UIPL 16-20, Change 6, Attachment IV: ETA 902P Pandemic Unemployment Assistance Activities report instructions
Summary
Attachment IV to UIPL No. 16-20 Change 6, giving instructions for the ETA 902P report on Pandemic Unemployment Assistance (PUA) activities. It states that the report contains monthly data on PUA activities provided by the Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020, and that reports are due in the National Office on the 30th of the month following the month to which data relate. It defines terms including Fraud, Identity (ID) Theft, Overpayments Established, and Waived. It gives item-by-item instructions for Section A, Application and Payment Activities; Section B, Denial and Appeals Activity; Section C, Overpayment Activity and Administration; and Section D, Overpayment Activity Related to Identity (ID) Theft.
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“UIPL 16-20, Change 6, Attachment IV: ETA 902P Pandemic Unemployment Assistance Activities report instructions.”
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Attachment IV to UIPL No. 16-20 Change 6
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE ACTIVITIES
Section IV-4
A. Facsimile of Form ........................................................................................................... 183
B. Purpose .......................................................................................................................... 185
C. Scope and Duration of the Report .................................................................................... 185
D. Due Date and Transmittal ................................................................................................ 185
E. General Reporting Instructions ......................................................................................... 185
F. Definitions....................................................................................................................... 185
1. Effective Date of an Initial Application ...................................................................... 186
2. Eligible .................................................................................................................... 186
3. Fraud....................................................................................................................... 186
4. Identity (ID) Theft ................................................................................................... 186
5. Identity Theft Overpayments (cases) Established....................................................... 186
6. Overpayments (cases) Established ............................................................................ 186
7. Waived .................................................................................................................... 186
G. Item by Item Instructions ................................................................................................. 186
1. Report Period Ended ................................................................................................ 186
2. State........................................................................................................................ 186
3. Report Type............................................................................................................. 186
4. Section A. Application and Payment Activities ......................................................... 186
5. Section B. Denial and Appeals Activity .................................................................... 187
6. Section C. Overpayment Activity and Administration ............................................... 187
7. Section D. Overpayment Activity Related to Identity (ID) Theft............................... 187
H. Checking the Report..................................................................................................... 188
1. General Checks ....................................................................................................... 188
2. Arithmetic Checks ................................................................................................... 188
3. Signature ................................................................................................................. 188
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A. Facsimile of Form
ETA 902P – PANDEMIC UNEMPLOYMENT ASSISTANCE ACTIVITIES (PUA)
STATE: REGION: REPORT FOR PERIOD ENDING:
SECTION A. APPLICATION AND PAYMENT ACTIVITIES
CATEGORY LINE INITIAL NO. FIRST WKS. WKS. AMOUNT FINAL
NO. APPS. DETERM. PAYMTS. CLAIMED COMP. COMP. PAYMTS.
ELIG.
1 2 3 4 5 6 18
Total 101
Self - Employed 102
SECTION B. DENIAL AND APPEALS ACTIVITY
CATEGORY LINE WKS.OF APPEALS APPEALS FAVOR OF
NO. PUA FILED DISPOSED APPELLANT
DENIED
STATE RA STATE RA STATE RA
7 8 9 10 11 12 13
Total 201
Self - Employed 202
SECTION C. OVERPAYMENT ACTIVITY (all activity EXCEPT Identity Theft) AND ADMINISTRATION
CATEGORY LINE OVERPAYMENTS OVERPAYMENT WAIVED
NO. ESTABLISHED RECOVERIES
ADMINISTRATIVE
COSTS
CASES WEEKS AMOUNT AMOUNT AMOUNT
14 15 16 16A 22 17
Total 301
Fraud 302
SECTION D. OVERPAYMENT ACTIVITY RELATED TO IDENTITY (ID) THEFT
CATEGORY LINE ID THEFT OVERPAYMENT
ID THEFT OVERPAYMENTS ESTABLISHED
NO. RECOVERIES
CASES WEEKS AMOUNT AMOUNT
19 20 21 21A
Total 401
Fraud 402
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Comments:
OMB No.: NA OMB Expiration Date: NA OMB Burden Minutes: NA
OMB Burden Statement: Section 2116(a), Division B, Title II of the CARES Act states that “ Chapter 35 of Title 44, United
States Code, (commonly referred to as the “ Paperwork Reduction Act of 1995”) shall not apply to the amendments made by
this subtitle.” Therefore these reporting instructions do not require additional OMB approval and the submission of this
information is required to obtain or retain benefits under the SSA 303(a)(6).
IV-3
B. Purpose
The ETA 902P report contains monthly data on Pandemic Unemployment Assistance
(PUA) activities provided by the Coronavirus Aid, Relief, and Economic Security
(CARES) Act of 2020 (Pub. Law 116-136), enacted on March 27, 2020. PUA is a
temporary Federal program created under the CARES Act to provide relief for
workers affected by the coronavirus who do not qualify for other Federal benefits
such as regular unemployment insurance or extended benefits.
C. Scope and Duration of the Report
1. The first report shall be sent in the month following the date the state
entered into an agreement to participate in the PUA program, and later
reports shall be sent each month that PUA activity continues to occur, such
as for payments made for weeks in the pandemic assistance period (PAP)
issued as a result of appeals.
2. Reports must be submitted monthly until all payment and appeals activity
are completed.
D. Due Date and Transmittal
Reports shall be submitted electronically each month providing PUA activities
performed during the preceding calendar month. Reports are due in the National
Office on the 30th of the month following the month to which data relate. South
Pacific Island jurisdictions must submit hardcopy reports, as there is no electronic
submittal method available to them at this time.
For South Pacific Island jurisdictions via email to UI-Reports@uis.doleta.gov. If
mailed, one copy should be sent to the National Office addressed as follows:
U.S. Department of Labor, ETA
Attn: Pandemic Unemployment Assistance
Coordinator/Program Specialist
Division of Unemployment Insurance Operations
Frances Perkins Building
Room # S-4524
200 Constitution Avenue, N.W.
Washington, D.C. 202l0
One copy should also be sent to the San Francisco ETA Regional Office.
E. General Reporting Instructions
1. In all instructions, reference to state UI (UC) claims will include UCFE,
UCX, TRA, RRA (Railroad), EB, and any other program included and/or
defined under 20 C.F.R. 625.2(d).
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2. Self-employed applicants are those who have filed an initial request for PUA
and for whom it was determined that their primary reliance for income is on
their performance of services in their own business or farm. These individuals
include independent contractors, gig economy workers, and workers for
certain religious entities.
Payments of UI made to replace erroneously paid PUA should not be reported on the
ETA 902P, but should be reported on the appropriate UI reports, i.e., ETA 5159.
F. Definitions
1. Effective Date of an Initial Application. Refer to Section C.15 of Attachment I
to UIPL No. 16-20, Change 4 for information on effective dates of PUA
claims.
2. Eligible. Meets qualifications for receiving Pandemic Unemployment
Assistance, as specified in Section 2102 of the CARES Act. If an individual is
eligible for UC, EB, or PEUC, such individual is not eligible for PUA and
should not be counted in any PUA Activities report.
3. Fraud. An overpayment for which material facts to the determination or
payment of a claim are found to be knowingly misrepresented or concealed
(i.e., willful misrepresentation) by the claimant in order to obtain benefits to
which the individual is not legally entitled. All states have definitions for
fraud and impose disqualifications for fraudulent misrepresentation to obtain
or increase benefits.
4. Identity (ID) Theft. The crime of obtaining and using the personal or financial
information of another individual to file or attempt to file a claim for UI
benefits.
5. Identity Theft Overpayments (cases) Established. Any single issue involving
an ID theft overpayment that has been determined for a claimant within a
single calendar month and for which: 1) a formal notice of determination has
been issued, or 2) a formal notice of determination has not been issued, since
ownership of the ID theft overpayment has not been assigned, due to a state’s
inability to identify the individual responsible for generating the ID theft
overpayment. An ID theft overpayment that covers one or more weeks (or
partial weeks) of benefits shall be counted as one ID theft case if all weeks of
ID theft overpayments are included in the same notice of determination. An
ID theft overpayment covering consecutive weeks of benefits that span two
months should be reported for the month in which the notice of determination
is issued, or if no notice of determination is issued, report when the
investigation reaches conclusion. This does not include overpayments
established as a result of failure to report issues where the claimant did not
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respond or failed to provide sufficient information to verify identity.
6. Overpayments (cases) Established. Any single issue involving an overpayment
that has been determined for a claimant within a single calendar month and for
which a formal notice of determination has been issued. An overpayment that
covers one or more weeks (or partial weeks) of benefits shall be counted as one
case if all weeks of overpayments are included in the same notice of determination.
An overpayment covering consecutive weeks of benefits that span two months
should be reported for the month in which the notice of determination is issued.
Overpayments Established includes all overpayment EXCEPT those involving
identity theft. An overpayment should be reported here if such overpayment is
established as a result of failure to report issues where the claimant did not respond
or failed to provide sufficient information to verify identity.
7. Waived. Section 2102(d)(4) of the CARES Act permits a state to waive repayment
of a PUA overpayment if the state determines that: i) the overpayment was without
fault on the part of the individual and ii) that repayment would be contrary to
equity and good conscience. Refer to section C.21.c.2.of Attachment I to UIPL
No. 16-20, Change 4 for additional detail.
G. Item by Item Instructions
1. Report Period Ended. Enter the month, last day of the month, and four-digit
year to which the data relate; e.g., 01/31/2020.
2. State. Enter the two-letter Federal Information Processing Standards (FIPS)
State Alpha Code (identical to the two-letter U.S. Postal Service
abbreviation) of the state or South Pacific Island jurisdiction as it appears in
FIPS Publication 5-2. The National Institute of Standards and Technology
issued the FIPS publication on May 28, 1987.
3. Section A. Application and Payment Activities.
a. Column 1, Initial Applications. Enter the number of initial applications for
PUA taken during the report period. This will equal the number of initial
applications that were completed and/or number of applications entered
into an automated system through an electronic/telephone claims taking
system during the report period. Do not include individuals eligible for
UC where it may have been necessary, due to the filing environment, to
accept initial claims for both programs.
b. Column 2, Number Determined Eligible. Enter the number of individuals
determined eligible for PUA during the report period. Do not include
individuals eligible for UC where it may have been necessary, due to the
filing environment, to accept initial claims for both programs.
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c. Column 3, First Payments. Enter the number of payments which represent,
for any individual, the first week for which assistance is paid in the
pandemic assistance period.
d. Column 4, Weeks Claimed. Enter the total number of weeks for which
PUA is claimed during the report period whether or not PUA is actually
paid. If claims are filed weekly, the number of weeks will equal the
number of weekly received during the report period. If claims are filed
other than weekly claims, the number of weeks will equal the number of
weeks during the report period.
e. Column 5, Weeks Compensated. Enter the number of weeks of
unemployment for which PUA was paid during the report period. A week
of unemployment compensated is any week of unemployment for which
PUA funds are paid, regardless of amount.
f. Column 6, Amount Compensated. Enter the amount of PUA funds
represented by the weeks reported in column 5.
g. Column 18, Final Payments. Enter the number of final payments made to
claimants for PUA. A final payment for PUA is defined as the last PUA
payment a claimant receives during the pandemic assistance period
because the claimant has exhausted their entitlement to the program.
Excluded from the definition is the last payment to an individual if, but for
the end of the pandemic assistance period, the individual would otherwise
be entitled to further PUA benefits.
4. Section B. Denial and Appeals Activity.
a. Column 7, Weeks of PUA Denied. Enter the number of weeks of
unemployment where a PUA payment was denied for which an individual,
except for the reason of the denial, would have been eligible to receive a
PUA payment.
NOTE: For columns 8 through 13, the entries refer to the number of cases
received or disposed of during the report period by authority (i.e., first
level state appeals authority and the second level state higher authority).
All cases, including cases disposed of before reaching the appeals
authority, should be included. Definitions of case, authority, disposal, etc.,
are those developed for the PUA program where found or, when these do
not exist, are those used in the state UI program.
b. Columns 8 and 9, Appeals Filed. In columns 8 and 9, distribute, by type of
authority, the appeal cases or requests for review received during the
month. In addition, provide a sub-breakout of the Total for self-employed
individuals in line 202.
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c. Columns 10 and 11, Appeals Disposed. Enter in columns 10 and 11 the
total number of cases disposed during the month by authority level. In line
202, provide the number of cases disposed of involving self-employed
individuals.
d. Columns 12 and 13, Favor of Appellant. Enter in columns 12 and 13 the
number of appeal decisions included in columns 10 and 11, which were in
favor of the appellant by authority level. In line 202 enter a breakout of
self-employed individuals who appealed and had the decision in their
favor.
5. Section C. Overpayment Activity and Administration (all activity EXCEPT for
Identity Theft).
a. Columns 14, 15, and 16, Overpayments Established. In column 14,
Cases, line 301, enter the number of cases established, including willful
misrepresentation (fraud) determined during the report period as an
overpayment. In line 302 provide a sub-breakout of the number of cases
determined as fraud cases. In column 15, Weeks, enter in line 301 the
number of weeks of PUA overpaid in connection with the cases reported
in column 14; enter the number of weeks of fraud overpayments included
in line 302 In column 16, Amount, enter in line 301, the amount overpaid
represented by cases reported in column 14. Provide a sub-breakout of
the amount involving fraud in line 302.
b. Column 16A Overpayment Recoveries. In column 16A, Amount, enter in
line 301, the total amount of all PUA recoveries collected for the reporting
period. Provide a sub-breakout of the amount of recoveries involving
fraud in line 302.
c. Columns 17, Administrative Costs. This data cell will self-populate and
reflect computed administrative costs based on workload items reported in
Section A. and Section B. above. Minute per unit factors reflected in the
annual UIPL advisory communicating target allocations for base
administrative grants and staff year usage information from the UI-1
report will be used to compute staffing levels needed to process the initial
claims (line 101 column 1), weeks claimed (line 101 column 4) and
appeals disposed (line 201 column 10) workload. Staff salary rates will
reflect the rates used for quarterly above base computations. Staffing
costs will be increased by the applicable factor to account for leave and
resulting costs will be increased by 19 percent to account for overhead.
Time factors and staff salary rates necessary for the computations of
administrative costs described above for Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, the Federated States of
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Micronesia, the Republic of the Marshall Islands, and the Republic of
Palau will be communicated to each territory separately.
d. Columns 22, Waived. In column 22, Amount, enter in line 301, the total
amount of all PUA overpayments waived for the reporting period.
6. Section D. Overpayment Activity Related to Identity (ID) Theft.
a. Columns 19, 20, and 21 ID Theft Overpayments Established. In column 19,
Cases, line 401, enter the number of ID theft cases established, including
willful misrepresentation (fraud) determined during the report period as an ID
theft overpayment. In line 402 provide a sub-breakout of the number of ID
theft cases determined as ID theft fraud cases. In column 20, Weeks, enter in
line 401 the number of weeks of PUA overpaid in connection with the ID theft
cases reported in column 19; enter the number of weeks of ID theft fraud
overpayments included in line 402. In column 21, Amount, enter in line 401,
the amount overpaid represented by ID theft cases reported in column 19.
Provide a sub-breakout of the amount involving ID theft fraud in line 402.
b. Column 21A ID Theft Overpayment Recoveries. In column 21A, Amount,
enter in line 401, the total amount of all PUA ID theft recoveries collected for
the reporting period. Provide a sub-breakout of the amount of ID theft
recoveries involving fraud in line 402.
H. Checking the Report
1. General Checks. Entries should be made for all required items. If the item is
inapplicable, or if applicable but no activity corresponding to the items
occurred during the report period, a zero should be entered. A report containing
missing data cannot be sent to the National Office but can be stored on the
state’s system.
2. Arithmetic Checks.
a. For columns 1, 2, and 8 through 13, the entries in line 102 and 202
respectively, should be equal to or less than the entries in line 101 or
201.
b. For columns 14 through 16A, the entries in line 302 should be equal to or
less than line 301.
c. For columns 19 through 21A, the entries in line 402 should be equal to or less
than line 401.
3. Signature. Signature is only required if reports are sent manually to the National
Office.
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