including definitions, administrative requirements, financial information, and
reporting information. Attachment II provides the general provisions concerning
conditions and assurances for PUA. Attachment III provides the statutory language in
Section 2102 of the CARES Act creating PUA. Attachment IV is the SBR Application
template. Attachment V is the Instructions for completing the Standard Form (SF) 424
and SF 424A.
g. Inquiries. We encourage states to contact the Department for technical assistance.
Please direct inquiries to covid-19@dol.gov, with a copy to the appropriate Regional
Office.
h. References.
Coronavirus Aid, Relief, and Economic Security (CARES) Act (Pub. L. 116-136),
Title II, Subtitle A – Relief for Workers Affected by Coronavirus Act;
Federal-State Extended Unemployment Compensation Act of 1970 (26 U.S.C.
3304 note);
20 C.F.R. Part 625 – Disaster Unemployment Assistance;
Unemployment Insurance Program Letter (UIPL) No. 10-20, Unemployment
Compensation (UC) for Individuals Affected by the Coronavirus Disease 2019
(COVID-19), issued March 12, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8893;
UIPL No. 14-20, Coronavirus Aid, Relief, and Economic Security (CARES) Act of
2020 – Summary of Key Unemployment Insurance (UI) Provisions and Guidance
Regarding Temporary Emergency State Staffing Flexibility, issued on April 2,
2020, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3390;
UIPL No. 15-20, Coronavirus Aid, Relief, and Economic Security (CARES) Act of
2020—Federal Pandemic Unemployment Compensation (FPUC) Program
Operating, Financial, and Reporting Instructions, issued on April 4, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9297;
ETA Handbook No. 356 Disaster Unemployment Assistance,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2124; and
ET Handbook No. 401, UI Report Handbook,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7774.
i. Attachment(s).
Attachment I: Pandemic Unemployment Assistance (PUA) Implementation and
Operating Instructions
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Attachment II: General Provisions for Administering the Pandemic
Unemployment Assistance (PUA) Program
Attachment III: Statutory Language of Section 2102 of the Coronavirus Aid,
Relief, and Economic Security (CARES) Act of 2020
Attachment IV: Supplemental Budget Request Application
Attachment V: Instructions for Completing the SF424 and SF424A
Attachment VI: Handbook No. 401 Reporting Instructions for ETA 902-Pandemic
Unemployment Assistance
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Attachment I to UIPL No. 16-20
Pandemic Unemployment Assistance (PUA) Implementation and Operating
Instructions
A. Introduction:
On March 27, 2020, the President signed Public Law (Pub. L.) 116-136, the Coronavirus Aid,
Relief, and Economic Security (CARES) Act of 2020. Section 2102 creates a new federal
program called Pandemic Unemployment Assistance (PUA) and provides funding to states
for the administration of the program. The PUA program generally allows states that enter
into an agreement with the Secretary of Labor to pay up to 39 weeks of benefits to
individuals who are not eligible to receive or who have exhausted regular unemployment
compensation (UC), Extended Benefits (EB), and Pandemic Emergency Unemployment
Compensation (PEUC) under Section 2107, and who otherwise meet the eligibility
requirements of the CARES Act. The costs of the new federal benefit and of program
administration are 100% federally funded. This guidance explains the eligibility
requirements and other administrative functions associated with the program.
B. Definitions:
This section contains the definitions of terms used throughout this document, using
definitions in 20 C.F.R. 625.2 and in section 205 of the Federal-State Extended
Unemployment Compensation Program (hereafter called the Federal-State EB Law).
References to 5 U.S.C. chapter 85 relate to Unemployment Compensation for Federal
Employees (UCFE) and Unemployment Compensation for Ex-Servicemembers (UCX).
1. “Act” means Coronavirus Aid, Relief, and Economic Security (CARES) Act (Pub. L.
116-136), including Title II Subtitle A, The Relief for Workers Affected by Coronavirus
Act.
2. “Additional compensation” means compensation totally financed by a state and payable
under a state law by reason of conditions of high unemployment or by reason of other
special factors, and when so payable, includes compensation payable pursuant to 5 U.S.C.
chapter 85.
3. “Agreement” means the agreement between a state and the U.S. Department of Labor
(Department) to administer the PUA Program. Under the agreement, the state agency
makes payments of PUA as the Department’s agent. PUA payments must be made in
accordance with the Act as interpreted by the Department in these instructions and any
other instructions issued by the Department.
4. “Applicable state” means, with respect to an individual, the state from which the
individual is receiving compensation.
5. “Applicable state law” means the unemployment compensation law of the applicable state
for an individual.
6. “Benefit year” means, with respect to an individual, the benefit year as defined in the
applicable state law.
7. “Compensation” shall have the meaning provided in 20 C.F.R. 265.2(d).
8. “COVID-19” means the 2019 Novel Coronavirus or 2019-nCoV.
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9. “COVID-19 Public Health Emergency” means the public health emergency declared by
the Secretary of Health and Human Services on January 27, 2020, with respect to the
2019 Novel Coronavirus.
10. “Covered Individual” means an individual who is not eligible for regular compensation or
extended benefits under State or Federal law or pandemic emergency unemployment
compensation under section 2107 of the Act, including an individual who has exhausted
all rights to regular unemployment or extended benefits under State or Federal law or
pandemic emergency unemployment compensation under section 2107; and provides
self-certification that the individual meets the requirements in Section C.1, below.
11. “Department” means the U.S. Department of Labor.
12. “Extended compensation” means compensation payable to an individual for weeks of
unemployment in an extended benefit period, under those provisions of the state law
which satisfy the requirements of the Federal-State Extended Unemployment
Compensation Act of 1970 (Pub. L. 91-373), and when so payable includes additional
compensation and compensation payable pursuant to 5 U.S.C. chapter 85. Extended
compensation is referred to as Extended Benefits or EB.
13. “Federal Pandemic Unemployment Compensation” means the compensation payable
under section 2104 of the Act and is referred to as FPUC.
14. “Pandemic Unemployment Assistance” means the compensation payable under section
2102 of the Act and is referred to as PUA.
15. “Pandemic Emergency Unemployment Compensation” means compensation payable
under section 2107 of the Act and is referred to as PEUC.
16. “Regular compensation” means compensation payable to an individual under any state
law or the unemployment compensation plan of a political subdivision of a state and,
when so payable, includes compensation payable pursuant to 5 U.S.C. chapter 85 (parts
609 and 614 of this chapter), but not including extended compensation or additional
compensation.
17. “Secretary” means the U.S. Secretary of Labor.
18. “State” means the states of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, the Federated States of Micronesia, the
Republic of the Marshall Islands, and the Republic of Palau.
19. “State agency” means the agency of the state which administers its state law and, for
Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, the
Federated States of Micronesia, the Republic of the Marshall Islands, and the Republic of
Palau it means the agency designated in the Agreements entered into with the
Department.
20. “State law” means the unemployment compensation law of a state, approved by the
Secretary under Section 3304 of the Federal Unemployment Tax Act (FUTA). (26
U.S.C. § 3304(a)).
21. “Week” means a week as defined in the applicable state law.
22. “Week of unemployment” is defined as used in 20 C.F.R. 265.2(w).
Note: Except as otherwise provided in Section 2102 of the Act or to the extent there is a
conflict between Section 2102 and 20 C.F.R. Part 625, 20 C.F.R. Part 625 shall apply to
Section 2102 as if the term “COVID–19 public health emergency” were substituted for the
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term “major disaster” each place it appears in 20 C.F.R. Part 625 and the term “pandemic”
were substituted for the term “disaster” each place it appears in 20 C.F.R. Part 625.
C. Operating Instructions:
1. Eligibility.
Section 2102 of the Act provides for payment of PUA to “covered individuals”.
“Covered individuals” are those individuals not qualified for regular unemployment
compensation, extended benefits under state or Federal law, or pandemic emergency
unemployment compensation (PEUC), including those who have exhausted all rights
to such benefits. “Covered individuals” also include self-employed, individuals
seeking part-time employment, individuals lacking sufficient work history, or those
otherwise not qualified for regular UC, extended benefits under state or federal law, or
PEUC.
For purposes of PUA coverage, an individual “lacking sufficient work history” means an
individual (1) with a recent attachment to the labor force (2) who does not have sufficient
wages in covered employment during the last 18 months to establish a claim under
regular UC, and (3) who became unemployed or partially unemployed because of one of
the COVID-19 related reasons identified under Section 2102. Demonstration of a recent
attachment to the labor force for PUA coverage purposes also includes individuals who
had a bona fide offer to start working on a specific date and were unable to start due to
one of the COVID-19 related reasons identified under Section 2102.
“Self-employed individuals” as defined in 20 C.F.R 625.2(n) means individuals whose
primary reliance for income is on the performance of services in the individual’s own
business, or on the individual’s own farm. These individuals include independent
contractors, gig economy workers, and workers for certain religious entities.
PUA is generally not payable to individuals who have the ability to telework with pay, or
who are receiving paid sick leave or other paid leave benefits. However, an individual
receiving paid sick leave or other paid leave benefits for less than his or her customary
work week may still be eligible for a reduced PUA WBA. The state must treat any paid
sick leave or paid leave received by a claimant in accordance with the income restrictions
set out in DUA at 20 C.F.R. 625.13, if the pay or paid leave exceeds the PUA WBA.
Similarly, if an individual has been offered the option of teleworking with pay and does
telework with pay, but is working less than the individual customarily worked prior to the
COVID 19 pandemic, the individual may be eligible for a reduced PUA WBA. Income
from such work would be treated in accordance with the income restrictions set out in
DUA at 20 C.F.R. 625.13.
To be a “covered individual” under PUA, an individual must also self-certify that he or
she is otherwise able to work and available for work, as provided under state law, except
that the individual is unemployed, partially unemployed, unable to work or unavailable
for work due to at least one of the following categories described below. Included for
each of the categories are illustrative examples and explanations of circumstances that fall
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under each category. These examples and explanations for each of the categories are not
an exhaustive list of all COVID-19 related circumstances that may qualify an individual
for PUA benefits, however, should other qualifying circumstances be used they must be
identified and applied in a manner consistent with the examples below.
a) The individual has been diagnosed with COVID-19 or is experiencing symptoms of
COVID-19 and is seeking a medical diagnosis. Examples may include:
An individual who has to quit his or her job as a direct result of COVID-19
because the individual has tested positive for the coronavirus 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 the coronavirus 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.
b) 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.
c) 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.
d) 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
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facility requires such ongoing and constant attention that it is not possible for
the individual to perform work at home.
e) 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.
f) 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. Examples include:
An individual who has been advised by a qualified medical professional that
he or she may be infected with the coronavirus and that he or she therefore
should self-quarantine. For example, an individual had direct contact with
another person who has tested positive for the coronavirus 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 the coronavirus.
g) 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 the coronavirus 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.
h) 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.
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i) 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.
j) 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 unemployment of individuals who worked in the
business would be considered a direct result of COVID-19.
k) The individual meets any additional criteria established by the Secretary for
unemployment assistance under this section.
The Secretary has determined that, in addition to individuals who qualify for
benefits under the other criteria described above, an individual who works as an
independent contractor with reportable income may also qualify for PUA benefits
if he or she is unemployed, partially employed, or unable or unavailable to work
because the COVID-19 public health emergency has severely limited his or her
ability to continue performing his or her customary work activities, and has
thereby forced the individual to suspend such activities. For example, a driver for
a ridesharing service who receives an IRS Form 1099 from the ride sharing
service may not be eligible for PUA benefits under the other criteria outlined
above, because such an individual does not have a “place of employment,” and
thus cannot claim that he or she is unable to work because his or her place of
employment has closed. However, under the additional eligibility criterion
established by the Secretary here, the driver may still qualify for PUA benefits if
he or she has been forced to suspend operations as a direct result of the COVID-
19 public health emergency, such as if an emergency state or municipal order
restricting movement makes continued operations unsustainable.
States are required to do the following to ensure the efficacy and integrity of the self-
certification process:
Include information on the self-certification form (either paper or on-line), that the
claimant completes, including:
o Separate from the actual certification, an acknowledgement that the
claimant understands that making the certification is under penalty of
perjury; and
o Information that advises the claimant that intentional misrepresentation in
self-certifying that he or she falls in one or more of these categories is
fraud.
Provide clear messaging on-line that claimants may be subject to criminal
prosecution if they are found to have committed fraud.
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States are also required to take reasonable and customary precautions to deter and detect
fraud, such as, for example, a random audit of a sample of claims to detect fraud.
States should bear in mind that many of the qualifying circumstances described in section
2102(a)(3)(A)(ii)(I) are likely to be of short term duration. 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 the coronavirus, and is
therefore unable to reach his or her place of employment for purposes of
2102(a)(3)(A)(ii)(I)(ff), may be able to return to his or her place of employment within
two weeks of the exposure if he or she has not exhibited symptoms of COVID-19 or
tested positive for the coronavirus. Similarly, a school is not closed as a direct result of
the COVID-19 public health emergency, for purposes of 2102(a)(3)(A)(ii)(I)(dd), after
the date the school year was originally scheduled to end. As such, the expectation is that
states will continue to apply their able, available, and actively seeking work standards as
outlined in state law.
States should also note that, for purposes of section 2102(a)(3)(A)(ii)(I)(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 the section.
In general, a determination about whether actions are a “direct result”, as explained
above, should be made based on 20 C.F.R. 625.5(c). When making a determination under
the regulation, states should take into account specific circumstances unique to the
COVID-19 public emergency. For example, if a business is shut down due to an
emergency declaration or due to necessary social distancing protocols, the unemployment
of individuals who worked in the business would be considered a direct result of COVID-
19.
Individuals who meet the following criteria are not eligible for PUA:
a. Individuals who have the ability to telework with pay. When addressing issues
about the availability of paid telework, the state must determine whether the
claimant has been offered the option of continuing to work for pay by
teleworking. If so, and claimants were offered to continue to work the same
number of hours, claimants are not eligible for PUA.
b. Individuals receiving paid sick leave or other paid leave benefits. If claimants
receive such leave for their customary work hours, they are not eligible for PUA.
The state must treat any paid sick leave or paid leave received by a claimant in
accordance with the income restrictions set out in DUA at 20 C.F.R. 625.13.
If the state has further questions in determining whether an individual’s qualifying
circumstances are a direct result of the COVID-19 public health emergency (as
distinguished from circumstances that are a direct result of COVID-19 under the terms of
section 2102), the state should refer to 20 C.F.R. 625.5(c).
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2. Determining Exhaustees. A PUA claimant ceases to be regular UC, PEUC, and EB
exhaustee when he or she can establish a valid new benefit year. If an individual is no
longer a regular UC, EB, or PEUC exhaustee, the individual will not meet the definition
of a covered individual and may not receive PUA benefits. Therefore, at each quarter
change, the state must check to determine if an individual meets the state’s requirements
to establish a new benefit year. If individuals can establish a new benefit year, they are
no longer eligible for PUA. In these cases, the claimants should be advised that they are
no longer eligible for PUA and that they may file a regular UC, PEUC or EB claim.
3. Beginning and Ending Dates of the PUA Program. Under Section 2102 of the Act, states
may begin making PUA payments after their agreement with the Secretary is signed.
Once the agreement is signed, PUA must be paid starting with weeks of unemployment
beginning on or after January 27, 2020, if the individual meets PUA’s eligibility
requirements. In states where the week of unemployment ends on Saturday, the first
week for which PUA may be paid is the week ending February 8, 2020. In states where
the week of unemployment ends on Sunday, the first week for which PUA may be paid is
the week ending February 9, 2020.
Thus, PUA claims may be backdated to February 2, 2020, the first week of the Pandemic
Assistance Period (PAP), if the individual otherwise meets the eligibility requirements to
receive PUA as of that date, including the requirement that the individual’s
unemployment was due to the COVID-19 related reasons listed in section C.1.
States may not make PUA payments with respect to weeks of unemployment ending after
December 31, 2020. Thus, in states where weeks of unemployment end on a Saturday,
the last compensable week for the PUA program is the week ending December 26, 2020.
In states where the week of unemployment ends on Sunday, the last compensable week
for the PUA program is the week ending December 27, 2020.
4. State PUA Agreements with the Department. The PUA program is administered
through voluntary agreements between states and the Department. The program is
available in all 50 states, the District of Columbia, the Commonwealth of Puerto Rico,
the U.S. Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern
Mariana Islands, the Federated States of Micronesia, the Republic of the Marshall
Islands, and the Republic of Palau, provided the state/territory signs an agreement with
the Department.
5. Termination of PUA Agreement. Either party, upon thirty days written notice, may
terminate the PUA Agreement. The Department reserves the right to terminate this
Agreement if it determines that the State does not have an adequate system for
administering such assistance, including because the State is not adequately ensuring that
individuals receiving benefits under the PUA Program are eligible for such benefits. In
the case of termination, the PUA period will end 30 days after the date one of the parties
to the agreement notifies the other party of its election to terminate the PUA agreement.
No PUA payments may be made with respect to weeks which begin after the date the
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termination of the agreement is effective. However, PUA is payable for weeks of
unemployment ending on or before such termination date.
6. Agreements between States. One state that has entered into an agreement with the
Department to operate a PUA program may choose to enter into an agreement with
another state that has an agreement with the Department to operate the program on behalf
of the other state.
7. Processing PUA Claims.
a. Applicability of State Law Provisions. Under Section 2102(h) of the Act, 20
C.F.R. Part 625 applies to the administration of this program except as otherwise
provided in Section 2102. Consistent with 20 C.F.R 625.11, the terms and
conditions of the state law of the applicable state for an individual which apply to
claims for, and the payment of, regular compensation apply to the payment of
PUA to individuals. The provisions of the applicable state law that apply to
claims for PUA include, but are not limited to:
Claim Filing and Reporting;
Information and Due Process to individuals;
Notices to individuals and employers, as appropriate, including notice to
each individual of each determination and redetermination of eligibility for
or entitlement to PEUC;
Determinations, redeterminations, appeals, and hearings;
Disqualification, including disqualifying income provisions;
Ability to work and availability for work, absent a COVID-19 related
circumstance listed above;
The Interstate Benefit Payment Plan; and
The Interstate Arrangement for Combining Employment and Wages.
b. Claims for PUA. In processing claims for PUA, states must verify that
individuals have no regular UI entitlement. If the individual is not eligible for
regular UI because there are insufficient covered wages or the individual has an
active UI claim with a definite or indefinite disqualification, then a state does not
need to require the individual to file a regular UI initial claim. However, the state
must have an established process whereby the individual’s ineligibility for regular
UI is documented on the application.
c. If the individual’s eligibility for regular UI is questionable (for example, there are
wages in the base period but no claim is filed, or a job separation that has not been
adjudicated), then the state must first require the individual to file a regular UI
initial claim. If the individual is subsequently disqualified, then the state may
consider the individual for PUA eligibility.
8. Establishment of the Effective Date of PUA claims. The Pandemic Assistance Period
(PAP) begins February 2, 2020 (the first week following the beginning date provided
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by the CARES Act) and ends on December 26, 2020 (the last week provided by the
CARES Act, in states where weeks of unemployment end on a Saturday) or
December 27, 2020 (the last week provided by the CARES Act, in states where
weeks of unemployment end on a Sunday).
PUA claims are effective the week filed. However, they must be backdated to the
first week during the PAP in which the individual meets the definition of a covered
individual.
9. Establishment of PUA Weekly Benefit Amount. Section 2102(d) of the Act requires the
state to pay individuals the WBA under the UC law of the state where the covered
individual was employed plus the $600 FPUC payment. The minimum WBA may not be
less than the minimum WBA in 20 C.F.R. 625.6 before the amount of FPUC under
Section 2104 of the Act is added.
If an individual is self-employed or would not otherwise qualify for UC under a state’s
law, the individual’s PUA WBA is calculated as provided in 20 C.F.R. 625.6 and is
increased by the $600 FPUC payment. If a self-employed individual or an individual
who is “lacking sufficient work history” had earnings for the prior tax year that would
result in a lower WBA than the minimum DUA WBA that is outlined in the quarterly
UIPL for the Minimum DUA benefit, the individual’s WBA must be the minimum
amount listed in the quarterly UIPL. Since the PAP began on February 2, 2020, the
state’s minimum PUA WBA for the period February 2, 2020, through March 31, 2020,
will be calculated based on UIPL No. 3-20. If an individual lives in a territory that does
not provide unemployment compensation under its law, the individual’s PUA WBA is
calculated as provided in 20 C.F.R. 625.6.
10. Establishment of PUA Maximum Entitlement (Number of weeks of PUA). The total
number of weeks in which a covered individual may receive PUA may not exceed 39
weeks and such total must include any week for which a covered individual received
regular compensation or extended benefits under any state or federal law.
Section 2102 of the Act provides that if extended benefits duration is extended after
March 27, 2020, the 39-week period shall be extended by the number of weeks that is
equal to the number of weeks by which the extended benefits were extended. Thus, if a
state enters a “high unemployment period,” as provided in section 202(b)(3)(B) of the
Federal-State Extended Unemployment Compensation Act of 1970 (26 U.S.C. 3304
note), up to an additional 7 weeks of benefits for a total of 46 weeks of PUA benefits
would be available to eligible individuals. However, note that PUA entitlement must be
reduced by the amount of regular compensation and extended benefits the individual
received.
11. Other PUA Operational Instructions.
a. Total Unemployment. The WBA payable to an individual for a week of
total unemployment is equal to the individual's most recent WBA (including
any dependents’ allowances) for the applicable PAP.
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b. Partial and Part-Total Unemployment. To determine the amount payable for
a week of partial or part-total unemployment, the state will calculate the
payment amount in accordance with the state law applicable to such a week
of unemployment.
c. The terms and conditions of the state law which apply to claims for regular
compensation and extended benefits and the payment thereof shall apply to
claims for PUA and the payment thereof except as provided in these
operating instructions and any additional guidance issued regarding the
PUA program.
12. Secretary’s Standard. The procedures for reporting and filing claims for PUA must be
consistent with these instructions and the Secretary’s “Standard for Claim Filing,
Claimant Reporting, Job Finding and Employment Services” (Employment Security
Manual, Part V, sections 5000 et. seq.).
13. Determination of Entitlement: Notices to Individuals.
a. Determination of Initial Claim. When an individual files an initial claim for PUA
the state agency must determine promptly the eligibility of the individual and, if
eligible, the weekly and maximum amounts of PUA payable. If denied PUA, the
individual must be issued an appealable determination.
b. Determination of Weekly Claims. The state agency must promptly, upon the
filing of a claim for a payment of PUA for a week of unemployment, determine
whether the individual is entitled to a payment of PUA for such week, and, if
entitled, the amount of PUA to which the individual is entitled to and issue a
prompt payment.
c. Redetermination. An individual filing a PUA initial claim or weekly certification
has the same rights to request a reconsideration of a determination as are provided
for in the applicable state law for regular compensation.
d. Notices to Individual. The state agency must give written notice to the individual
of any determination or redetermination of an initial claim and all weekly claims.
Each notice must include such information regarding rights to reconsideration or
appeal, or both, using the same process that is used for redeterminations of regular
compensation.
e. Promptness. Full payment of PUA when due must be made as soon as
administratively feasible.
f. Secretary’s Determination Standard. The procedures for making determinations
and redeterminations and furnishing written notices of determinations,
redeterminations, and rights of appeal to individuals claiming PUA must be
consistent with the Secretary’s “Standard for Claim Determinations—Separation
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Information" (Employment Security Manual (ESM), Part V, sections 6010 et
seq.). In processing claims, states must comply with section 6013 of the ESM
about conducting an investigation and section 6014 of the ESM concerning
gathering separation information from employers when the claim involves
separation from an employer.
g. Appeal and Hearing.
Applicable State Law. To ensure that appeals and hearings are held
promptly, the applicable state law provisions concerning the right of
appeal and fair hearing from a determination or redetermination of
entitlement to regular compensation shall apply to determinations and
redeterminations of eligibility for or entitlement to PUA.
Rights of Appeal and Fair Hearing. The right of appeal and opportunity for
a fair hearing to claims for PUA must be consistent with these instructions
and with sections 303(a)(1) and 303(a)(3) of the Social Security Act (SSA)
(42 U.S.C. 503(a)(1) and 503(a)(3)).
Promptness of Appeals Decisions.
o Decisions on appeals under the PUA Program must accord with the
"Standard for Appeals Promptness—Unemployment
compensation" in 20 C.F.R. Part 650.
o Any applicable state law provision allowing the advancement or
priority of unemployment compensation cases on judicial
calendars, or otherwise intended to provide for the prompt payment
of unemployment compensation when due, must apply to
proceedings involving entitlement to PUA.
h. Fraud and Overpayment. The requirements of 20 C.F.R. 625.14 shall apply with
respect to PUA overpayments and fraud to the same extent and in the same
manner as in the case of DUA.
i. A state may also use other federal UC to recover PUA overpayments made in that
state, regardless of whether the state has an agreement under Section 303(g)(2) of
the Social Security Act (SSA) (42 U.S.C. §503(g)(2)). This includes FPUC and
PEUC.
j. Further, if a state has an Interstate Reciprocal Overpayment Recovery
Arrangement in effect with the National Association of State Workforce
Agencies, PUA may only be used to offset PUA overpayments for another state.
However, a state may use state or other federal UC paid in that state to recover
PUA overpayments for other states.
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14. Effect of Other UI-Related Programs on Eligibility for PUA.
a. Trade Readjustment Allowances (TRA). Individuals are not eligible for TRA
until PUA entitlement is exhausted. The provisions of Section 233(d) of the Trade
Act of 1974, as amended, (relating to reduction of EB entitlement because of the
receipt of TRA in the most recent benefit year) are not applicable to
determinations of entitlement to PUA.
b. Disaster Unemployment Assistance (DUA). If an individual is eligible for DUA
with respect to a week of unemployment under Section 410 of the Robert T.
Stafford Disaster Relief and Emergency Assistance Act, as amended, (42 U.S.C.
5177) the individual is not eligible to receive PUA for that week.
15. Effect of State Additional Compensation (AC). Section 2102 of the Act and, by
reference, DUA regulations at 20 C.F.R. Part 625 require that an individual have no rights
to regular compensation, extended benefits, or additional compensation in order to meet
the eligibility requirements for PUA.
16. Effect of Federal Pandemic Unemployment Compensation (FPUC). Section 2102 of the
Act provides that the $600 FPUC payments provided under section 2104 of the Act be
added to the PUA WBA. Note that the FPUC payment may be made separately from the
PUA payment or combined with that payment, and that FPUC payments may only be
made with respect to weeks of unemployment ending on or before July 31, 2020.
17. Coordination Rule. Section 2102 of the CARES Act requires, as a condition of PUA
eligibility, that an individual not be eligible for regular compensation or extended benefits
under state or federal law or pandemic emergency unemployment compensation under
Section 2107, or to have exhausted all rights to regular unemployment or extended
benefits under state or federal law or pandemic emergency unemployment compensation
under Section 2107.
18. Record Maintenance and Disposal of Records. The state must maintain PUA payment
data as required by the Department.
a. Record Maintenance. Each state will maintain records on the administration of the
PUA program and will make all such records available for inspection,
examination, and audit by such federal officials, employees as the Department
may designate, or as may be required by the law. Reference ET Handbook No.
401, UI Report Handbook for details.
b. Disposal of Records. The electronic/paper records created in the administration of
the PUA program must be maintained by the state for three years after final action
(including appeals or court action) on the payments, or for less than the three-year
period if copied by micro photocopy or by an electronic imaging method. At the
end of the three-year period, the PUA records shall be transferred to state
accountability under the conditions for the disposal of records that apply to UCFE
and UCX records, as explained in Chapter X of ET Handbook No. 391 (1994
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Edition) (OMB No. 1205-0179) and Chapter I of ET Handbook No. 384 (1994
Edition) (OMB No. 1205-0176).
19. Disclosure of Information. Information in records made and maintained by the state
agency in administering the PUA program must be kept confidential, and information in
such records may be disclosed only in the same manner and to the same extent as
information with respect to regular compensation, and the entitlement of individuals
thereto, may be disclosed under provisions of the applicable state law meeting the
requirements of 20 C.F.R. Part 603. As provided under 20 C.F.R. 603.4(b), the
confidentiality requirements do not apply when such information is being provided in the
aggregate, provided it cannot be combined with other publicly available information to
reveal any such identifying particulars about an individual or the individual’s past or
present employer.
20. Inviolate Rights to PUA. The rights of individuals to PUA must be protected in the same
manner and to the same extent as the rights of persons to regular UC are protected under
the applicable state law. Such measures must include protection of individuals from
waiver, release, assignment, pledge, encumbrance, levy, execution, attachment, and
garnishment of their rights to PUA. In the same manner and to the same extent,
individuals must be protected from discrimination and obstruction in regard to seeking,
applying for, and receiving PUA.
21. Notifications.
a. Identification and Notification of Potentially Eligible Claimants. The state must
identify individuals who are potentially eligible for PUA and provide them with
appropriate written notification of their potential entitlement to PUA, including
filing instructions. This includes notifying claimants who were found ineligible
for UC as far back as January 27, 2020.
b. Interstate Claims. PUA is payable to individuals filing under the Interstate Benefit
Payment Plan in the same manner and to the same extent that benefits are payable
to intrastate claimants. The liable state is responsible for identifying and notifying
all potentially eligible interstate claimants of their potential eligibility, including
filing instructions.
c. Notification of Media. To assure public knowledge of the status of the PUA
program, the state must notify all appropriate news media having coverage
throughout the state of the beginning of the PUA program.
D. Financial Information and Instructions:
1. Payment to States. Requesting PUA Benefit Funds—Under Section 2102(f)(2) of the
CARES Act, each state that has entered into an agreement with the Secretary to pay PUA,
will be paid an amount equal to l00% of the amount of PUA paid to eligible individuals
by the state under the agreement and in full accordance with the CARES Act and these
instructions. States will request funds from the Extended Unemployment Compensation
Account (EUCA) through the Automated Standard Application for Payments (ASAP)
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system. Drawdown requests must adhere to the funding mechanism stipulated in the
Treasury-State Agreement executed under the Cash Management Improvement Act of
1990. Requests will be funded in the same manner as all ASAP transactions elected by
the states (FEDWIRE or ACH to the state benefit payment account).
There will be one new line in the ASAP for making drawdowns to pay PUA benefits,
refer to #3 below for drawdown instructions. The line will be clearly labeled PANDEMIC
UNEMPLOYMENT ASSISTANCE (PUA).
Section 2102(f)(2)(B) authorizes the Secretary to determine the amounts to be paid to
states for processing PUA workloads. Such costs will be based on workload counts
reported on the ETA902P report, and will incorporate minute per unit factors and salary
rates identical to those used in the computation of the regular UC program above base
administrative costs.
Administrative costs will be computed on the ETA 902P report, line 301, column 17. See
Attachment VI for additional detail. The supplemental budget request process will be
used for states to request funds for implementation.
2. PUA Accounting Obligational Authority. The Grant Officer will assign a separate line on
the UI program notices of obligational authority for PUA administrative grant funds, and
a separate sub-account for PUA will be set up in the Payment Management System for
states to draw down PUA administrative funds.
Administrative Fund Accounting—Because of the separate appropriation for PUA
administrative funds and the availability of these funds until expended, states must track
and report PUA administrative expenditures and obligations separately from the regular
UI program. Therefore, states must establish a separate fund ledger and must submit a
separate ETA 9130 for the PUA program. States must include any PUA administrative
expenditures and obligations incurred in March 2020 in their June 30, 2020, PUA ETA
9130 report.
3. Time Distribution. To ensure that PUA costs are tracked separately, states must charge
time used for all PUA activities to the appropriate UI functional activity codes as outlined
in Appendix E to ET Handbook No. 410 under the separate PUA fund ledger; however,
states must combine regular and PUA staff year usage data in Section A of the UI-3
worksheet.
4. Accounting for PUA Payments (Benefits). PUA advances to the states’ UTF accounts
and disbursements for PUA benefit payments will be reported on the monthly ETA 2112.
Do not use a separate form for this report. (See Reporting Instructions.) Accurate
reporting of advances, reimbursements and payments is important due to the monthly
reconciliation of balances with Department of Labor records.
5. Processing Refunds. There are two scenarios for returning funds to the program line for
PUA.
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a. The most likely scenario will be when the state has funds in its state benefit
payment account and needs to return those funds to the EUCA. This should be
completed as a negative amount posted to the appropriate line in ASAP. To
accomplish this, the total draw for the day in ASAP must be greater than the
negative balance posted to the appropriate line.
b. The second scenario is when a state actually has the funds in its Federal UI
account that are required to be returned to the appropriate program line. This
should be accomplished by the state processing a book transfer transaction that
accomplishes a transfer from its UI account to the appropriate program under the
EUCA account.
E. Reporting Instructions
1. ETA 2112. PUA benefit payment activity must be reported in the aggregate on the
regular ETA 2112 report.
a. Line 23c. Pandemic Unemployment Assistance. Report in columns C and E the
amount of Federal funds received as advances or reimbursement for PUA.
b. Line 42c. PUA Activity. Enter in columns C and F the net amount for which the
Federal government is liable for PUA.
2. ETA 538. Total PUA initial claims processed during the report period and total PUA
continued claims reflecting unemployment for the previous week will be reported in the
comments section and labeled as “PUA IC” and “PUA CC” followed by the number. For
example: “PUA IC =239” “PUA CC =15,135”. Regular initial claims and continued
claims should not include PUA claims.
3. ETA 539. Total PUA initial claims processed during the report period and total PUA
continued claims reflecting unemployment for the previous week will be reported in the
comments section and labeled as “PUA IC” and “PUA CC” followed by the number. For
example: “PUA IC =239” “PUA CC =15,135”. Regular initial claims and continued
claims should not include PUA claims.
4. ETA 902. See Attachment VI for detailed instructions about this reporting.
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Attachment II to UIPL No. 16-20
General Provisions for Administering the Pandemic Unemployment Assistance (PUA)
Program
CERTIFICATIONS AND ASSURANCES
1. Compliance with Federal Requirements. States must comply with the provisions contained
in the states’ Agreements with the Department to administer PUA and all applicable PUA
funding instruments. States must perform such duties and functions in accordance with
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards at 2 C.F.R. Part 200 and 2 C.F.R. Part 2900 applicable to all grants and cooperative
agreements. Additionally, the Department’s administrative requirements for grants and
cooperative agreements at 29 C.F.R. Parts 31, 32, 38, 96, and 98 apply to grant funds
provided for these activities.
2. Prohibition on Subsidization of Forced or Indentured Child Labor. States, consistent
with section 103 of the Further Consolidated Appropriations Act, 2020, Pub. L. 116- 94 and
in accordance with Executive Order No. 13126, must not obligate or expend funds made
available to administer PUA for the procurement of goods, mined, produced, manufactured,
or harvested or services rendered, whole or in part, by forced or indentured child labor in
industries and host countries already identified by the U.S. Department of Labor prior to
enactment of the Department’s 2008 appropriation.
3. Salary and Bonus Pay Limitations. States, in compliance with section 101 of the Further
Consolidated Appropriations Act, 2020, PUB. L. 116- 94, must not use funds provided for
PUA administration to pay the salary and bonuses of an individual, either as direct costs or
indirect costs, at a rate in excess of Executive Level II, except as provided for under section
101 of Public Law 109-149. This limitation shall not apply to vendors providing goods and
services as defined in OMB Circular No. A-133. Where states are recipients of such funds,
states may establish a lower limit for salaries and bonuses of those receiving salaries and
bonuses from sub-recipients of such funds, taking into account PUA, including the relative
cost-of-living in the state, the compensation levels for comparable state or local government
employees, and the size of the organizations that administer Federal programs involved
including Employment and Training Administration programs. See TEGL No. 5-06 for
further clarification. The incurrence of costs and the receipt of reimbursement for these costs
under this award certifies that the Grantee has read the above condition and is in compliance.
4. Veterans’ Priority Provisions. This program, funded by the U.S. Department of Labor, is
subject to the provisions of the “Jobs for Veterans Act” (JVA), Public L. 107-288 (38 U.S.C.
§4215). The JVA provides priority of service to veterans and spouses of certain veterans for
the receipt of employment, training, and placement services. The veterans’ priority is
implemented by 20 C.F.R. Part 1010 (73 Fed. Reg. 78132, Sept. 19, 2008). Please note that
to obtain priority service a veteran must meet the program’s eligibility requirements.
Training and Employment Guidance Letter (TEGL) No. 10-09 (November 10, 2009)
provided general guidance on the scope of the veterans’ priority statute and its effect on
current employment and training programs. In addition to TEGL 10-09, a series of questions
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and answers related to priority of service is posted at:
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816 for fifteen (15) programs
administered by ETA.
The Workforce Innovation and Opportunity Act (WIOA) State Plan requires states to
describe the policies and strategies in place to ensure, pursuant to the JVA, that priority of
service is provided to veterans (and certain spouses) who otherwise meet the eligibility
requirements for all employment and training programs funded by the U.S. Department of
Labor and administered by ETA. See Required Elements for Submission of the Unified or
Combined State Plan and Plan Modifications under the Workforce Innovation and
Opportunity Act, OMB Control No. 1205-0522. In addition, the states are required to
provide assurances that they will comply with the Veterans’ Priority Provisions established
by the JVA. States must adhere to JVA requirements, as interpreted by the Department, in
administering PUA.
5. Certifications and Assurances. In administering PUA, states must fully comply with the
State Quality Service Plan (SQSP) assurances. These SQSP assurances are detailed in
Chapter 1, Part VIII of the “Unemployment Insurance State Quality Service Plan (SQSP)
Assurances,” ET Handbook No. 336 (18th Edition, Change 4).
A. Assurance of Equal Opportunity (EO).
B. Assurance of Administrative Requirements and Allowable Cost Standards.
C. Assurance of Management Systems, Reporting, and Recordkeeping.
D. Assurance of Program Quality.
E. Assurance on Use of Unobligated Funds.
F. Assurance of Prohibition of Lobbying Costs.
G. Drug-Free Workplace.
H. Assurance of Contingency Planning.
I. Assurance of Conformity and Compliance.
J. Assurance of Automated Information Systems Security.
K. Assurance of Confidentiality.
The Office of Management and Budget (OMB), SF 424 B Assurances-Non- Construction
Programs, signed and submitted by each state with its State Quality Service Plan annual
submission, also apply.
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Attachment III to UIPL No. 16-20
Statutory Language of Title II, Subtitle A, Section 2102 of the Coronavirus Aid, Relief, and
Economic Security (CARES) Act of 2020
SEC. 2102. PANDEMIC UNEMPLOYMENT ASSISTANCE.
(a) Definitions.--In this section:
(1) COVID-19.--The term ``COVID-19'' means the 2019 Novel Coronavirus or 2019-nCoV.
(2) COVID-19 public health emergency.--The term ``COVID-19 public health emergency''
means the public health emergency declared by the Secretary of Health and Human Services on
January 27, 2020, with respect to the 2019 Novel Coronavirus.
(3) Covered individual.--The term ``covered individual''--
(A) means an individual who--
(i) is not eligible for regular compensation or extended benefits under State or Federal
law or pandemic emergency unemployment compensation under section 2107, including an
individual who has exhausted all rights to regular unemployment or extended benefits under
State or Federal law or pandemic emergency unemployment compensation under section 2107;
and
(ii) provides self-certification that the individual--
(I) is otherwise able to work and available for work within the meaning of applicable
State law, except the individual is unemployed, partially unemployed, or unable or unavailable to
work because--
(aa) the individual has been diagnosed with COVID-19 or is experiencing
symptoms of COVID-19 and seeking a medical diagnosis;
(bb) a member of the individual's household has been diagnosed with COVID-19;
(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;
(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;
(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;
(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;
(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;
(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;
(ii) the individual has to quit his or her job as a direct result of COVID-19;
(jj) the individual's place of employment is closed as a direct result of the COVID-
19 public health emergency; or
(kk) the individual meets any additional criteria established by the Secretary for
unemployment assistance under this section; or
(II) is self-employed, is seeking part-time employment, does not have sufficient
work history, or otherwise would not qualify for regular unemployment or extended benefits
III-1
under State or Federal law or pandemic emergency unemployment compensation under section
2107 and meets the requirements of subclause (I); and
(B) does not include--
(i) an individual who has the ability to telework with pay; or
(ii) an individual who is receiving paid sick leave or other paid leave benefits,
regardless of whether the individual meets a qualification described in items (aa) through (kk) of
subparagraph (A)(i)(I).
(4) Secretary.--The term “Secretary” means the Secretary of
Labor.
(5) State.--The term “State” includes the District of Columbia, the Commonwealth of Puerto
Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana
Islands, the Federated States of Micronesia, the Republic of the Marshall Islands, and the
Republic of Palau.
(b) Assistance for Unemployment as a Result of COVID-19.--Subject to subsection (c), the
Secretary shall provide to any covered individual unemployment benefit assistance while such
individual is unemployed, partially unemployed, or unable to work for the weeks of such
unemployment with respect to which the individual is not entitled to any other unemployment
compensation (as that term is defined in section 85(b) of title 26, United States Code) or waiting
period credit.
(c) Applicability.--
(1) In general.--Except as provided in paragraph (2), the assistance authorized under
subsection (b) shall be available to a covered individual--
(A) for weeks of unemployment, partial unemployment, or inability to work caused by
COVID-19--
(i) beginning on or after January 27, 2020; and
(ii) ending on or before December 31, 2020; and
(B) subject to subparagraph (A)(ii), as long as the covered individual's unemployment,
partial unemployment, or inability to work caused by COVID-19 continues.
(2) Limitation on duration of assistance.--The total number of weeks for which a covered
individual may receive assistance under this section shall not exceed 39 weeks and such total
shall include any week for which the covered individual received regular compensation or
extended benefits under any Federal or State law, except that if after the date of enactment of this
Act, the duration of extended benefits is extended, the 39-week period described in this
paragraph shall be extended by the number of weeks that is equal to the number of weeks by
which the extended benefits were extended.
(3) Assistance for unemployment before date of enactment.--The Secretary shall establish a
process for making assistance under this section available for weeks beginning on or after
January 27, 2020, and before the date of enactment of this Act.
(d) Amount of Assistance.--
(1) In general.--The assistance authorized under subsection (b) for a week of unemployment,
partial unemployment, or inability to work shall be--
(A)(i) the weekly benefit amount authorized under the unemployment compensation law
of the State where the covered individual was employed, except that the amount may not be less
than the minimum weekly benefit amount described in section 625.6 of title 20, Code of Federal
Regulations, or any successor thereto; and
(ii) the amount of Federal Pandemic Unemployment Compensation under section 2104;
and
III-2
(B) in the case of an increase of the weekly benefit amount after the date of enactment of
this Act, increased in an amount equal to such increase.
(2) Calculations of amounts for certain covered individuals.-- In the case of a covered
individual who is self-employed, who lives in a territory described in subsection (c) or (d) of
section 625.6 of title 20, Code of Federal Regulations, or who would not otherwise qualify for
unemployment compensation under State law, the assistance authorized under subsection (b) for
a week of unemployment shall be calculated in accordance with section 625.6 of title 20, Code of
Federal Regulations, or any successor thereto, and shall be increased by the amount of Federal
Pandemic Unemployment Compensation under section 2104.
(3) Allowable methods of payment.--Any assistance provided for in accordance with
paragraph (1)(A)(ii) shall be payable either--
(A) as an amount which is paid at the same time and in the same manner as the assistance
provided for in paragraph
(1)(A)(i) is payable for the week involved; or
(B) at the option of the State, by payments which are made separately from, but on the
same weekly basis as, any assistance provided for in paragraph (1)(A)(i).
(e) Waiver of State Requirement.--Notwithstanding State law, for purposes of assistance
authorized under this section, compensation under this Act shall be made to an individual
otherwise eligible for such compensation without any waiting period.
(f) Agreements With States.--
(1) In general.--The Secretary shall provide the assistance authorized under subsection (b)
through agreements with States which, in the judgment of the Secretary, have an adequate system
for administering such assistance through existing State agencies.
(2) Payments to states.--There shall be paid to each State which has entered into an
agreement under this subsection an amount equal to 100 percent of--
(A) the total amount of assistance provided by the State pursuant to such agreement; and
(B) any additional administrative expenses incurred by the State by reason of such
agreement (as determined by the Secretary), including any administrative expenses necessary to
facilitate processing of applications for assistance under this section online or by telephone rather
than in-person.
(3) Terms of payments.--Sums payable to any State by reason of such State's having an
agreement under this subsection shall be payable, either in advance or by way of reimbursement
(as determined by the Secretary), in such amounts as the Secretary estimates the State will be
entitled to receive under this subsection for each calendar month, reduced or increased, as the
case may be, by any amount by which the Secretary finds that his the amounts which should have
been paid to the State. Such estimates may be made on the basis of such statistical, sampling, or
other method as may be agreed upon by the Secretary and the State agency of the State involved.
(g) Funding.--
(1) Assistance.--
(A) In general.--Funds in the extended unemployment compensation account (as
established by section 905(a) of the Social Security Act (42 U.S.C. 1105(a)) of the
Unemployment Trust Fund (as established by section 904(a) of such Act (42 U.S.C. 1104(a))
shall be used to make payments to States pursuant to subsection (f)(2)(A).
(B) Transfer of funds.--Notwithstanding any other provision of law, the Secretary of the
Treasury shall transfer from the general fund of the Treasury (from funds not otherwise
appropriated) to the extended unemployment compensation account such sums as the Secretary
of Labor estimates to be necessary to make payments described in subparagraph (A). There are
III-3
appropriated from the general fund of the Treasury, without fiscal year limitation, the sums
referred to in the preceding sentence and such sums shall not be required to be repaid.
(2) Administrative expenses.--
(A) In general.--Funds in the employment security administration account (as established
by section 901(a) of the Social Security Act (42 U.S.C. 1105(a)) of the Unemployment Trust
Fund (as established by section 904(a) of such Act (42 U.S.C. 1104(a)) shall be used to make
payments to States pursuant to subsection (f)(2)(B).
(B) Transfer of funds.--Notwithstanding any other provision of law, the Secretary of the
Treasury shall transfer from the general fund of the Treasury (from funds not otherwise
appropriated) to the employment security administration account such sums as the Secretary of
Labor estimates to be necessary to make payments described in subparagraph (A). There are
appropriated from the general fund of the Treasury, without fiscal year limitation, the sums
referred to in the preceding sentence and such sums shall not be required to be repaid.
(3) Certifications.--The Secretary of Labor shall from time to time certify to the Secretary of
the Treasury for payment to each State the sums payable to such State under paragraphs (1) and
(2).
(h) Relationship Between Pandemic Unemployment Assistance and Disaster Unemployment
Assistance.--Except as otherwise provided in this section or to the extent there is a conflict
between this section and section 625 of title 20, Code of Federal Regulations, such section 625
shall apply to this section as if--
(1) the term ``COVID-19 public health emergency'' were substituted for the term ``major
disaster'' each place it appears in such section 625; and
(2) the term ``pandemic'' were substituted for the term ``disaster'' each place it appears in
such section 625.
III-4
Attachment IV to UIPL No. 16-20
Supplemental Budget Request (SBR) Application
Instructions: States must complete the application using the suggested format and instructions
below for the projects/activities for which the state is seeking funding. This application is to be
combined with a completed SF-424 and an SF-424A covering all projects/activities.
Unemployment Insurance
Supplemental Budget Request Abstract
State Name:
Total Funds Requested for All Projects:
Name, Title, and Address of Grant Notification Contact (Typically the State Workforce
Agency Administrator)
Name:
Title:
Address:
Name, E-Mail Address, and Phone Number of SBR Project or Fiscal Manager
Name:
E-Mail Address:
Telephone Number:
Provide the following information for each project (add additional rows as needed):
Project Name Total Cost of Project Proposed Completion Date
IV-1
Project Description
Project Timeline
Description of Costs
State Agency Staff Costs:
Type of Position Total Hours Cost Per Hour Total
Contract Staff Costs:
Type of Position Total Hours Cost Per Hour Total
Hardware, Software and Telecommunications Equipment:
Item Description Cost Per Item Quantity Total
Other Costs:
Item Cost Explanation
IV-2
SECTION INSTRUCTIONS
Name of Project: Provide the name of the proposed project.
Amount of Funding Request for this Project: Provide the total amount of funds requested in
this individual project.
State Contact: Provide name, telephone number, and e-mail address of the individual who can
answer any questions relating to the proposal.
Project Description: Provide a brief description of the projects/activities for which the state
seeking funding.
Project Timeline: Provide a list of the dates and the milestones for this project.
Description of Costs: Provide an explanation of all costs included in the project.
State Agency Staff Costs: Use the table format provided in this attachment to request state
staff to support project implementation.
Contract Staff Costs: Use the table format provided in this attachment to request contract
staff to support project implementation.
Hardware, Software, and Telecommunications Equipment: Provide an itemized list of
hardware, software, and telecommunications equipment including the cost per item and the
number of each item requested. A description of each item must provide any information
needed to identify the specific item and a description of the size and capacity of each item if
applicable.
Other: Identify each item of cost not covered elsewhere and provide the expected cost per
item. The need for each item must be explained.
IV-3
Attachment V to UIPL No. 16-20
Instructions Completing the SF-424 and SF-424A
I. Application for Federal Assistance (SF-424)
Use the current version of the form for submission. Expired forms will not be accepted.
SF-424, Expiration Date 12/31/2022, Office of Management and Budget (OMB) Control
No. 4040-0004 (Grants.gov). http://www.grants.gov/web/grants/forms/sf-424-
family.html
Section # 8, APPLICANT INFORMATION:
Legal Name: The legal name must match the name submitted with the System for
Award Management (SAM). Please refer to instructions at https://www.sam.gov
Employer/Tax Identification Number (EIN/TIN) : Input your correct 9-digit EIN
and ensure that it is recorded within SAM
Organizational DUNS: All applicants for Federal grant and funding opportunities
are required to have a 9-digit Data Universal Numbering System (D-U-N-S®)
number, and must supply their D-U-N-S® number on the SF-424. Please ensure
that your state is registered with the SAM. Instructions for registering with SAM
can be found at https://www.sam.gov . Additionally, the state must maintain an
active SAM registration with current information at all times during which it has
an active Federal award or an application under consideration. To remain
registered in the SAM database after the initial registration, there is a requirement
to review and update the registration at least every 12 months from the date of
initial registration or subsequently update the information in the SAM database to
ensure it is current, accurate, and complete. Failure to register with SAM and
maintain an active account will result in a rejection of your submission.
Address: Input your complete address including Zipcode+4; Example: 20110-
831. For lookup, use link at
https://tools.usps.com/go/ZipLookupAction!input.action
Organizational Unit: Input appropriate Department Name and Division Name, if
applicable
Name and contact information of person to be contacted on matters involving this
application. Provide complete and accurate contact information including
telephone number and email address for the point of contact
Section # 9, Type of Applicant 1: Select Applicant Type: Input “State Government”
Section # 10, Name of the Federal Agency: Input “Employment and Training
Administration”
V-1
Section # 11, Catalog of Federal Domestic Assistance Number: Input “17.225”;
CFDA Title: Input “Unemployment Insurance”
Section # 12, Funding Opportunity Number and Title: Input “UIPL No. 16-20,
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: Input “Pandemic
Unemployment Assistance Implementation Grants”
Section # 16, Congressional Districts of:
Applicant: Input the Congressional District of your home office. For lookup, use
link at www.house.gov with Zipcode + 4
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
Start Date: Input a valid start date for the project (earliest start date will be March
27, 2020)
End Date: Input a valid end date for the project
Section # 18, Estimated Funding ($): Input the estimated funding requested. Ensure
that the funding requested matches the TOTALS in Section B – Budget Categories of the
SF424A
Section #s 19 – 20: Complete as per instructions for Form SF-424
Section # 21, Authorized Representative: Please select the “I AGREE” check box and
provide complete information for your authorized signatory including contact
information such as telephone number and email address. If your Authorized
Representative has changed from your previous application submission for this program,
please include a letter from 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
V-2
II. Budget Information -Non-Construction Programs (SF-424A)
Use the current version of the form for the submission. Expired forms will not be
accepted. SF 424A, Expiration Date 02/28/2022, OMB Control No. 4040-0006
https://apply07.grants.gov/apply/forms/readonly/SF424A-V1.0.pdf
Section B – Budget Categories: Ensure that TOTALS in Section 6, Object Class
Categories matches the Estimated Funding requested in the SF-424.
V-3
Attachment VI to UIPL No. 16-20
Handbook 401 Instructions for ETA 902 Pandemic Unemployment Assistance
VI-1
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
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
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
H. Checking the Report .............................................................................................................. 188
1. General Checks ................................................................................................................. 188
2. Arithmetic Checks ............................................................................................................. 188
3. Signature ........................................................................................................................... 188
VI-2
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
A. Facsimile of Form
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE ACTIVITIES
STATE: REGION: REPORT FOR PERIOD
SECTION A. APPLICATION AND PAYMENT ACTIVITIES
CATEGORY LINE INITIAL NO. FIRST WKS. WKS. AMOUNT
NO. APPS. DETERM. PAYMTS. CLAIMED COMP COMP.
ELIG.
1 2 3 4 5 6
Total 101
Self- 102
Employed
SECTION B. DENIAL AND APPEALS ACTIVITY
CATEGORY LINE WKS.OF APPEALS APPEALS FAVOR OF
NO. PUA FILED DISPOSED APPELLANT
DENIED
STATE HA STATE HA STATE RA
7 8 9 10 11 12 13
Total 201
Self - Employed 202
SECTION C. OVERPAYMENT ACTIVITY AND ADMINISTRATION
CATEGORY LINE OVERPAYMENTS ADMINISTRATIVE COSTS
NO.
PERSONNEL
CASES WEEKS AMOUNT
17
14 15 16
Total 301
Fraud 302
Signature Title
Comments:
VI-3
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
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).
VI-4
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
B. Purpose
The ETA 902P report contains monthly data on Pandemic Unemployment Assistance (PUA)
activities provided by the CARES Act, enacted on March 27, 2020. PUA is a temporary
Federal program to provide relief for workers affected by the coronavirus who do not qualify
for other Federal benefits such as regular unemployment insurance or extended benefits.
C. Scope and Duration of the Report
1. The first report shall be sent in the month following the date the state agreement to
participate in the PUA program, and later reports shall be sent each month that PUA
activity continues to occur, such as for payments made for weeks in the pandemic
assistance period (PAP) issued as a result of appeals.
2. Reports should be submitted monthly through the end of the Pandemic Assistance
Period and until all payment and appeals activity is complete.
D. Due Date and Transmittal
Reports shall be submitted electronically each month providing PUA activities performed
during the preceding calendar month. Reports are due in the National Office on the 30th of
the month following the month to which data relate. South 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, one copy should be sent to the National Office addressed
as follows:
U.S. Department of Labor, ETA
Attn: Office of Unemployment Insurance
Frances Perkins Building
200 Constitution Avenue, N.W.
Washington, D.C. 202l0
Attention: Pandemic Unemployment Assistance Coordinator/Program
Specialist
Division of Unemployment Insurance Operations
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.
3. 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.
VI-5
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
F. Definitions
1.Effective Date of an Initial Application. The effective day is the first day of the first
week of unemployment provided that week of unemployment is in the pandemic
assistance period (PAP). PUA claims may be backdated to the beginning of the PAP,
February 2, 2020.
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, such
individual is not eligible for PUA and should not be counted in any PUA Activities
report.
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
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UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
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.
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.
a. Columns 14, 15, and 16, Overpayments. In column 14, Cases, line 301, enter the
number of cases, including willful misrepresentation (fraud) determined during
the report period as an overpayment, regardless of when it occurred. 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 301. 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. 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
VI-7
UI REPORT HANDBOOK NO.401
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE
information from the UI-1 report will be used to compute staffing levels needed to
process the initial claims (line 101 column 1), weeks claimed (line 101 column 4)
and appeals disposed (line 201 column 10) workload. Staff salary rates will reflect
the rates used for quarterly above base computations. Staffing costs will be
increased by the applicable factor to account for leave, and resulting costs will be
increased by 19% to account for overhead.
Time factors and staff salary rates necessary for the computations of administrative
costs described above for Guam, American Samoa, the Commonwealth of the
Northern Mariana Islands, the Federated States of Micronesia, the Republic of the
Marshall Islands, and the Republic of Palau will be communicated to each territory
separately.
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 16, the entries in line 302 should be equal to or less than
line 301.
Signature. Signature is only required if reports are sent manually to the National Office.
VI-8
File and source
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- www.dol.gov