Unemployment Compensation for Federal Employees (States)

Unemployment Compensation for Federal Employees Handbook 391

ETHand391

Unemployment Compensation for Federal Employees (States)

OMB: 1205-0179

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UCFE Handbook 391
For State Agencies

Unemployment
Compensation for
Federal
Employees

. ... -· ·- ·

DILi Ql CQM'l'Blf'l'S
. . . . .
CAPTIR I - Ilf'l'RQPQCTJQI

..

1.
2.

3.

. . . .

Fe4eral-8tate bten4e4 Benefits (BB) . . . • . I-3
A44itional coapensation/B•n•fit• (U) . . . . I-3
Baergency or �-porary Bztended
Benefit Proqr.... . . . . . . . . . . . . . . I-3
d.
Interstate Arranq-•nt for Combining Bmployaent
anc! Wa9ea (CWC) • • • • • • • • • • • • • • • I-4
e.
Interstate Benefit Payment Plan (IBPP) • • • • I-4
f.
Approve4 �raining • • • • • • • • • • • • • • I-5
oepera114mini1tration • . • • • • . • • . . . . . 1-s
a.
Responsibilities of the o.s. Department
of Labor • •

•

• • • • • • • •

• • • •

Responsibilities of SBSAs.
• • • •
(l) OCPB Activities . . • . • • . .
(2) OCPB Liaison Activities • • • •
Responsibilities of Federal Agencies
(l) Management and Administration •

CHAPTER II - PED!RAL SBRVICB AND FEDERAL WAGBS

3.

I-1

a.
b.
c.

c.

2.

. . . .

. • • . • • • • . • • • . . 1-1
Proqru P••cription.
Th• 1,11tiopahip of ucn to oth•r unemp1onent
1n1uranc1 CPI> Prograa■ . • • • • • • • . . • • • • 1-2

b.

l.

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• I-5

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I-7
I-7
I-8
I-8
I-8

II-1

Introduction • • • • • • • • • • • • • • • • • • • II-1
a.
Federal Service • • • • • • • • • • • • • • • II-1
b.
Pederal Wages • . . . . • . . . . . . . . . II-1
c.
Secretary'• Interpretations • • • • • • • • II-1
sec retary's Interpretations: Federal service/Federal
Wages • • • • • •

• • • • • • • • •

• • • • •

• •

a.
Department of Agriculture. • • • • • • • •
b.
Department of Commerce • • • • • • • • • •
c.
Department of Defense • • • • • • • • • • •
d.
Department of Bealtb and Buman Services • •
e.
Department of Interior • • • • • • • • • •
f.
Department of Justice • • • • • • • • • .
Department of Transportation. • • • • • •
g.
h.
Miscellaneous- Other • • • • • • • • • • •
Secretary'• Interpretations: Not Federal
Service/Federal Wages . • • • • • . • • . . • .
a.
Departments of Government. • • • • • • • •
( 1) Department of Interior.
• • • • • •
Department of State.
• • • • • • •
(2)
(3)
District of Columbia Government • • •
(4)
Peace Corps- Volunteers and Trainees
• • • • • • • • •
(5)
Trust Territories
b.
Otber Institutions • • • • • • • • • • • •
(1) Federal Credit Unions • • • • • • • •
(2) FederAl Intermediate Credit Banks • •

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II-2

II-2
II-2
II-3
II-3
II-3
II-4
II-4

II-4

II-5
II-5
II-5
II-5
II-5
II-5
II-5
II-5
II-5
II-5

'I:
'l

c.

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Federal Home Loan Banks
Federal Land Banks.
Federal National Mortgage Association
Federal Reserve Banks •
•
•
Local Housing Authorities
Xi•c•llaneou•- Other . • •
•
(1) Community Service Employment for Older
American Workers • •
Elective Officials
•
• •
•
(2)
Elective State Coverage • • • • • •
(3)
Joint Federal/State Commissions
•
(4)
United
The
outside
d
Performe
Service
(�)
states. • • • • • • • • • • • • • • • •
Temporary Emergency Employment
(6)
Youth_ Conservation Corps (YCC)
•
(7)
(3)
(4)
(5)
(6)
(7)

. . . .
. . .

II-5
II-5
II-5
II-5
II-5
II-5
II-5
II-6
II-6
II-6

II-6
II-6
II-6

CRAPTBR I I I - lQRXS JJSBD TQ ADM INI STER '1'11 QNEMPLQYMJNT
COMPENSATION POR FBDBRAL BMPLOYBB PROGRAM,
• • • • • III-1
1.

2.

Notice to 1ederal bployee About Onemployment
Insurance, Standard Form 8 • • • • • • • • •
Notice to Federal Employee About
a.
Onemployment Insurance, standard
Form 8 (Front) . • • • • • • • • • • • • •
b.
Notice to Federal Employee About
Onemployment Insurance, Standard
Form 8 (Reverse) . • • • • . . • • • • • •
Purpose and Use • • . . • • • • . • • • • •
c.
Content • • • • • . • • • • • • • • • . .
d.
Intermittent, • • • • • . • • • • • • • •
e.
f.
Employees Stationed overseas • • • •
•
Non-Appropriated Fund Activity Employees .
g.
h.
Bire/Rebire Notices • • • • • . • • .
State Agency Responsibility • • • • .
i.
Introduction to Standard Form so (SF-50) . • •
Standard Form so (SF-SO), Notification of
Personnel Action • • • • . • • • . • . . .

CHAPTER IV - OCFB CLAIMS PROCESS
1.
2.
3.

4.

.

.

. . . . .

III-5
• III-6
•
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•
.
.
.

.

III-7
III-8
III-8
III-9
III-9
III-9
III-9
III-10
III-10
III-11
IV-1

Taking UCFB First Claims . • • • • • • • . . . • . IV-1
a.
Presentation of sr-s by tbe Claimant • • • • IV-1
b.
Interviewing the UCPB Claimant • • • • • • . IV-2
New Interstate Claims • • • • • • • • • • • • • . IV-3
Introduction to Form ES-931, Reguest for Wage and
Separation Information-UCFB. • • • • • • • • • • IV-4
a.
Authorization for Release of Information • • IV-5
b.
1'orm ES-931 • . . . • . . • . . . . . . . . IV-6
c.
Reverse of Form ES-931 • • • • • • • . • • . IV-7
d.
completion of the Form ES-931 . • . • . • • IV-8
Action by SBSA Wben Form ES-931 Is Not Returned
by Federal Agency • • • • • • • • • • • • . • • . IV-12
ii

April 1994

-�----------- -·----·· · -· ·

5.
6.

7.

Louisiana Clai•• control O•Pt•r (LCCC). • . . .
a.
Requests to the LCCC.
• • • • • • • • •
SBSA Proce4urea With the LCCC • • • • • • •
b.
c.
LCCC Proce4ur•• • .. • • . • . . . • . ·• .
Introduction to rora 1s-13s c1aiaapt•1
lffi4ayit of r101ra1 civilian 11rvic1, wages
an4 11a1on for auaratiop • • • • • • • • • • •
Pora BS-935 • • • • • • • • • • • • . . . .
a.
llmlber of copies an4 Distribution • • • • •
b.
co■pletion • • • • • • • • • • • • • • • •
c.
Pe4eral civilian -ployeea• salary rates •
d.
Introduction to Tb• rora 1s-t3t, 11cm11t for
A44itiopal Inforaation Bfgardipg r•t•ral
Pipdipg■-QQll • • • • • • • • • • • • • • • • •
a.
Pora BS-934 . . . • . . • • . . . • . . .

CBAP'l'ER V -

1.
2.

3.

4.
5.
6.

7.

8.

QQFB

MQQ'.l'ARY

PITIMIQ'l'IOll BJ &BSA

. .

•
•
•
.

IV-13
IV-13
IV-14
IV-15

•
.
•
•
•

1v-16
IV-17
IV-18
IV-18
IV-18

• IV-18
. IV-20
• V-1

11otioe of Mopetary Deteraination of QQPI claims. • V-1
a.
OCPB-OCX Joint Monetary Deteraination • • • • • V-1
b.
Collbine4 Wage Claias • • • • • • • • • • • . • V-1
Aasicnment of Tr•n•f•rr•4 wages • • • • • • • • . • V-3
a.
OCPB Wages not �ransferable • • • • • • • • • V-3
b.
Determination of Pe4eral Share of Benefits
OD OCPB Collbine4-Wag• Claiaa •
• • • • • • . . V-3
c.
Charging of OCPB Benefits Pai4 on a Collbine4
Wage Claim. • • • • • • • • • • • • • • • • • V-4
SESA Allocation of a Lug- ■'IDI Papept for
T•rainal Jpp�al Leave an4 severance Pay • • • • . . v-4
Bffect of Backpay Award on QQII xonetary
peterainatiop • • • • • • • • • • • • • • • • • . . v-5
l•deral civilian aeyerapca Pay • • • • • • • • • . ·. v-6
pcPB/QCX/QQ Joint Monetary Deterainatiops and
Paderal share of co■t • • • • • • • • • • • • • • • • v-6
a.
Inclusion of Pe4eral Civilian or Military
·service and Wages, or Both in the state•s
Base Period • • • • • • • • • • • • • • • • . V-6
QCPE - Assicnmept to state other Than �bat of
Last Official Duty station • • • • • • • • • • • • v-s
a.
covere4 Blllployment Subsequent to Pederal
Civilian Baploy■ent • . • . . . • . . . . . . . V-8
b.
Last Official Duty station outside the United
states.

. . . . . . . . . . . . . . . . . . .

v-s

Bzaaples of Determination of state of Assignment • • v-s
a.
OCPB - Incorrect State of Assignaent
Adjustments. • • • • • • • • • • • • • • • . • v-s

iii

April 1994

When Federal Civilian service and Wages Have
Been Assigned Incorrectly, But Bo Benefit
Payaents Have Been Kade by the Incorrect
state. . . . . . . . . . . . . . . . . . . . . V-9
Letter of TranBllittal by Incorrect state of
c.
Aasignaent • . • . • • • . • . . • • . . . . v-10
ucFB c1ai■ cancellation in acoor4ance with state

b.

9.

�

• • • • • • • • • • • • • • • • • • • • • •

chapter VI - B•op•n•O, Additional and continued c1ai■s

proceaa . . . . • . . • . . • • . . . . . . . . . .
1.

2.
3.
4.
5.
6.
7.
8.

9.

10.

11.
12.
13.
14.

Intro4uction to rora 1s-p3a, Request for
separation Information of Additional c1ai■-ocPE.
Additional Interstate Claim . . � . . . . . .
a.
b.
Reopened Interstate Claims • . . . . . .
Form BS-931A . . . . . . . . . . . . . . . . . .
PUrpose and use. . . . . . • . . . . . . . . . .
•11pber of copies and Distribution • • • • • • • •
Preparation • • • • • • • • • • • • • • • • • • •
Review by The SBSA • • • . . . . • . . . . . . . .
Action by Pe4eral Agency upon Receipt of rorm
BS-9311-

• • • • • • • • • • • • • • • • • • • .

Action by SBSA When Form BS-931A Is Returned by
J'ederal Agency. • • • • • • • • • • • • · • • •
SBSA Action When Form BS-931A Is Bot Returned.
Taking continued UCPB Claims • • • • • • • • •
a.
continued Interstate UCFB Claias • • • . •
UCPB Benefits - Payaents for Weeks of Less
Than ru.11-Ti■e Bllplouent • • • • • • • • • . .
conducting QQJ'B Bligibility Reviews • . . . .
Benefit Rights and Bligibility Review
Interviews for QCPB Interstate Claimants • • .
UCPE - Pederal Agency Botice of Refusal of an
Offer of Reeaployaent . . . . . . . . . . . . .

•

•

VI-1
VI-1
VI-2
VI-3
VI-4
VI-4
VI-4
VI-5

VI-5

VI-5
VI-5
VI-6
VI-6
VI-6
VI-6

VI-7

VI-7

UCPE - Applicability of state Law Provisions • • •
. . . . .
OCPE Determination. . . . . . . . .
Adequacy of QCPB Determination • • • • • • • • • •
a.
Federal Findings • • • • • • • • • • • • • •
b.
Federal Agency•s Correction of Its Pindings.
c.
Partially Uneaployed UCPB Claiaants • . . . .
d.
Federal civilian Service - one Baployer • • •
e.
Effect of Leave Without Pay • . . . . . . . .
f.
Determination Based on Federal Findings
being Appealed under Federal Personnel
Procedure • • • . • • • • • • . • • • • • • •
.
state
Agencies Which Deduct
g
Employer-contributed Pensions • • • . • • . .

VII-1
VII-1
VII-2
VII-:-2
VII-2
VII-2
VII-2
VII-3

iv

.,;

VI-1

.

CHAPTER VII - UCPB NOJOIONETARY DBTBRKIIIATIONS • •
1.
2.
3.

·

V-11

• VII-1

VII-3
VII-4

April 1994

•

•

Obtainin9 Inforaation about ••d•ral Civil
service and ••u Amluity Payaent■• • . . . . VII-4
Int1:2§llcti2p to lb• r2m 11-1��1 B1m111t for
Inforaatiop barding QlAi■1 lil•A under fbe
11011:1:L DRl2XIII' QQ■RIPIAtion Act . . . . . • . VII-5
•ora BB-133 • • • . • • . • • . • . •
. VII-7
a.
Rmlber of copi•• and Diatribution. . . . . . VII-8
b
Preparation • • • • • • • • • • • • . . • • VII-8
c.
Privacy Act ••1•••• • • • • • • . . . . . • VII-8
d.
Coapletion by OWCP. • • . • . • . • • . . . VII-8
e.
Additional Inforaation ••czuired by 8BSA • . VII-9
f.
Diatrict Office &4dr••••• . • . . . . . . . VII-9
g.

h.
4.

QIIAP'l'BR VIII - UPIALI . . . . . . . . . . . . . . . . .
1.
ocr1 - Applicability of state ARR••l Proce4ure.
2.
roras P••O for 0011 IRR111a• • • • • • • • • •
3.
Action by 1181 OR van APP9All• • • • • • • • •
4.
QCPB ARPtal■ Wbil1 Per■oDlltl Action ApPeal is
PIROipq. • • • • • • • • • • • • • • • • • • •
5.
Action by IISA OD r,oeral Agency UCPB ApPeala.
6.
ronrar4ing Appeal Decisions• • • • • • • • • •

.

. . . . . . . . . .
Chapter IX - OVBRDJMIRT . . . . .
1.
Prnention and Detection of QCII ovemanent.
a•
Poataudita. . . • . . . . . . . . . . . .
Special control■• • • . . . . . . . . . .
b.
2.
Liability to BUay. · · · · . . . . . . . . . .
3.
R•coup■ant. . • . . • . . • • . • . • . . . . .
4.
A411linistrative Disqualifications. • . . . . . .
5.
criminal Offense • • • • • • • • • • • •.• • •
Preparation of case. . . . . . . . . . . .
a.
b.
Decision on Appropriate Action• • • • • •
6.
Arrangements with tbe Department of
Justice (DOJ) and the Office of the Inspector
General CDQL> COIG> • • • • • • • • • • • • · •
a.
Referral to OIG• • • � • • • • • • • • • •
7.
1ecorda of ca••• Referuo to the OIG• • • • • •
8.
Prosecution in atate courts• • • • • • • • • •
a.
cases �hat Do Bot •••t the Criteria for
Referral to the OIG• • • • • • • • • • • •
Prosecution Declined by u.s. Attorney• • •
b.
9.
Batabliahment of overqanent• • • • • • • • . .
10. ucPB overpayment not Involving rrau4• • • • • .
11. collection of QCFI oven,anent - rrau4ulent an4
Nonfrau4ulent• • • • • • • • • • • • • • • • •
12� write-off of ocr1 overpanent--rrau4ulent an4
Nonfrau4ulent. • • • • • • • • • • • • • . • .
13. Recovered QCFB FUnda• • • • • • • • • • • • •
14. Interest on QCPB overpanent• • • • • • • • • •
V

VIII-1
VIII-1
VIII-1
VIII-1

.

VIII-2
VIII-2
VIII-2
IX-1

.
•
.
•

IX-1
IX-1
IX-1
IX-1
IX-1
IX-2
IX-2
IX-3
IX-3

•
•
•
•

IX-3
IX-3
IX-5
IX-6

.

.
..

•
•
•
•
.

IX-6
IX-6
IX-6
IX-6
IX-7

• IX-8
.

IX-8
IX-9

April 1994

•

. . .... , ,

'

.

15.

RecorO• of QQPI overpayaept--Praudulent and
11onfraudu11nt. • • • • • • • • • • • • • •

Chapter I - IBQGRNI BIYIBJJ, AOQIT .
1.

2.

3.
4.

5.

6.
7.

. • · . • . .

. . .

. ..

.. ·-·-·-�-..____._ �--

" n. •-., 4 ,

.

.

-•

....,

• IX-10

. .

QCPI Proqru■ of verification, Yi■ itipq, and
Interpal Audit- • • • • • • • • • • • • • • • . •
verification of Inforaation on co■pleted
a.
Fora■ BS-131 • • . • • • • • • . • • . • . .
Visit■ to Federal agency Installation■ • • •
b.
Internal Review of Federal agency UCFB
c.
Operations • • • • • • • • • • • • • • • • • • • •
Introduction to Pora 11-131, hqueat for
Y•rificatiop of VCZI wag• and lfParatiop
Ipforaatiop PUrpi•h•O op rora 1s-131 . • • • • • •
PUrpoae and uae. • • • • • • • . • . . . . .
a.
b.
Face of Fora BS-131 • • • • • • . . . . . .
c.
Revera• of Fora BS-131 . . • . • • . . .
IIU■ber of copies and Distribution. • . . . .
d.
Preparation. . . . . . • • • . • • . • . . .
e.
UCFB - SBSA Action ften Fora BS-131 Ia Bot
f.
Returned. • • • • • • • • • • • • • • • • • •
UCPB - SBSA Action ften Por■ BS-931 Is
g.
Raturna4. • • • • • • • • • • • • • • • • • •
Sample of Pora Letter Which Kay Be sent with
verification rorm BS-936 • • • • • • • • • • . • •
Introduction to Por■ BS-939 1 OCPB Progra■ Federal Agency visit Report • • • • • • • • • • •
Pederal Installation Located within
a.
the Region. • • • • • • • • • • • • • • • •
b.
Pederal Installation Located in a Different
Reqion • • • • • • • • • • • • • • • • • • • • •
c.
Preparation and Distribution of Por■s BS-939
d.
Page 1 of Por■ BS-939 • . . . • . . . . . .
Page 2 of Por■ BS-939 • . . . . . . . . . .
e.
Page 3 of Por■ BS-939 . . . . . . . . . . .
f.
Page 4 of Por■ BS-939 . • • . . • . . . . .
g.
h.
PUrpoae and Use • · . . . . . . . . .
. .
IIU■ber of Copies and Distribution • • • • •
i.
j.
Preparation for Visit • • • • • • • • • • •
k.
Instructions for co■pletion of Por■ and
conducting the Visit • • • • • • • • • • • •
Introduction to rora ID a-32, Report of QCPI
J\ctivities . . . . . . . . . . . . . . . . . . .
a.
Por■ BTA 8-32 . . . • . • • . . . . . . • .
b.
IIU■ber of copies and Distribution • • • • •
c.
Review of BTA 8-32 • • • • • • • • • • • • •
Federal Agencies contracting for QCFB services •
ucr1 Records - content, Identification, and
J\vailability • • • • • • • • • _ • • • • • • • • •
a.
UCFB - Checks and Records of Pay■ents • • •
(1) Data Supporting Payment • • • • • • . •
vi

.. .. • • • '- •'

X-1

• X-1

. x-1
• x-1
• x-1

•

.
.
.
•
.

x-1
x-1
X-3

X-4
X-5
X-5

• X-5

• X-5
• X-7
• X-8
• X-8

. x-s

• X-8
• X-9
x-10
x-11
x-12
X-13
X-13

X-14
X-14

X-16
X-17
X-18
X-18
X-18

X-19
X-19

X-19

April 1994

···•

:•;

'---•-- ...

8.

•

(2)
(3)
( 4)

.

- - . ...

Checks in Payment of Claims • • • • • •
Undelivered and Unclaimed Checks • • •
Disposal of UCFE and ucx Records • • •

ucr11uc1 - stu01ro1 for tbe Maintenance of

&10or41 • • • • • • • • • • • • • • • • • • • • •
a.

b.

8tan4ar4s
8afeguar4

. • • • • • • • • • • • . . . . .
• . . • • • • • • • • . . . . . .

QQll a,porting . . . . • . . . . . . . . . . . .
rrequenoy of a,port■ • • • • • • • • • . • . . .
ID 531 a,port, Weekly Clai•• and lxten4•4
Benefit■ Trigger Data • • • • • • • • • • • • • •
12. 1za 5151 c1aiaa and 11nent Actiyitie■ • . . • •
13. ID 5130 Benefit Appeal■ Beport • • • • • • • • •
14. 1za 202 11on■onetary Deteraipation■ aeport • • • •
15. IZI 211 Benefit Biqbt■ apd 1uerience • • • • • •
16. rorm 1za-222, oyarpment Detection/Recovery
Activiti••• Page 1 • • • • • • • • • • . • . . •
17. rora 1u-222, overpment Qetectionta,covery
Activities, Page 2 • • • • • • • • . • • • • . .
18. rorm 1,1-221, oyerpment P•tectiop/Recovery
Activities, Paqe 3 • • • • • • • • • • • • • • •
. . . . .
QBAP'l'BR XI - QCPB PmrDIRG ape! BILLIBG • • .
1.
vcr1 l'llp4inq • . . • • • . . • • • . • . • • . •
2.
QCPB Billing • • . • • • • • • . . • • • • • • •
a.
Porm BTA 191, stat-ant of Bxpenc!itures of
Pe4eral PUn4s for Unemployment compensation
9.
10.
11.

.

b.
c.
d.

e.
f.
g.
h.

for Pec!eral lblployees and Bz-servic-a■bers
( UCPB/UCX) . . . . • . . . . . . . . . . . .
Due Date and Transmittal . . . . . . . . . .
use of computer Printouts . . . . . . . . .
General Instructions . . • . . . . . . . . .
(1) Requisitioning Funds from the Federal
Employees Compensation Account • • • •
Providing Information to Federal
(2)
Agencies • • • • • • • • • • • • •
(3) Correcting Errors Made in a Prior
Quarter • • • • • • • • • • • • • • • •
It- by It- Instructions . . • • • • . . .
(1) Section A. Summary Statement of
Expenditures and Adjustments · • • • • •
certification . . . . • • . • • • . . . . •
3-Digit Pec!eral Agency Codes . • . . . . . .
Pacsimile of Pora BTA 191, stat-•nt of
Bxpenc!itures of Pec!eral PUnc!s for
un-ployment compensation for Pec!eral
Bllployees and Bz-servic-a■bers (UCPB/UCX),
Page 1. • • • • • • • • • • • • • • • . • •

vii

X-19
X-19
x-20

x-20
x-21
x-21
x-21
x-22
X-24
X-25
X-26
X-27
X-28
X-29
X-30
X-31
XI-1
XI-1
XI-1

XI-1
XI-2
XI-2
XI-2
XI-2
XI-2
XI-3
XI-3
XI-3
XI-5
XI-5

XI-6

April 1994

Facsimile of
Expenditures
Onemplo111ent
2mployeesan4
Page 2 • • •

i.

Form Z'l'A ltl, Statement of
of Federal Fund• for
Compensation for Federal
zx-servicemeaber• (OCFE/OCX),
• • • • • • • • • • • • • . • •

XI-7

APPENDIX A• TITLI 5 - 8BC'l'IQN8 aso1-1sot, p,s. Code, AS
MENDIP, QNEMPLOYXBlfT CQXPINSATIQN POil PIDERAL

IMP1,0DIS. • • • • • • • • • • • • • • • • • • • • •

A-1

Definition• • • • • • • . . . . . .

Section 8501.

. A-1

Compensation under State agreement

Section 8502.

compensation absent state
agreement • • . • . . . .

Section 8503.

• A-3

. .

• A-4

section 8504.

Assignment of Federal service and wages . A-4

section 8505.

Payments to states

Section 8506.

Dissemination of Information.

Section 8507.
tions.

.

section 8508.

.......

. . . . . . . . . .

. . . . . . . . . . . .
. . . . . .

False statements and Misrepresenta-

Regulations.

. A-5
. A-7

•

• A -'

•

. A-8

section 8509. Federal Employees Compensation
Account • • • • • • • • • • • • • • • • •

A-9

APPENDIX B - PART 609 - UNEMPLOYMENT COMPENSATION FOR
FEDERAL CIVILIAN EMPLOYEES • . . . . . . . . . . .
APPENDIX C

-

COVERAGE RULINGS • •

APPENDIX D - LISTING OF 3-Diglt FEDERAL AGENCY
CODES • •

•

• •

•

•

•

• •

•

• •

• • • •

• B-1

. . . c-1
0-1

• ••

APPENDIX E
lIST OF OCFE INSTRUCTIONS SUPERSEDED BY THIS
HANDBOOK. . • • • • • • • • • • • • • • . • . • • • • .

viii

April 1994

E-1 ·

.'

CHAPTER
1.

_____

..... .

I - INTRODUCTION

Program Description.

Subchapter I of chapter 85, title 5 of the United States Code
(U.S.C.), as amended by Public Law 94-566, 90 Stat. 2667, 5
u.s.c. 8501-8509, provides for a permanent program of
unemployment compensation for unemployed Federal civilian
employees (UCFE). This program provides a weekly income for a
limited period of time to unemployed Federal civilian workers who
qualify, to help them meet basic needs while searching for
employment.
Benefits are paid by the States, through more than 1700 State
employment service (ES) and unemployment insurance (UI) claims
offices, from funds provided by the Federal Government. No
payroll deductions are made for UCFE protection.
Benefits are provided unemployed Federal civilian workers in the
same amount, on the same terms, and subject to the same
conditions as the compensation which would be payable under the
unemployment compensation (UC) law of the State if their Federal
service and Federal wages had been included as employment and
wages under that State law. All State laws require that an
individual have qualifying earnings during a past period
specified by the law; file a claim and report regularly as
directed; and be able to work and available for work. Denial of
benefits until the individual becomes reemployed and earns a
specific amount of wages, or a denial of benefits for a period of
time specified by State law, will result if the unemployed
Federal worker quit his/her job without good cause, was fired for
misconduct connected with the work, or refuses a suitable job
without good cause. These benefit determinations are made based
on wage and separation information and documents provided by the
unemployed Federal employee and the Federal agency. Appeal
rights are provided the unemployed worker if he/she is denied
benefits. If the denial is based on information about the
worker's Federal service furnished by the Federal agency
employer, the worker may request a review of the information. A
Federal agency may also appeal the award of benefits to a former
employee. However, all appeals or requests for review must be
filed within legal time limits established by State law.
An individual's weekly benefit amount and the number of weeks
benefits may be paid are determined by State law based on the
individual's prior earnings. Some State laws increase the weekly
amount by allowances for dependents. Most States pay a maximum
of 26 weeks. Income while unemployed may affect an individual's
eligibility for UI. In some States, benefits are reduced or
denied if the individual receives pay for unused leave or
severance pay. Federal law requires all States to reduce
I-1

April 1994

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-

UCPB INSTRUCTJOHS PQR STATB AGBNCIBS
benefits, if the unemployed·worker is receiving a pension,
retirement pay, or any other periodic payment attributable to a
base period employer.
To file a claim, unemployed Federal civilian workers go to their
nearest State ES office or UI claims office. Claims may be filed
in every State, the District of Columbia, Puerto Rico, and the
Virgin Islands. Benefit rights generally are determined by the
State where the unemployed Federal civilian worker had his/her
last official duty station. However, if the unemployed worker's
last official station was outside the 50 States, the District of
Columbia, Puerto Rico, and the Virgin Islands, the law of the
State in which he/she files the first claim will determine
his/her benefit rights. (There are other rules which can change
the assignment to another State, cancel or withdraw the wage
assignment when a benefit year is not established. See Appendix
B, UCFE Regulations, Section 609.8 for detailed information
0concerning assignment of UCFE wages.)
While the payment of UCFE benefits in the same amount and under
the same terms and conditions as State UI benefits results in
different treatment of former Federal employees among the States,
it permits identical treatment within a State for former Federal
employees and former private company/business employees.
2.
The Relationship of UCFE to Other Unemployment Insurance
(UI) Programs.
The Federal-State UI program, as formulated by the Congress in
1935, allows each State to establish its UC laws in conformity
with broad Federal requirements. Therefore, State laws are not
uniform and the eligibility and disqualification provisions of
the various State UI programs vary considerably as State
legislatures enact provisions that they consider appropriate for
the State.
All State laws provide compensation for wage loss suffered by
unemployed individuals who have had an attachment to the labor
force and who are not subject to disqualification. The extent of
such attachment necessary to meet the minimum requirements for
monetary entitlement is established by State law and is measured
in terms of total weeks worked and/or wages earned in employment
covered by the State law in a recent period (usually 1 year)
specified in the State law as the "base period." Under most
State laws, the base period is the first four of the last five
completed calendar quarters prior to the filing date of the new
claim. The amount and duration of benefits to which an
individual is entitled varies according to the formula in the law
of the State.
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APRIL 1994

UCFB INSTRUCTIONS FOR STATB AGENCIES
To be eligible for benefits, a person must be unemployed, or
working less-than-full-time, with earnings less than an amount
specified in the State law. In addition, he/she must be ready,
willing, and able to work, and, in some States, actively seeking
work, and must not be disqualified for any reason specified in
the State law.
Generally, all State law provisions apply to claims filed under
the UCFE program. However, there are interpretations that may
not be made by State officials and must be made by the Secretary
of Labor. In such cases, the State Employment Security Agency
(SESA) administers the Secretary's decision under its law.
The UCFE claimant may participate in other programs for the
payment of benefits. These programs are described below:
a. Federal-State Extended Benefits (EB). At times of
economic downturns when the unemployment rate reaches a specified
level as determined by State law, the duration of benefits are
extended under the Federal-State EB program. In such event,
benefits to individuals filing under the UCFE program will be
extended.
The EB program was established by the Federal-State Extended
Unemployment Compensation Act of 1970, and is generally financed
50-50 by the Federal and State governments. As a condition of
tax offset credit under the Federal Unemployment Tax Act, a State
law must provide for the payment of EB during periods of high
unemployment to eligible individuals as prescribed under the Act.
EB provisions apply to claims under the UCFE program, except, all
benefits paid are charged to the Federal agency. The Secretary's
regulations which implement the EB program are published at
20 CFR Part 615.
b. Additional compensation/Benefits (AB). Additional
Compensation/Benefits (AB) is an extension of benefits under
State law by reason of high unemployment or other factors. These
benefits are totally financed by the State for State covered
workers. Federal agencies must reimburse the cost of these
benefits to UCFE claimants.
c.
Emergency or Temporary Extended Benefit Programs. From
time-to-time, special Federal emergency or temporary extended
benefit programs are enacted during economic downturns. Such
programs differ in their specifics but usually provide for some
number of additional weeks of UC to individuals who have
exhausted their rights to regular and other extended compensation
programs.
I-3

APRIL 1994

····� ___ ..,_ · - - �
···--•-· ...
..

.

--------•·•--•·--.

..

: :
f

QQPE INSTRUCTIONS FOR STATI AGENCIES
d.
Inter■tat• Arrang-•nt for Combining Employment and
Wages (CWC). The Combined Wage or ewe arrangement implements the
requirements of Section 3304(a)(9)(B) of the Internal Revenue
Code of 1986. The Interstate Arrangement for Combining
Employment and Wages is published at 20 CFR Part 616.

The ewe arrangement provides a system whereby an unemployed
worker with covered employment and wages in more than one State
could elect to combine wages from all such States to satisfy the
wage qualification (or weeks) requirements of the paying State,
or as a meahs of increasing the weekly or maximum benefit amount
(MBA). A condition for State law approval, all "States" are
required to participate in the ewe arrangement.

Federal wages, both civilian and military, may be combined with
state covered wages under this arrangement. The paying State for
a ewe claim is the State in which the claim is filed, except if
the claimant is monetarily ineligible on the basis of combining.
In which case, the paying State is the last State in which the
individual worked in covered employment, including Federal
employm_ent, and qualifies on the basis of combining wages.
Benefits paid are charged to the State whose covered wages have
been used to establish the entitlement. Charges bear the same
ratio to the total benefits paid as wages from the transferring
State bear to the total wages used in determining the claim.
When Federal wages are transferred, the transferring State is not
billed for its share of the benefits. Instead, benefits that
otherwise would have been chargeable to the transferring State
-are charged directly to the Federal account by the paying State.
Claims under this arrangement are filed under the intrastate and
interstate programs.
e.
Interstate Benefit Payment Plan (IBPP). The IBPP is an
agreement to which the States voluntarily subscribe. Unlike
other programs which describe a type of benefit such as UCFE,
Unemployment Compensation for Ex-Servicemembers (UCX), State,
etc., the Interstate Benefit Program (IB) describes a method for
handling claims filed under all other programs on an interstate
basis as opposed to intrastate.
The IBPP provides a method by which States act as agents for each
other in taking and forwarding information pertaining to claims
to the state (liable) in which the individual had covered
employment or has an existing claim on file and who otherwise may
be deprived of benefits because of their absence from the State.
I-4

APRIL 1994

'

QCPI IMSTRQCTIQHS PQR &TATI AGBHCIBS

........

---.... -...__,

-

For some claims filed under this program, State agencies may
request information from the Federal agency for response to
another State. This occurs under a further cooperative
arrangement between a few States, with the same base period and
similar requirements, to initiate the request for wage and
separation information for each other when a claim is filed as a
means to reduce the length of time between the date of claim and
the receipt of wage and separation information.
Until 1970, the Social Security Act (SSA) contained no provisions
relating to the payment of benefits to individuals who no longer
resided in the State in which wage and benefit credits were
earned. In 1970, a provision was added to the SSA to prohibit
the denial or reduction of benefits solely on the basis that the
claim is filed from another State (or contiguous country with
whom the United States has an agreement). However, the program
continues to operate under the voluntary agreement.
By agreement between the governments of Canada and the United
States, Canada participates in the IBPP with all States on a
reciprocal basis. No other foreign country currently
participates in the IBPP.
f.
Approved Training. Section 3304(a)(8) of the Social
Security Act prohibits the denial of benefits to an individual
(for reasons relating to unavailability for work, active search
for work, or refusal to accept work) who is in a State approved
training program. Therefore, a former Federal employee in
benefit status and attending state approved training would not
usually be denied benefits for failure to leave training to
accept a reinstatement or appointment with the Federal agency.
3.

General Administration.

The U.S. Department of Labor (DOL), SESAs, and Federal agencies
all have responsibilities for the administration of the UCFE
program.

a .. Responsibilities of the u.s. Department of Labor.
Federal law (5 u.s.c. 8501-8509) establishes the Secretary of
Labor as the authority responsible for interpretation of the UCFE
law (including the determination of what constitutes Federal
" service and wages for UCFE purposes), promulgation of regulations
to implement and carry out the purposes of the law, and for
ad�inistration of the program including the payment of benefits,
if-necessary. Therefore, the construction of 5 u.s.c. 8501-8509
is the sole responsibility of the DOL. The Secretary's
regulations which implement the UCFE program are set forth at 20

I-5

APRIL 1994

.....

_

. .. --·--· --

�----------

QCPB IBSTRQC'l'IQNS 198 ITATI AGBNCIBS
CFR Part 609. The Federal law and regulations are reprinted as
an Appendix A and B, respectively, to these instructions. The
Secretary's coverage interpretations (Federal service and wages)
are addressed in greater detail in Chapter II and Appendix c.

Any questions concerning interpretation of the law, the
regulations, DOL instructions for the administration of the
program, or coverage of Federal service and wages for UCFE
purposes should be submitted to:
U.S. Department of Labor
Employment and Training Administration
Unemployment Insurance Service, Attn. TEUMI
200 Constitution Ave., N.W •
. Washington, o.c. 20210

Federal law (5 u.s.c. 8502) allows the Secretary of Labor to
enter into an agreement with a State, or an agency administering
the UC law of a State, to determine and pay compensation claimed
under this program in the same amount and under the same terms
and conditions as apply to claims filed under the State law.
The Secretary has agreements with all States and all States and
jurisdictions have approved laws. Therefore, State UI offices in
each State, the District of Columbia, Puerto Rico and the Virgin
Islands take and pay claims filed by former Federal employees and
determine their eligibility to receive unemployment benefits.

Federal law (5 u.s.c. 8503) further provides that, in the absence
of an agreement with a State or the agency administering such
State's UC law, the Secretary will determine and pay benefits, in
accordance with such State's law, to individuals who, except for
the lack of an agreement, would have been payable under such
State's law. "State law" as used in this context means the UC
law of a State approved by the Secretary of Labor under Section
3304(a) of the Internal Revenue Code of 1986 (26 u.s.c. 3304(a)).

The DOL, Employment and Training Administration (ETA),
Unemployment Insurance Service (UIS), reviews, on request, Forms
ES-931, Request for Wage and Separation Information, and other
documents where the Federal agency indicates that the claimant's
employment was not "Federal service" for UCFE purposes and there
is no prior OOL coverage ruling. In such instances, DOL examines
the relevant facts to determine if coverage is consistent with·.
the applicable UCFE provision and issues a coverage ruling
advising the Federal and State agencies' of the Secretary's
determination.
I-6

Ji.PRIL 1994

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..."'::: --...·-�---- -·

_

UCPE INSTRUCTIONS POR STATE AGENCIES
In instances where a Secretary's coyerage decision has been
issued and a Federal agency submits a Form ES-931 with a Federal
Service indication that is contrary to the Secretary's prior
coverage decision, the SESA will follow the Secretary's coverage
decision. (All facts must be the same as those contained in the
coverage decision.)
The Department also receives, for review, a copy of each judicial
or administrative decision ruling on an individual's entitlement
to payment of UCFE or credit for a waiting period. This review,
along with the coverage reviews discussed above, help to assure,
insofar as possible, the uniform interpretation and application
of the UCFE Act throughout the United States.
b.
Responsibilities of SESAs. Full responsibility for
State administration of the UCFE program lies with the head of
the SESA. The Secretary of Labor has agreements with SESAs for
the administration of the various UC programs. The DOL provides
funds to SESAs for the proper administration of the UC program.
Within the DOL's oversight responsibility, the ETA has recom­
mended the designation, within the SESA's Central Office, of an
individual responsible for managing UCFE operations within the
framework of regular State UC operating units ( See APPENDIX E
for State Coordinators). The individual in charge of this
coordination should be delegated sufficient authority and staff
assistance to ensure compliance with UCFE instructions, and
he/she should be responsible for the following activities:
(1)

UCFE Activities.

(a) Ensuring the prompt preparation and
distribution of appropriate procedural instructions, both in the
Central Office and in local (or area) offices.
(b) Making on-site appraisals of the
effectiveness of the programs, including adherence to procedures,
with particular emphasis on local {or area) office operations.
(c) Developing methods to ensure the proper use
of Federal civilian and military wage credits when applicable.
(d) Making recommendations for the training of
claims interviewers and claims-processing personnel, including
persons performing monetary and nonmonetary determination
functions.
(e) Ensuring uniformity of interpretation,
including the requirement that UCFE claimants be treated the same
as other claimants (i.e., State UC) with respect to monetary
I-7

APRIL 1994

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-·

UCFB INSTRUCTIONS POR STATE AGENCIES
eligibility, ability to work, availability for work, and
disqualifications under the State UI law.
(f) Ensuring that the central office maintains a
listing of Federal agency addresses and keeps them current by
updating from Forms ES-931 and/or the issuance of Unemployment
Insurance Program Letters (UIPLs) and providing those addresses
to their operating facilities.
(g) Notifying the Louisiana Claims Control center
(LCCC) when a UCFE claim has been filed.
(2)

UCFB Liaison Activities.
(a)

Cooperating with Federal agencies.

(b) Following up on requests for wage and
separation information when local or area offices have been
unable to obtain the information.
(c) Supervising the program for verification of
wage and separation information, including coordinating visits to
Federal agency installations by appropriate personnel.
c.

Responsibilities of Federal Agencies.

(1) Management and Administration. Each Federal
agency has been advised to consider establishing a position of
Program Manager to head the UCFE program. The manager should
have the authority to make changes to the agency's internal
operations in order to ensure effective administration.
20 CFR 609.26 of the Secretary's Regulations (5

u.s.c.

8508)

provides that each Federal agency shall designate one or more of
its officials to be its liaison concerning UCFE matters with the
DOL. This position may be combined with the Program Manager
position by the Federal agency.

The Federal agency is to advise the DOL concerning the following:
(a) The name, title, address and telephone number
of the designated liaison.
(b) Any change of address to which all forms and
correspondence pertaining to a UCFE claim are to be sent.
(c) Any instructions or informational material
prepared by the agency pertaining to the UCFE program is to be
submitted for approval to the DOL prior to issuance.
I-8

APRIL 1994

.

.. .

..

-•-·�·- .

-- .. -�

OCPE INSTRUCTIONS POR STATE AGENCIES
The following address will be used by the Federal agency for
providing the above cited information:
U.S. Department of Labor
Employment and Training Administration
Unemployment Insurance Service - TEUMI
200 Constitution Avenue, N.W.
Washington, o.c. 20210
(2) Requirements of Federal Agencies.
agencies are responsible (5 u.s.c. 8506) for:

Federal

(a) Furnishing information to their separating
employees concerning their rights to receive UC on Form SF-8.
(b) Furnishing information as requested by the
SESA to determine the claimant's entitlement to UC which
includes:
(i) findings of fact relating to a
determination of "Federal Service" to be made by the SESA in
accordance with Federal Law and the directives of the Secretary
of Labor;
service;

(ii) the periods of applicable Federal

(iii) the amount of Federal wages in
connection with Federal Service; and,
service.

(iv) the reasons for termination of Federal

(c) Furnishing corrected or additional
information on request of a claimant, SESA, or a State
administrative appeals authority.
(d)
Furnishing State agencies with such
statistical reports of wages and employment as may be required in
connection with the administration of the program.

(e} Reimbursing the Federal Employee Compensation
(FEC) Account in the full amount of the quarterly bill for
benefits paid within 30 days of receipt. Resolving issues
pertaining to charges with the appropriate State UCFE
coordinator.
(f) Providing a statement and explaining to all
newly hired and rehired employees who may be receiving or may
I-9

APRIL 1994

··-•· · .._ ,

\
I

.

.l

UCFE INSTRUCTIONS FOR STATE AGENCIES

have applied for UC benefits of their responsibility to notify
the SESA, in writing, of their employment. Federal personnel
offices shall provide to each newly hired and rehired employee,
the following statements:
"If you have applied for or are receiving Unemployment
Compensation payments, it is your responsibility, under
penalty of law, to notify the appropriate local office
of your employment. Failure to do so can result in a
penalty such as a fine, imprisonment, or both".
(g) Notifying the U.S. DOL of the address to
which the UCFE bill and the quarterly detailed list of charges
are to be sent.
(h) Ensure that instructions issued by the U.S.
DOL are distributed to and executed by payroll and personnel
units at all installations of the agency and ensure that the
agency is carrying out its responsibilities in a timely manner
to:
(i) Provide written internal procedures to
all staff having any responsibility for any part of the UCFE
program.
{ii) Advise all employees of any new or
revised procedures or instructions provided by the U.S. DOL.
(iii)
Take actions to correct problems
noted during reviews/visits conducted by DOL, regional offices
and/or SESA representatives.
(iv) Assess the agency's UCFE program
operations through the internal control process on a regular
basis.
(v) Review periodically the contractor's
performance if the Federal agency is utilizing the services of a
contractor to assist in its UCFE responsibilities.

I-10

APRIL 1994

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UCPE INSTRUCTIONS FOR STATE AGENCIES
CHAPTER II 1.

FEDERAL SERVICE AND FEDERAL WAGES

Introduction.

a.
l"ederal service. "Federal service" is not limited to
civilian employees who are covered for civil service retirement
purposes. The term "Federal service," as used in the UCFE
program and these instructions, means work performed in the
employ of the United States, or any wholly-owned or partially­
owned instrumentality of the United States, with the exception of
the specifically excluded services listed in 5 u.s.c. 8501.
Federal agencies have been advise that individuals performing
"Federal Civilian Service" will be eligible for benefits upon
separation, provided the individuals meet the employment and
wages qualifying requirements of State UC law. Benefits paid by
the SESA are charged to the Federal agency based on the Federal
agency pro rata share of benefit cost.
l'ederal Wages. The term "Federal wages" is defined in
8501(2)) as "all pay and allowances, in cash or in
kind, for Federal service" and thereby includes all payments for
sick leave, annual leave (including lump-sum) and severance pay.
(5

b.

u.s.c.

c.
Secretary•s Interpretations. The Secretary of Labor
makes determinations whether specific instances or categories of
Federal employment and pay constitute "Federal Service" and/or
"Federal Wages" in accordance with 5 u.s.c. 8501.
(1) Letter Interpretations. Originally, these
interpretations were provided to the impacted Federal agency and
SESA in the form of a letter. The major interpretations are
listed below by Federal agency in subchapters 2. and 3. of this
CHAPTER.
(2) Coverage Rulings.
The DOL, UIS, will provide the
following controlling guidance to the SESAs.

(a) Guidance on certain categories of
The SESAs are expected to make UCFE determinations of
eligibility and only request UCFE coverage rulings in
instances. The UIS will issue operating instructions
the SESAs with general guidance on certain categories
who either do or do not perform "Federal service" for
program coverage purposes.

workers.
claimant
rare
providing
of workers
UCFE

(b) Blanket Rulings. These UCFE program coverage
rulings are issued by the Director, UIS, and published in the
Federal Register when it is possible to determine whether or not
II-1

APRIL 1994

I
, '

UCPE INSTRUCTIONS POR STATE AGENCIES
"Federal service" for UCFE program coverage purposes is performed
by a class of workers. The first such ruling (UCFE Program
Coverage Ruling No. 92-1) dealt with the Agricultural Promotion
Boards and Marketing Agreement and Order Administrative
Committees and was published April 17,1992. During fiscal years
1994 and 1995, all earlier rulings will be reissued in the
coverage ruling format.
(c) Individual Rulings. These UCFE program
coverage rulings are made by the Director, UIS, on a case-by-case
basis when it is not possible to issue a blanket ruling because
the factors involving the case are unique or otherwise not
present in other cases.
Appendix Chas been reserved for such coverage rulings and
operating instructions.
2.

secretary•s Interpretations: Federal Service/Federal Wages.

The secretary of Labor has determined the following types of
employment to constitute "Federal service" (civilian) and
"Federal wages" (civilian) within the meaning of the Federal UCFE
law.
a.

Department of Agriculture.

(1) Agriculture cooperative employees (i.e., State­
Federal) serving under Federal appointments including those with
the Agriculture Extension Service.
(2)
Agriculture Stabilization and Conservation
Service- employees of county and community committees (local
committees are known as ASC committees).

(3)
Agricultural Boards and Committees- employees
only, not members.

(4)
b.

Soil Conservation Service.

Department of Commerce.
(1)

Census- Census enumerators.

(2)

Coast and Geodetic Survey- commissioned officers.

(3)
Public Works and Economic Development Act (PWEDA)
of 1965, Public Law 89-136.

II-2

APRIL 1994

·i-

UCFE INSTRUCTIONS FOR STATE AGENCIES
(4) Regional Fishery Management Councils- Executive
directors and subordinate employees who are paid wages/salaries
from the following named Councils' funds:

c.

(a)

Caribbean Council,

(b)

Gulf Council,

(c)

Mid-Atlantic Council,

(d)

New England Council,

(e)

North Pacific Council,

(f)

Pacific Council,

(g)

South Atlantic Council, and

(h)

Western Pacific Council.

Department of Defense.
(1)

Armed Forces non-appropriated fund activities-

(a) services performed in the United States in
the employ of authorized non-appropriated fund activities by
civilian (citizen or non-citizen) employees and U.S. military
personnel employed voluntarily during off-duty hours.
(b) services performed by American citizens and
off-duty U.S. military personnel in the employ of authorized non­
appropriated fund activities operating at overseas locations.
(2)
National Guard and Air National Guard Civilian
employees under the National Guard Technicians Act of 1968,
Public Law 90-486.

d.

Department of Health and Human Services.
Public Health Service commissioned officers.

e.

Department of Interior.

(1) Individuals paid from Congressional appropriations
of tribal funds held in trust by the United States and disbursed
by Federal Government disbursing officers on the basis of
vouchers and payrolls certified by U.S. Government officials.
(2)

Fish and Wildlife Service- Mammal control agents.
II-3

APRIL 1994

-·

i.

-·

-

UCPE INSTRUCTIONS POR STATE AGENCIES
f.

Department of Justice.

Inmates of correctional institutions appointed by Federal
agencies prior to release under the terms of the Prisoner
Rehabilitation Act of 1965 (Public Law 89-176}.
g.

Department of Transportation.
(l}

Maritime Administration- administrative enrollees.

(3)

Wage Marine positions.

(2) U.S. Merchant Marine Academy- including Ships
Service Store, Junior Officer's Mess, Officer's Club, Petty
Officer's Club, Midshipmen Morale Fund, Athletic Fund, Cultural
Events Fund, Protestant Chapel Fund, Jewish Chapel Fund, and
· Catholic Chapel Fund.
h.

Miscellaneous- Other.

(1) Administrative employees of members of Congress
and congressional committees.
(2)

the Commission.

Joint Federal/State Commissions- employees paid by

Joint employees. That portion of joint service
(3)
performed and the wages earned in the employ of the partially­
owned instrumentality of the United States.
(4)

National Credit Union Administration (NCUA).

Partially owned Federal instrumentalities­
(5)
including any Federal intermediate credit banks, banks for
cooperatives, or production credit associations in which the
Federal Government owns capital stock.
(6)

Presidential and Schedule

c appointees.

(7) Temporary appointments, such as 30, 60, or 90 day
temporaries and Postal Service Christmas temporaries or
appointments for other short-term or part-time non-career
employment.

II-4

APRIL 1994

PCPE INSTRPCTIQNS FOR ST.'Yf AGENCIES
3.

secretary•• Interpretations:

Wages.

Not Federal service/Federal

The Secretary of Labor has determined that service in the
employment of the entities or in the particular categories of
employment identified below does not constitute "Federal service"
under 5 u.s.c. 8501(1).
a.

Departments of Government.

(1) Department of Interior.
Indian tribal funds.

Individuals paid from

(2)
Department of State. Grantees under the
Educational Exchange Program (U.S. Information and Education Act
of 1948, Public Law 80-402).
(3)
District of Columbia Government. Employment
covered by District Unemployment Compensation Act.

( 4)

Peace Corps- Volunteers and Trainees.

(5)
Trust Territories (such as Guam, American Samoa).
Employment provided by Guam and the American Somoas does not
constitute Federal Civilian employment.

b.

Other Institutions.
(1)

Federal Credit Unions.

Federal Intermediate Credit Banks, banks for
(2)
cooperatives, or production credit associations in which the
Federal Government owns no capital stock.
(3)

Federal Home Loan Banks.

(4)

Federal Land Banks.

(5)

Federal National Mortgage Association.

(6)

Federal Reserve Banks.

(7)
Local Housing Authorities- State, district,
county, or municipal.

c.

Miscellaneous- Other.

(1) Community Service Employment for Older American
Workers- enrollees/members.
II-5

APRIL 1994

--··· ··

..

UCPB INSTRUCTIONS POR STATB AGBNCIBS
Branches.

( 2)

..
...

- ··• ...

.. . . .

,-

- - -- -----••· - ·-

-· "

Elective Officials in the Executive or Legislative

(3) Elective State Coverage. When a partially-owned
instrumentality of the United States, i.e., Production Credit
- Association, Intermediate Credit Bank, etc., has elected State
coverage.
(4) Joint Federal/State Commissions- Employees not
paid by the Commission.
(5) Service Performed outside The United States.
Service performed outside the United States by non-citizens.
(6) Temporary Emergency Employment- employment on a
temporary basis in cases of fire, storm, earthquake, flood, etc.,
to take care of a catastrophic emergency.
(7)

Youth Conservation Corps (YCC)- enrollees/members.

II-6

APRIL 1994

• t.

-- ----· -­
�--- -�----- .. ..-----------...

'

.

.

. ......

··- -

-�·

'

QCPB IIJSTRQCTIQIS PQR l'l'l'l'I UIICIBS
CQP'J'IB III - lQRXS QSIQ N N>XIMISTIR DI QIIKPIQJKIH'J'
CQKPBHSATIQN PQR IIQIQL APIQXII PBQGBNI,
The following list of forms/notices used in the UCFE program
provides a brief description of each form/notice. The particular
forms/notice and their use are explained in further detail
throughout this Handbook.

sr-a, Notice to r1oera1

DJ>loyee

About unemployment coapensation

Form provided to a separating Federal employee by a Federal
agency that explains his/her potential eligibility for UC and
provides the name and address of the separating Federal agency
where wage and separation information can be obtained.

sr-so

stan4ard Pora

so

In most Federal agencies, the official notice of a personnel
action separating a Federal civilian employee is an SF-SO. Some
agencies issue a modified document with a different form number
for this purpose.

Porm BS-931, Request Por Wage and separation Information

Form used by SESAs to request wage and separation information
from the Federal agency.

Pora BS-931A, Request ror separation Information
Por Additional Clai•�VCPB

Form prepared by SESAs to request separation info�ation from the
Federal agency, when a UCFE claim has been previously
established.

Porm 1s-933, Request for Information Regarding claims
Piled Under

the

Pederal Bmployees• Coapensatiop Act

Form prepared by the SESA to request information concerning
workers' compensation claims filed by Federal employees.

rorm 1s-t34,

Request for Additional Information
Reconsideration of Pederal Pindings-QCPB

or

Form prepared to request additional or clarifying information
from the Federal agency by the SESA. This form is utilized when
the SESA needs additional information or when a claimant asks for
explanation of information previously provided by the Federal
agency.
III-1

APRIL 1994

OMB No.: 1205-0179 OMB Expiration Date: 7/31/2009 Average Estimated Response Time for forms 931(5min), 931A(5min), 933(5min), 934(4min) and 935(9min)=combined 28 minutes.

O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons are not required to respond to this collection of information unless
it displays a valid OMB control number. Public reporting burden for this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Submission is required to obtain or retain benefits under SSA 303(a)(6). Send comments regarding this
burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Labor, Office of Workforce Security, Room
S-4231, 200 Constitution Ave., NW, Washington, DC, 20210.

········ ·--·

..·----

---....

'

QQPI IIORQC'l'IQIIS 198 ITATI AQIRQIBS
_____ .,.

Pora BS-135, Claiaapt•• Affi4ayit Of ••O•ral Civilian 11ryia1,
Jfag••

MO ...,on ror l&vation

Form completed by the claimant providing wage and separation
information during the initial claim process. It is forwarded
with the Form ES-931 to the Federal agency. The SESA will use
the Form ES-935 Affidavit to establish benefit eligibility when
the Form ES-931 is not returned by the Federal agency within 12
workdays.

Pora 1s-t3f, 1tau11t ror verification of QQPI wage
AD4 separation Inforaation rurni■he4 on Pora 1s-131

Form prepared to request verification of information previously
received on the Form ES-931.

Porm 1s-p31, QCPI Proaru-r•O•ra1 Agency visit Report

Form used to report on a Federal agency visit conducted by the
SESA. A DOL representative may also have participated in the
visit.

rom 11-1 Initial Interstate c1aia

Form used by the Agent State to record claims information to
forward to the liable state for an initial interstate claim.

stateaent of IXP•P4iturea of P•O•ral run4s for B•iuursabla
Qnem,ployaent compensation B•nafits Pai4 to OCPB Claimants

Form used to "Bill" Federal agencies for UCFE benefits paid by
the SESAs to UCFE claimants.

ouarterly Listing

(also calla4 •• Detaile4 Li■tipq>

The Quarterly Listing or Detailed Listing identifies individuals
filing and receiving benefits from a given State in a given
calendar quarter which will be charged to the Federal agency
account. Adjustments to prior quarters charges are also
reflected.

Rotice of Financial Determination

ca110 called xonetary o,teraination>

Form used to notify claimant and employer of the financial
eligibility of a claimant and provide information on appeal
rights and process. The specific form design will vary among the
III-2

APRIL 1994

••• ••

• •� •--•--•--•--

r-.. •�- ........ ;

QCPB XIITRQCTJOIIS PQB ITUI MIICXII
SESAs. The Federal agency should r�view the notice to determine
if the wages used to determine eligibility of the claimant agree
with the completed ES-931.

11otia1 of •en-11op1tan P•t•rmipation

Form used to notify claimant and employer of the SESA's
determination concerning eligibility or other non-monetary
issue(s). Information is also provided on appeal rights and the
appeals process.

Jotice of Benefit Charges

Some SESAs may send notice forms designed for State-covered
employers showing benefit charges to all employer accounts in the
base period. Federal agencies are required to reimburse the FEC
Account for the pro rata share of benefits paid based on Federal
wages earned to the total amount of compensation paid in the base
period.

Botice of Appeal

A Notice of Appeal form is completed by a claimant or an employer
wishing to appeal a determination if the party reports in person
to the SESA's office. This form is prepared by the SESA, if an
employer or a claimant mails a letter to the SESA indicating a
desire to appeal. A copy of the completed form is generally
provided to each "interested party" as a means of notifying them
that an appeal has been filed.

Botice of Bearing

A Notice of Hearing is mailed to each
appeal. It will include, among other
and place of hearing. If the hearing
telephone, the notice of hearing will

interested party to the
information, the date, time
is to be conducted by
so advise.

Referee••
Decision, Decision of A411liniatrative
·
Bearing Officer, ate.

This form identifies the first level appeal official's findings
of fact, reasoning and decision on a determination appealed by
either the claimant or the employer. It also provides
information on further appeal rights and process. The title
given to the first level appeal officer and the specific form
design for his/her decision will vary by SESA.
III-3

APRIL 1994

i

'.

order, peci■iop and order of AP.Peal■ Tribunal,
Board of aeyiu, etc,

This form identifies the second level appeal body's findings of
fact, reasoning and decision on a determination appealed by
either the claimant or the employer. It also provides
information on further appeal rights and process. The title
given to the second level appeal body and the specific form
design for its decision will vary by SESA.

III-4

APRIL 1994

•'

···- - .... � . ... �.#•"• • ··•----,�· · . "

UCPE INSTRUCTIONS FOR STATE AGENCIES

L.

Notice to Pederal Employee About unemployment Insurance,

standard Porm 8

The Standard Form 8 (SF-8), Notice to Federal Employee About
Unemployment Insurance, is generally the first form a Federal
employee sees concerning UCFE. It provides the foundation for
the individual to file a claim at the nearest Local Public
Employment Service Office of the SESA. When this form is given
to a separating employee, it will start a chain of events that
are meaningful to the separating agency, separated employee and
the State UC office.
The Federal agency must provide the separating employee with an
explanation of the form and should emphasize the importance for
the employee to provide the SF-8 to the SESA local office when
filing a claim. The SF-8 will expedite the claims process and
assure the payment of benefits promptly.
Prior to the issuance of this form, if this separation is a
separate instance (as opposed to a reduction-in-force), no
additional action would be taken by the Federal agency except for
assuring the availability of separation information when the
other UC forms are received from the SESA. However, if the
separation is part of a reduction-in-force, or downsizing,
planning should be accomplished between the SESA and Federal
agency. Coordination should enable streamlined operations such
as unemployment forms completion and/or reemployment assistance
services under the direction of the SESA. Group meetings may be
scheduled for presentation by the SESA of various services, forms
completion and other related assistance that could expedite
processing both for the SESA and Federal agency. Coordination
for the completion of the SF-8 and the Form ES-931 will enable
all parties to reduce their paperwork.

III-5

APRIL 1994

. -·--•-� .......

PCFI IHSTRQCTIQNS FQB fTATI AO!NCIII
a.
Motic• to Federal IJlployee About Unuployaent
Inaurance, Standard Pora I (Front)
TAKE THIS FORM WITH YOU IF YOU GO TO FILE A CLAIM
UNEMPLOYMENT COMPENSATION FOR FEDERAL EMPLOYEES (UCFE) PROGRAM
NOTICE TO FEDERAL EMPLOYEE ABOUT UNEMPLOYMENT INSURANCE
This form has been given to you because (1) you have been separated from your job, or (2) you were placed in a nonpay status, or (3) your
records have been transferred to a different payroll office.
Unemployment insurance (Ul) for Federal workers. When unemployed, Federal workers may.be entitled to UI benefits
similar to those of workers in private industry. If you become unemployed or are in a nonpay status and want to FILE
A CLAI:r.1, go to.the nearest LOCAL PUBLIC EMPLOYMENT SERVICE OFFICE of the STATE EMPLOYMENT
SECURITY AGENCY to register for work and file your claim for UI. Yoiir ELIGIBILITY for UI CANNOT be detertnin­
ed until AFTER you file a claim. DO NOT DELAY filing a UI claim; if you wait, your unemployment benefits maybe reduc­
ed or you may not qualify for any benefits.
To help EXPEDITE your claim, take THIS FORM with you, your SOCIAL SECURITY ACCOUNT NUMBER CARD, the OFFICIAL
NOTICE of your most recent SEPARATION or of your present NONPAY status (Standard Form 50 if available), EARNINGS a�d'•LEAVE
statements, or similar documents that indicate you were employed by a Federal agency.

FEDERAL AGENCY will insert
in the box:
1st line-Parent Federal Agency
Name and 3 digit code number
2nd line-Major Component (if
any)
3rd and 4th line-complete
address to which all forms
pertaining to a claim should be
sent (ES-931, 931A, 934i 936, and
notices of appeal, hearings, and
determinations)

3 Digit
Identification
�----------�-----FEDERA� AGENCY . To be completed by the Federal

-�-'-.----' -'--'-c o- -'- - - ,"'"' A enc1i,:
g
1 DE � o .

·

·

Contact Name/Office

Telephone No. (include drea code)

KEEP TIJIS FORM and TAKE IT WITH YOU if you file a UCFE/UI claim for unemployed Federal workers provided by Federal law
(U.S. CODE, Title 5; Chapter 85). For more information about UCFE/UI,cread the REVERSE SIDE of this fonn.

NSN7�964

S-106

III-6

STAN0ARD FORM 8 (Rev. 6-87)
Prescribed by Dept. of Labor

20 Cf'R 609

APRIL 1994

'

.

.

'·•--..-..

�

.

.

-· ..

.

..

---- ........ - .....

·�-�--··-·-..... -·

_: ..

ucr1 INSTRUCTIONS ro• ITITI IQQCIBS
b.
Botic• to J'ede·ral Bllploy•• AJ:>out unemployment
%nsurance, standard Pora a (Raver••>
UNEMPLOYMEN'r 'COMPENSATION FOR�FEDERAL EMPLOYEES '(UCFE) · PROGRAM
UNEMPLOYMENT INSURANCE· ({JI) tFOR-FEDERALtWORKERS
J

'fiffiE THIS FORMfWITH YOI IF YOUGO TO FltE A CLAIM
GENERAL INFORMATION:
(''

:·

;

1. WHO WILL PAY UNEMPLOYME'NT BENEFITS?
If you are eligible, you will be paid by a State employment security agency under the provisions of its unemployment insurance (UI) law. The amount of your regular
weekly benefits and the period for which benefits will he paid will generally be determin�d by the law of the State in which you had your last Official Duty Station. This
Duty Station \\ill be printed on yourfimd '�Notification of Personnel Action'!, SF-50.If you have received all the regular benefits for which.you are eligible, you may,
under certain circumstances, became· eligible for, �ddi�ioq3:Lw,eeks of extended benefits; check with a State local office official. If your l�t duty station was outside the
United States, you will not be eligible until you,r�tum tqthe United States, i�luding the District of Columbia, Puerto Rico, and Virgin Islands. Your benefit rights will
then be determined under the law of your :State of re�idence. ·
··
·
UCFE/UI for unemployed Federal workers is paid from U.S. Government funds. No deductions were taken from your pay to finance these benefits.
2. UNDER WHAT CONDITIONS.WILL l BE: ELIGIBLE?
All State UI laws require that:
a. You must be unemployed, able to work, and available for suitable work; (In some cases, you may be eligible if you are employed less than full time);
b. You must register for work and file a claim at a local public employment service/DI claim office;
c. You must continue to report to the office as directed; and
d. You must have had a certain amount of employment/w��s within a base period of 1 year specified in the State law and have been separated through no fault of your own.
All State UI laws,\\rill deny youbenefits or such reasonfas: . . .
f
a. Quitting your job voluntarily without.good cause �r being discharged for misconduct connected with work; or
b. Refusing an offer of a suitable job without good cause.
Some State UI laws deny,otr.educen benefits for certain types of payments you may receive (retirement, severance, and/or lump-sumamount forunused, accrued annual
leave).
3. DO I HAVE THE RIGHT OF APPEAL?
Yes. If a determination is made denying you benefits, you have the right to appeal as provided in the applicable State law.
4. ARE THERE ANY PENALTIES?
Yes. If you willfully make a false (fraudulent) claim, you may be fined,· imprisoned, or both. If you make a mistake in giving information when you file your claim, notify
the local UI claims office as soon as you discover the mistake: prompt notification may avoid a penalty.
(The above statements are issued for general information; they do not have the effect of law, regulation, or ruling).
IF YOU BECOME REEMPLOYED and have.,been collecting UCFE/UI benefit payments, it is your RESPONSIBILITY to notify the local office, in writing, to discontinue
paying benefits now that you are employed. Failure to do so may result in a penalty such as a fine, imprisonment, or both.

• u.s,G�:19aa-o-201,1GoI6031-0

STANDARD FORM 8 BACK (Riv. N7)

III-7

APRIL 1994

- - ,: .... .. _

QCPB JISTRQC'l'IQIS PQR STATB AGBJCIBS
c.
Purpo•• and V••· The SF-8 informs employees of their
right to file a claim for UC, explains the basic eligibility
requirements, provides general information as to how, when and
where to file a claim, and describes the documents which the
individual should take when filing a claim (20 CFR Part 609.20).
It also identifies the name and address of the separating Federal
agency where wage and separation information can be obtained.
Federal agencies are required to issue this form on or before the
last day of work to each employee who is:
(1)
retirement;

separated for any reason, including voluntary

(2) placed or will be in a non-pay status for 7 or
more consecutive calendar days (voluntary or involuntary); or,
(3) transferred to the jurisdiction of a different
payroll/personnel office.
MOTE: The possession of an SP-8 by th• claiaant is� by itself,
to be considered credible evidence of Pederal -ployaent.
The Federal
employee is
basis. All
provided in

agency aust pot try to determine which separating
entitled to UCFE benefits and issue an SF-8 on that
separating employees must be issued an SF-8 except as
subchapter (e) below.

Issuance of the SF-8 by the Federal agency should not be delayed
pending completion and issuance of the SF-SO, Notification of
Personnel Action (or similar document), or for any other reason.
In addition to issuing the SF-8, the Federal agency's personnel
office, or someone that has been designated in the employing
office, ■ust explain the purpose of the form to each separating
employee. The separating employee should be instructed to take
the SF-8 to the local SESA office when he/she files a claim for
unemployment insurance b.enefits as it contains information used
by the SESA to ensure that all correspondence/inquiries-necessary
to the claim will be directed to the appropriate Federal agency
address/office.
d.
Content. The DOL has developed language which meets
the notification requirements and has obtained the necessary
approvals for the form. The form is completed with the parent
Federal agency name, 3-Digit Federal Agency Code, component
name/symbol, and complete address to which all forms and
correspondence must be sent by the SESA. A Federal agency
III-8

APRIL 1994

-· · ·

-· �----------��-, �
.. -

QCPB IBSTBQCTIQII PQR STATB AGBNCIBS
contact person/organizational unit and complete telephone number
is also included.
Federal agencies have a continuing responsibility to ensure that
each SF-8 issued reflects current, complete and accurate informa­
tion.

10,1:
Th• sr-e 10,ntifi•• and liait■ th• red•r•l agency to
one address to which a11 clai•• related foraa and correspondence
are to be 1ent,

e.
Interaittent, Part-tiae, �-porary Baployees.
Individuals whose work or tours of duty are on an "on-call" or
intermittent basis (i.e., substitute postal clerks) should be
issued an SF-8 only the first time in each calendar year that
they are placed in non-pay status. Issuance of an SF-8 is not
required for subs�quent periods of non-pay status during the year
as long as the individual is paid through the same
payroll/personnel office.
Temporary, part-time and others employed on a less than full-time
permanent basis should have been issued an SF-8 on the last day
of work when the appointment expires or when the first instance
of non-pay status occurs.
f.
Bmployees Stationed overseas. American citizens who
are Federal civilian employees (which includes employees of non­
appropriated fund activities of the Armed Forces) who are
separated, or transferred to the jurisdiction of another payroll
office or are placed in non-pay status while outside of the
United States should have been given an SF-8 by the Federal
agency no later than on the last day of active duty.
g.
Bon-Appropriated l'UDd Activity Bmployees. Civilian
employees in the United states and American citizens overseas and
military personnel (in or outside of the United States) who were
employed voluntarily during off-duty hours by authorized non­
appropriated fund activities are covered for UCFE purposes and
should have been issued a SF-8 on or before the last day of work
prior to separation, transfer or being placed in non-pay status.
h.
Hire/Rehire ltotices. The Federal agency must provide
each newly hired and rehired employee, the following notice:.
If you have applied for or are receiving uneaployment
compensation payments, it is your responsibility, under
penalty of law, to notify the appropriate local office
of your employment. Pailure to do so can result in a
penalty such as a fine, imprisonment, or both."
11

III-9

APRIL 1994

.

; I

-··· --•--··•·-----·-·•· ... •.·-·--··--·· ···�- -..

'
. -· ... -···· ... ,.

••.-·

I

;

QCPB IRSTRQC'l'IQBS PQR S'l'A'l'B AQBIJCIBS
i.
state Agency Responsibility. The UIS has emphasized to
the Federal Agencies the importance of the issuance of the SF-8
and that it is essential to advise the individual to take the
SF-8 to the unemployment insurance claims office when filing a
claim. The responsibility then rests with the claims taker to
assure that the information is appropriately recorded on all
claims forms for processing.
When a claimant fails to provide an SF-8, the claimstaker is
responsible for obtaining the information. Each Agency should
maintaining listings of addresses of Federal agencies to be used
when the claimant fails to present an SF-8.
2.

Introduction to standard Pora so (SP-50)

An SF-SO or its equivalent, contains information which assists
a SESA in determining an individual's potential entitlement to
benefits or, as a source document, in providing employee
identification on Form ES-931, including: the claimant's SSN
(item 2); the nature of the personnel action (item 5-B); its
effective date (item 4); the position title (item 7); the salary
rate at time of separation (item 12); the duty station (item 39);
and under remarks (item 45), when appropriate, the Federal
agency's reason(s) for separation. Item 39, Duty Station, shows
where the claimant was actually stationed, and is needed to
determine, for assignment purposes, the "official station" as
defined in the Federal UCFE regulations.
When appropriate, item 45, Remarks, contains an explanation of
the reason(s) for separation. Such explanation may alert the
local office claims interviewer to an other than lack-of-work
separation.

III-10

APRIL 1994

..

QQll IHSTRQQTIOJII roB ITITI ICIIIQIII
standard Fora 50 (81-50), Hotifioation of Per■ouel Action
Standard Form 50
Rev, 7/91
U.S. Offfic e of Personnel Management
FPM Supp 296-33, Subch 4

NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number

1. Nam e (last, First. Middle)

C:01\lfi'!AG:'flON-- --·�.··'T

rt·IH�n, ACT1Ql)I-=- ,,,:_,
-5 A.Code

5-B.Nature of Action

-5 E.Code

5-F.Legal Authority

6-C. Code 6-0. Legal Authority

6-E. Code 6-F. Legal Authority

15. TO: Position Title and Number

7. FROM: Position Title and Number

B. Pay Plan 9.0cc. Code 10.Grade or Leve r 1.Step or Rate
/
12B. Locality Adj.

I,

2. Total Salary

11

J.Pay Bas is 16. Pay
Plan

12C. Adj. Basic Pay 120. Other Pay
1
1

14. Name and Location of Position's Organization

5 · 10-Point/Other
6 • 1 O•Point/Compensable/30%

3 • 10-Point/Disabili ty
4 • 10-Point/Compensable

27. FEGLI

�
30. Retirement Plan

31. Servic e Comp. Date !Leave)

==i
�1:IO�'ATA:34. t"'"os1tlon Occup,ea

�

� : �:';��: �:���=
i

38. Duty Station Code

ice

. Effective Date

6-A. Code 6-B. Nature of Action

-5 C.Code 5-0. Legal Authority

12A. Basic Pay

3 . Date of s;,th
1

3 • SES General
4 • SES Career

40. AGENCY DATA

,N

FfS� 1...ategory

�·.�::��pt

17. 0cc.
Code

20A. Basic Pay

18.Grade or Leve ,19.Step or Rate 120. Total Salary/Award

I

20B. locality Adj.

1

I

20C. Adj. Basic Pay

22. Nam e and Location of Position's Organization

.

enure
5-A gency Use
.
0 · None
2 • Conditional, �
1 • Permanent 3 • Indefinite

f----i

28. Annuitant Indicator

36. Appropriation Code

200. Other Pay

,,.,,--.-.-

I

YES
nNo
29. Pay Rate Determinant
ar • 1me

�

ours

��� ;::fud
e

er

.'l"'!" •..
:--�,•
- ¥_•••
37. Bargaining Unit Status

': ·•·1�""� --�.;f "

39. Duty Station (City• County • State or Overseas Location)

�

Pay
Basis

Lv,"V�ti¥a��J�,f�fj:'I

JJ,

32. Work Schedule

1

12, ._

45. Remarks

50.Signature/Authentication and Title of Approving Official

46. Employing Department or Agency

47. Agency Code

48. Personnel Office ID

49. Approval Date

TURN OVER FOR IMPORTANT INFORMATION
5-Part

1 - Employee Copy - Keep for Future Reference

III-11

Editions Prior to 7/91 Are Not Usable After
6/30/93
NSN 7540·01-333-6236

APRIL 1994

QCPB INSTRQCTIQNS FOR S'l'A'l'B AGBNCIBS
CQPTIR IV - QQJ'I CllIMS PRQCBSS
1.

Taking OCPB Pir■t Clai••·

A new UCFE claim is a request for determination of eligibility
for UC for Federal civilian employees. This claim may be based
on only Federal civilian employment and wages, or may also
include Federal military service and wages or State-covered
employment and wages. The claimant may file a UCFE-only claim,
or a joint claim: UCFE-UCX, UC-UCFE, or UC-UCFE-UCX1 an
intrastate, interstate, or combined-wage claim, depending on the
source of employment and wages on which unemployment benefits may
be payable.
An interstate UCFE claim will be taken when a claimant's Federal
civilian service and wages are assignable to a State other than
the State in which the claimant files the initial claim. When a
claimant has UCFE wages assignable to more than one State and is
separately eligible under different States' laws, the claimant
may elect to file against either State in the same manner as any
claimant with eligibility in different States. The claimant,
having employment in more than one State, may also elect to file
a combined-wage claim.

a.
Presentation of sr-e by tbe Claiaapt. To the extent
possible, before a new UCFE claim is taken, the claims
interviewer must determine whether the claimant was a civilian
employee of the Federal Government during the State's base period
that is applicable to his or her claim. A UCFE claimant must be
asked to present the SF-8 at the time a new claim is filed for
UCFE. In order that the claimant may understand the request more
clearly, the claims interviewer should show the claimant a sample
copy of an SF-8.
Generally, intermittent or on-call employees, such as substitute
postal clerks, crop insurance adjusters, and persons who are paid
only "when actually employed" (WAE's), will receive a SF-8 only
once during a calendar year. Normally, it will be issued the
first time they are placed in nonpay status by the Federal
employer.
The SF-8 provides for the SESA's use, the parent Federal agency
name, 3-Digit Federal Agency Code, component name/symbol, and
complete address to which the request for separation and wage
information (Forms ES-931, etc.) should be sent. A Federal
agency contact person/organizational unit and complete telephone
number should be provided by the Federal agency.
IV-1

APRIL 1994

..

.

·- · ---·

·--�... ·-

·-· -

QQPI IDTBQQTIQU PQB IDTI AQIIIQJII
Po•••••ion of a••-• i■ not proof that a alailllLDt i■ a Wederal
-ploy•• or that the person ha■ OCWB entitl-•nt.
Individuals entitled to UCFE benefits must meet all the
eligibility requirements of the paying State's law in order to
receive UCFE benefit payment.
When a claimant does not present an SF-a, the address for the
Federal agency should be obtained from the central office·
listing. Each SESA's central office has the responsibility for
maintaining a current list of Federal agency addresses. This
information should be updated by the State agency from recently
completed Forms ES-931 or from information provided by the UIS.
Instances of failure of the Federal agency to furnish an ·SF-8
should be called to the attention of the appropriate Federal
agency. Notification may be accomplished by correspondence,
telephone call, or personal visit. The importance of the form in
expediting UCFE claims processing should be stressed. If a
Federal installation's failure to issue the forms is either
widespread or continuous, the local office should notify the
SESA's central office to arrange for appropriate coordination to
visit the Federal installation.
b.
Jpteryiewipg the QC•I Clai■apt. The claims interviewer
will determine whether or not the claimant has previously filed a
new UCFE claim, either since his or her most recent separation
from Federal civilian employment or, if such employment was of
short duration, within the last 12 months. Questions are to be
asked orally of each potential new UCFE claimant to determine if
he/she should file a new, additional, or reopened claim. These
questions may be added to the state UC new-claim form to expedite
the interviewing process. The claimant should also be questioned
about any out-of-State claims since, instead of taking a new
intrastate UCFE claim, an additional or reopened interstate UCFE
claim might be appropriate.
If a new UCFE claim was not previously filed, the claims
interviewer should then ascertain, the State to which Federal
civilian service and wages are assignable, so that the type of
new UCFE claim, intrastate, interstate, or combined-wage, may be
determined. The SF-50 (item 39, Duty Station) provides this
information. Also, if a new intrastate UCFE claim is taken, the
SESA should ensure that Federal civilian service and wages
previously assigned to another State are not used again in making
a UCFE monetary determination. The claims interviewer should, as
a minimum requirement, review the claimant's work history since
the beginning of the State's ba·se period that is applicable to
IV-2

APRIL 1994

.

"'- ·· · · ·-·--

•----···-·- . -··--·-··

. . . . . . . �-· ·· • ··•

.. --- ""

PQPI IIIDPQ'l'IOIIS lQB l'l'A'l'I AGBIJQIIS
the claim. Completion of Form IB-1 will adequately cover this
area for new interstate UCFE claims.
roras BS-131, Request for wage an4 separation Znforaation-ucr•
are to be ■ent to all re4eral agenci•• tbat provi4e4 ba•• year
an4/or lag quarter eaploJll•nt.
Tb• •-• intrastate claia fora■ (for internal use by tb• state
agency) an4 proce4ur•• u■e4 for new State-UC clai•• will also be
uae4 for n•• ocrz clai■s, ezcept tb• letter• 11ocrz 11 are to be
a44e4 on tbe face of tb• new-claia fora.
SBSA foras use4 for oc claiaants requesting aeparation
inforaation sbou14 not be sent to re4eral agencies.
The benefit year will be determined in accordance with liable
State (the State which will pay benefits) Law.
Generally, all interstate forms and procedures published in ET
Handbook No. 392 apply to interstate UCFE claims. The optional
use of the Claimant/Employer Separation Statement, Form IB-3,
does not apply to Federal employment. This form is not to be
sent to a Federal agency or a Federal agency's representative.
The liable State will initiate an ES-931 to the Federal agency
(or its representative) to obtain both separation and wage
information.
2.

••• Interstate Qlaiaa.

The claimstaker must ensure that the claimant has answered
questions 1 thru 17 of the Initial Interstate Claim, Form IB-1,
in a complete and legible manner and must complete items A thru M
and items 18 thru 20 of the form. If, at the time of filing, the
claimant has available a Notice to Federal Employee About
Unemployment Compensation, Form SF-8, the claimstaker should
ensure that the agency address where wage and separation
information may be obtained as stated on the SF-8 is provided on
the Form IB-1. such address should be entered in space·for
"payroll address" in Item 15, "Work Record" if it is different
from the address of the place of employment in the same item. If
the claimant does not present an SF-8, the claimstak�r should·
follow intrastate procedures for ensuring that the correct
payroll office address is provided to the liable State for use on
Form ES-931.
The agent State is required to complete a Form ES-935 and provide
it to the liable State with each new UCFE claim. If the claimant
does not have proof of earnings, advise the claimant that such
IV-3

APRIL 1994

; :

i

. ..... . � ---·--···

....·-·-··

JJCll IBSTRQQ'l'IOltS ·· roa · &TATB .. &qBBCIBS
- ··

.,

proof may be requested by the liable State. AcJ•nt State
processing of the initial claia shou14 not be 4elaye4 pending
proof of earnings provi4e4 on the Pona BS-935.
3.

Introc!uation to rora 1s-,31, 11au11t for J(aq• uo s1paration

Inforaation-ucr1.

Form ES-931 is used by the local office and the Interstate Claims
Office to obtain Federal civilian employment, wage, and
separation information whenever an individual files a potential
"first claim" (UCFE), as defined in the Federal UCFE regulations
(20 CFR 609.2 (j).
If two or more States are involved, a Form ES-931 may be used by
any of the following: agent State (e.g., new interstate UC
claim, UCFE service/wages assignable to agent State), liable
State (new interstate UCFE claim), or even a third State.
A completed Form ES-931 serves as the basis for determining the
indiv-idual's creditable Federal civilian service and wages, as
well as the reason for separation from the most recent Federal
employing agency.
a.

A Form ES-931 is sent:

(1) to each Federal agency for which the claimant
worked during the base period, and/or lag period, up to the date
of separation,
(2) to the last Federal agency for which the claimant
worked if the most recent Federal employing agency is other than
the Federal agency for which the claimant worked during the base
period.
Form ES-931 is to be prepared in the local office or liable State
unit and sent to the Federal agency on the same day the new claim
is taken or claim documents are received in the liable State
unit.
Pora BS-931 is uae4 to obtain wage 4ata in the base period an4 up
to the 4ate of separation which aay occur after the base period
(lag period or lag quarter wages).

The Standard Form 8 (SF-8) is used by the SESA to complete the
parent Federal agency name, 3-Digit Federal Agency Code,
component name/symbol, and address on the Form ES-931.
The Form ES-935, Claimants Affidavit of Federal civilian Service,
Wages and Reason for Separation is completed by the claimant with
IV-4

APRIL 1994

UCPB IJS'l'RQQ'l'IOJS ,OR l'IUI MIICJBS
the Form ES-931. The Form ES-935 provides the claimant's
statement of the reason for separation and wage information.
Forms ES-931 and ES-935 are mailed by the SESA to the Federal
agency's address on the SF-8.

IJQD: When th• SBSA do•• not receive the �•d•ral a9ency response
within 12 days of the request date, th• &BSA will issue a
financial and non-aonetary deteraination on the baaia of the
claiaant•• inforaation •• provided on the �ora BS-935.

States using a computer generated Form ES-931 may include the
claimant's statement from the Form ES-935 on a computer printout
in lieu of attaching the form.

Generally, wages will be requested for the base period (a one
year period specified in State law that precedes the effective
date of the claim) and the period subsequent to the base period.
Federal law (5 u.s.c. 8504) requires the assignment of all
Federal civilian wages, preceding the effective date of a first
claim, that establishes a benefit year.

a.
Authorisation for Release of Inforaatiop. The Privacy
Act of 1974 allows a Federal agency to provide wage and
separation information to a SESA from general personnel records,
including Official Personnel Folders, in connection with the
determination of a former Federal employee's
entitlement/eligibility for UC. Such disclosure is considered
compatible with the purposes of the system of records and is
included within the routine uses permitted for those records.
However, separation information pertaining to probationary
employees and other -ployees without appeal rights in cases of
removal ■ay pot be maintained in the Official Personnel Folders.
Therefore, the release of such separation information may require
a signed consent of disclosure unless the individual Federal
agency has included the SESA as a user, and the UC program as a
purpose of use, in its annual notice published in the Federal
Register concerning the system of records used to maintain such
information. Although the Form ES-931 provides for obtaining a
signed consent from the claimant, when necessary, the lack of a
signed authorization does not preclude the Federal agency from
responding to the State's request for information, except as
stated above.

IV-5

APRIL 1994

.• -

QCFI JNITBPCTJOQ 198 l'l'A'l'I IQINCJII
b.

rora 1s-,,1
(STAff MlDC\' NAME)

toCAL OFl'ICZ:

•I

DATE NEW a.AIM PIUD:



4. PC&110N mu.

2. SOCIAL SICUIUn' >MODl

S. llll1H DATE (liOCIDDJYY)

S. PLAa Of DIPIDYMENT(aTY, STATE Oil
CXIUHTllY)

6. SEPAllA110N DAff (MMIDD,'YY)

I.C.AIMAHTWAS:
__UGUL\ll ,uu,ma; DIPlDYIE

'1. IS PEDEIIAL MlDIC'f ADCRE5S MSl!D
ON SF.-? __YES _NO

__INTIJUCffENT 011 PART-TIME
IXPIDYEE

m:n:111 R. flDDAL N21C'f llllPLY
INSftUCtlJNS: CXlMPLEI'l a::ncN a AND unlaH WffllDf 4 wtaKDAJS
I. PICERAL JIINDINCS 10 ll£mlMINI JIIZll!llAL aYJUAII Slll\l1CZ
A. DU> nas PERSON P£RJICRM "IUJEIW. CV1llAN SERVICE" AS D£FDIII) P0R
PUJUI05ES JIOll 'WOUlt AGENCY AT /\HY TIME DUJUHG
1HE aASE PEIU0D 5HCJWM IN MDI 2. A. IIEIDW'I __YES __No IF "NO" ANSWER QUESTIONS a 1HRU P.
L UNDER WHAT U!IGAL Al1lHOIUTY WAS INDMDUAL HIRED?__
_
C. WHAT FUNDING SOURa: WAS USED P0R SALARY PAnmn'S?
0D. WERE PAYROLL DEDUCT10NS MADE P0R FEDERAL AND STAn: TAXES?__YES __NO
•L WAS DIPt.OYEE EIJGDIU POii :
(1). AHNUAL AND SIOC LEAVE? __YES __NO
(2). HVJ.lll AND LIFE INSURANCE'I__YES __NO
(3).
SERVJCE Oil PERS IIETDIEMEtm __YES
_NO
_
•F. DID 1HE FEDERAL AGENCY PROYID£ IXRECl10N AND CXlN11tOL?
__YES __NO
G. DUTY STATION: DffER STAn: Of 1Hl5 PERSONS !MT EMPIDYMEHT WI1H 'WOUlt AGEHCY (OR IF OUTSIDE U.S. ENTEll CDUHTIIY)·

ucn

avn.

"JIO'IE: IF "NO" TO D, E(l) 11iRU E(J) Oil F EXPLAIN ON SEPARA'I!: ATTAODIENTI
A. REPORT OF WAGES
QUARTER DfDDIG
YEAR
19
19
19
19
19
19

2. l'l!DERAL WACES /5ICDCN L CDlRlCl1CJNS
L REPORT OF DUTY HOURS
NUMBER OF DUTY HOURS: __ WORXD.\Y __ l!IASIC WOJIJCWEEI(
C. IDENTil'ICA110N OF DICDRRECT DATA SHOWN IN SEC110N I. ENTER
COIUIECTIONS IELCJW:

CROSS WAGES

s
s
s
s
s

•

S. 1DMIMAL AMlfllAL I.F.A\'f. SEPABAnC■I AND SEY!JIAN(% PAY IKl'alMA.l1a(
A. DD> 1ll1S PERSON RECEIVE A WNP-SUM PAYMDlT(S) P0R TEIIMINAL ANNUAL LEAVE ON OR APTER 1HE BF.CINNING DATE Of 1llE
BASE PERIOD SHOWN IN 2. A. ABCNF:I __YES __NO IF "YES", OR IF CURRENTLY EN1l1Ull TO SUOI A PAYMENT, RFD:lllD DATI:S
IIEIDW JIOR EACH PAYMENT OF EH'ITIUMENT SINa: SUQi DATL
PAYMENT DATE: _1_1_ DAYS OF LEAVE:
DATE: _I__I_ · 10: llME:
PDUOD FROM: TIM£:
DA'I!::__1__1__
C. !MT
OF ACTIVE PAY STATUS___/__J __.
L DATE OF SEPAAATlON
I__I__
D REASON FOR SEPAAAT10N OR NONPAY STAnIS:

DAY

L DD> 1ll1S PERSON RECEIVE OR JS HE/SHE ENTl1UD 10 RECEVE SEVERANCE PAY PRCMDED BY FEDERAL V.W Oil AG� EMPLOYEE
AGREEMENT1 __YES __NO IF "YES", CDMPIEl'E 1HE FOLLOWING INFORMATION: 10TAL D'iITJUMDn': S
ENDIHG DATE: __J__J
BEGINNING DA'I!::
WEEICLY ENlT1l.EMIHT S
M/MBER OF WEEl<.5:
I
I

A. SIGNAruRE Of OFFICIAL:
PRINT NAME:
1111.E:
lUD'HONE: (

)

DATE:

■

SICTJCII L
8. NAME OF PARENT FEDERAL AGENCY, S-DIGrT FEDER.AL AGENCY CDDE, AND
ADDRESS (IF DIFFERENT FROM ADDRESS SHOWN BELOW).

.

(STATE AGENCY 10 CXlWPl.l:l1!.)
FEDERAL AGENCY, 3 DIGIT FEDERAL AGENCY CDDE AND ADDRESS.

IV-6

APRIL 1994

PCP! INSTRQCTIQNS PQR STATB AGENCIIS
c.

B•v•r•• of rorm 1s-131
IMPORTANT NOTICE
If a completed Form ES-931 is not received in this office by the 12th calend&r clay from the date the
· first request wu made, this agency may pay benefits to the claimant buecl on his/ber affidavit u
provided by Department of Labor's R.qulation at 20 C'Jl 609.6(e)(2). Any benefit payments made to
the claimant will be charged to the Federal employing qeney(ies) in accordance with Section 1023,
P.L. 96-499, Oauu"bus Reconciliation kt of 1980 (94 Stat. 2599).
COMPLETION INSTRUCTIONS TO FEDERAL AGENCY
(ALSO: SEE FRONT OF
PORM)

nus

As an alternative to completing this form, attaching computer printouts containing complete data are
acceptable if procedure and forms wen cleared with U.S. Department of Labor (attn: TEUMJ)
Washington D.C. 20210.
State agency bu completed Section l, Identification Data, and Section II. item 2.A. Report of Wages,
Quarter Ending and Year for base-period calendar quarten. Section
item l.A. asks if the
individual performed "Federal Civilian Semce". If the Federal agency response is "N0° , Questions
l.B. thru l.P. are to be completed. Item 1.G. will be answered when the individual bu penormed
"Federal Civilian Service•.
The information is !lvailable on the SF-SO or Payroll records. Provide a separate attachment if
necessary.

n.

Items 2.A.. 2.B., and 2.C.. For item 2.A., enter, either gross wages, when paid, in Federal Civilian
Service or •none• if no wages for that period. Do not include as wages: (l) severance pay; (2) lump
sum payment(s) for terminal annual )eave, or (3) any other type of separation payment. For item 2.
B, enter houn, such as 8 and 40 for full-time employee. For item 2.C, enter only Section I
corrections, such as social security number shown on Federal agency's records.
Item 3. A.. Enter data requested, genually self-aplanatory.
Items 3.B. and 3.C.. Enter dates requested. The date in item 3. C., includes annual and siclt leave
days if earlier than the date of separation (3.B.) or if employee is not separated.
Item 3.D.. Obtain agency findings from SF-50: Item S-B "Nature of Action' and item 45, "Remarks•,
or, if SF-50 not used, record equivalent information from other separation document(s) your agency
used. See Federal Personnel Manual (FPM) Supplement 2�33 for standards on work connected
"Resignation' cases, carefully review FPM requirements applicable since January l, 1982. If payroll
office �ords � incomplete or inadequate, or if information on SF-SO is not sufficient, check with
personnel for additional information and add as part of separation information, ATIAQi COPIES OF
DOCUMENTS, IF APPROPRIATE.
NOTE: In addition to the separation information reported in item 3.D., a representative of your
agency may visit the local office to present information. If your agency desires to provide
information in person, please indicate in item 3.0.
Item 3.E. Self-explanatory.
Section m. /\ Form is not complete unless it (or anached computer printout) is signed and dated;
also enter signer's title and telephone number.
Section

m. B.

Self-explanatory.
RE11JRN COMPLETED FORM TO STATE AGENCY!
(State Agency Address)

IV-7

APRIL 1994

.... ·-· .

;'

1

.
...

-� .

... . ....

--

-- --

···- .

VCll IQDQQTIQIII PQB ITUI ltillCIII
d.

cou11tion of th• rona 11-1a1.
(1) Sources of data. Information included in section

I of Form ES-931 by the SESA is obtained from:
(a)

Information on Forms SF-8 and SF-50:

(b)

SSN card: and

(c)

Questioning the claimant.

(2) SESA adaptation. Each SESA is required to
reproduce entries contained on Form ES-931, except that item 3e
of Section II (regarding severance pay) is optional. In States
in which "weeks of employment" or "hours worked" information is
required, the SESA may modify item 2.a. of Section II. as
necessary: a SESA may also insert the Federal agency's address on
the face of the form in lieu of using the reverse for this
purpose.
Any other proposed modification of Form ES-931 by a SESA should
be submitted to the USDOL National Office through the appropriate
Employment and Training Administration Regional Office for review
and approval prior to it's use. (This procedure applies also to
Forms ES-931A, ES-933, ES-934, ES-936, and ES-939.)
(3) Number of copies and distribution. sufficient
copies of Form ES-931 are to be prepared for SESA use plus an
additional copy for retention by the Federal agency. The
original and at least one copy will be submitted by the local
office to the appropriate Federal agency payroll office except as
otherwise directed by the Employment and Training Administration
in specific cases. The Federal agency will return the form to
the address printed or typed in the return-address space.
Indicia return envelopes should not be included in mailings to
Federal agencies. When the original Form ES-931 request is sent
to the Federal agency, a copy of Form ES-931 should be maintained
in the SESA's central office records.

(4) Preparation of Form ES-931. The Form ES-931 is
initiated by the SESA and forwarded to the Federal agency the
same day the claim is filed. In order to expedite the claims
process, the Form ES-931 does not need to be typed, as long as it
is legible.
(5)

Heading.

Completion by local office (SESA).

(a) Local Office. Enter the identification and
location of the office preparing the form. In addition, a
IV-8

APRIL 1994

QCl'I IU'l'RQQ'l'IQIS roB S'l'A'l'B AGDJCJBB
telephone number (including area code) of a �ontact person and/or
office must be provided in the "local office• box.

(b) Date new claim filed. -Enter the actual date
the new UCFE claim is taken. The •actual date" may not
necessarily be the effective date of the claim.
(c) Date of reguest. Enter the date Form ES-931
is prepared and sent to the Federal agency.
(d) Date to LCcc.
transmitted to the LCCC.
(6)

section I,

Enter date information was

,

completion by local office.

(a) Item 1. Enter the claimant's full name plus
maiden name, if any, in parentheses--e.g. Elliot, Sara
(Johnson). Obtain data from item 1 of the SF-SO, other official
document, State new-claim form, or by questioning claimant.

(b) Item 2. Enter all of the SSN(s) shown in
item 2 of the claimant's SF-SO or on any SSN card(s) presented
by the claimant, or obtained from any other official document,
such as a W-2 Form, identifying each number, in parentheses, as
to source: e.g., SF-SO. Include the dashes between digits (e.g.,
123-45-6789).

(c) Item 3. Enter the date of birth (e.g.,
3-1-80) shown on item 3 of claimant's SF-SO, other official
document, State new-claim form; or obtain by questioning
claimant. Completion of this item is necessary to assist the
Federal agencies identification of a former employee's records.

(d) Item 4. If the claimant has an official
document which shows his/her position (job) title, this
information can be used to complete item 4. This information may
be obtained from item 7 or item 15 of the SF-SO. Otherwise,
question the claimant as to his/her position (job) titl�.

(e) Item 5. Enter the city and state (or city
and country, if outside u.s.--e.g., Ottawa, Canada) of the
claimant's most recent Federal civilian employment with the
agency to which Form ES-931 is addressed. Obtain data from:
claimant's SF-8; item 39 of claimant's SF-SO, other official
documents presented; or by questioning claimant.

(f) Item 6. Enter the date of separation or the
date of the last day of active pay status. The latter date is to
be entered if it is earlier than the date of separation or if the
IV-9

APRIL 1994

QCll IIITBQQTIQIIS

'9B IDTB·AGBIIQIBS

employee has not been separated. Completion of item 6 will
assist Federal agencies in the identification of a former
employee's records. Obtain above information ·from item 4
(Effective Date) of SF-SO, from other official documents
presented, or by questioning claimant.
(g )
(h)

Items 7a and 7b.

Make appropriate entry.

Items Ba and Sb. Mark appropriate boxes.

(i) Claimant's signature. A signed Privacy Act
release statement is no longer required from a claimant. However,
if a State law requires all claimants to sign a Privacy Act
release statement, then the UCFE claimant would also be required
to sign a Privacy Act release statement.
(7)

section II,
(a)

Item 1.

Federal Agency Reply.
Self-explanatory.

(b) Item 2,A, Under "Report of Wages," enter the
specific periods for which wage information is being requested.
All requests should cover a minimum of 6 quarters. The request
should include the entire period up to the date of the claimant's
separation, not just the period the claimant worked for the
Federal agency.
States with laws determining unemployment benefits on the basis
of weeks of employment instead of wages in calendar quarters, or
requiring other wage or employment information for a
determination, must adapt item 2a of Form ES-931 to suit their
needs.
(c) Other Items Under Section II. Self-explanatory.
(8) Review of Form ES-931 by the SESA. Prior to
mailing to the Federal agency personnel/payroll office, each Form
ES-931 will be reviewed for completion and accuracy, and to
verify the correctness of the State of assignment and to ensure
that a copy of the Affidavit, Form ES-935, is attached ·to the
Form ES-931. This supervisory review will include comparing Form
ES-931 entries with information contained on the corresponding
SESA new-claim form. A copy of the Form ES-931 will be sent to
the SESA's central office with other UCFE claim documents. The
same process should be followed for Federal agencies who use a
contractor to process UCFE claims before sending the forms to the
contractor.
The SESA's central office is to retain one copy of each
IV-10

APRIL 1994

. . . .. . ·--···--

. . .. , ..-

..

-----�-----· . . --- �· .

':
i
.'

QQPI lll'IRQC'l'JQII lQR ID'l'I MIIJCIII
Form ES-931 mailed in a tickler file for necessary follow-up
action. Upon receipt of the properly completed Form ES-931, the
tickler file copy may be destroyed.
(9) Action by Federal Agency Upon Receipt of Form
ES-931. Upon receipt of Form ES-931, the f'ederal agency will
complete the following items of Section II, "Federal Agency
Reply."
(a) Section II Item 1.A. The Federal agency will
indicate, by marking the "Yes" or "No" box, whether or not the
claimant performed Federal civilian service during the 6 quarters
(or other period) specified in item 2.A. If the Federal agency
marks the "No" box, it should complete Questions B. through
(D).,E.(1) thru (3). and F. If additional space is needed, a
separate attachment should be used to explain why the claimant's
service was no� consi�ered to be Federal civilian service.

The u.s. Secretary of Labor is responsible for interpretation of
the term "Federal civilian service." This responsibility is
delegated to the SESA by agreement.

(b) Item 1,s,. The Federal agency will enter the
individual's State or (if outside U.S.) country of last
employment with that agency. This information, as instructions
to the Federal agency for item lb direct, is obtained from item
39, "Duty Station," as shown on the individual's SF-50, or, if
SF-50 was not used by the Federal agency for this employee's
separation, the information is obtained from the duty station or
similar entry as shown on the Federal agency's equivalent
separation from employment document.
(c)

Item 2 - Wages

Item 2 • A. • "Report of Wages." The
Federal agency will enter the amount of Federal civilian wages
for each of the 6 quarters requested by the SESA. If there were
no such wages for any or all of the calendar quarters requested,
the word "None" will be inserted in the appropriate space(s).
"Federal wages" (civilian) are defined in the Federal UCFE law
(5 u.s.c . . 8501(2)), as all pay and allowances, in cash and
in kind, for Federal civilian service. The U.S. Secretary of
Labor is responsible for interpretation of this term. The
Secretary has determined that such pay and allowances include,
among other things, all payments for annual leave, lump-sum
payments for terminal leave, and cost-of-living allowances.

IV-11

APRIL 1994

·•·

--· ----- --- ·-·-

•·

·

- ---···-------·

--- . .. -

· - · ·-·-· . .

QCFI JIITBQQ'IIOltS FOB IDTI ,IGBIIQIBS
c10) sEsA processing upon· receipt of completed Form
As provided in the State Agreement with the u.s.
Secretary of Labor, the SESA •ust determine if the claimant
performed Federal civilian aervice. 'l'be Form ES-931 provides
findings of fact to be used by the SESA to make an appropriate
determination. When a Federal agency returns a Form ES-931 which
is incomplete or obviously in error as to the information-entered
on the form, including data which would affect the monetary
determination (e.g., Federal civilian wages reported), the SESA
should telephone the Federal agency official as noted on the Form
ES-931. The Federal agency should be requested to follow-up with
verification of the telephone information in writing and/or a
completed Form ES-934.
_

ES-931.

When it is determined that the claimant performed Federal
civilian service, the use of all wages (Federal Civilian Wages)
is appropriate within the base year. However, when it is
determined that the claimant's employment was D2t Federal
civilian service, it must be determined if his/her employment was
otherwise covered for UC purposes.
· The alternatives are:
(a) the employment was provided under contract
between a company and the Federal agency •. The employer for UC
purposes would be the company. Therefore wage·and separation
information should be obtained from the company.
(b) The individual was an independent contractor
hired by the Federal agency. Eligibility must be determined
under State law.
The SESA has the responsibility to determine benefit eligibility
whenever a claim is filed. Even when it is determined that the
claimant did not perform Federal civilian service, further
investigation must be conducted to determine if the claimant is
otherwise eligible for UC under State or Federal law.

4.
Action
,1crency.

n &BSA When rora 1s-131

I• Bot Returne4 by Je4eral

If Form ES-931, addressed to a payroll/personnel office iocated
within the United States:
a.
is not returned by the Federal agency within 10 days
after it was mailed: and
b.
the Federal agency bas failed to notify the SESA in
writing that return of the form will be delayed.
IV-12

APRIL 1994

JJCll JIJS'l'RQQ'l'IQIJS lQR ID'l'I AQBIJCIBS
(1) The SESA will send to the Federal agency a
duplicate Form ES-931 containing the notation "SECOND REQUEST"
(underscored in red), followed by the statement, in parentheses
"(Mailed (appropriate date)).• Second requests addressed to
payroll offices located outside the United States are to be
mailed when 21 days have elapsed.
(2) After 12 days have elapsed since the first Form
ES-931 was sent to the Federal agency, the claimant affidavit
should be used to make a determination, when appropriate, and pay
UCFE benefits providing credible evidence of Federal employment
is on file.
c.
At the time the SESA sends the initial Form ES-931 to
the Federal payroll office, as well as any "SECOND REQUEST" of
Form ES-931, the following statement should be attached:
Zf a completed l'ora BS-131 i• not received by the
state Bmployaent Security agency by the 12th 4ay froa
the date the first request was aade, the State agency
aay pay benefits to the claiaant baaed on his/her
affidavit as provided by secretary of Labor••
Regulation 20 CPR 601. Any benefit payments aade to
the claiaant will be charged to the Pederal -ploying
agency(ies) in accordance with Section 1023, P.L.
15-411, OlllDibus Reconciliation Act of 1180 (14 Stat.
2519).
11

d.
After the "SECOND REQUEST", Form ES-931 has been sent,
the SESA need not make any further effort to obtain wage and
separation information from the Federal agency.
e.
If SESA can obtain credible UCFE wage and separation
information from the claimant, it will use the Form ES-935, for
the purpose of paying UCFE benefits to eligible claimants and
will retain copies of all Forms ES-931 sent to a Federal agency,
as well as the Form ES-935, to support the payment of UCFE
benefits.
5.

LOuiaiana claims control center .

a.
Requests to the LCCC.
For initial UCFE claim taken,
the SESA will send one batch of inquiry data each day to LCCC via
the Internet telecommunications link or the SESA may mail inquiry
data to LCCC twice each week on magnetic tape.
Machine-readable claims control inquiry to LCCC may still be
used, but is not recommended. State agencies may only submit a
IV-13

APRIL 1994

.

,, .. -· ··•··-·-··· · ... .. .

I
)
;

QCPB IBS'l'RUQ'IIOIIS ,OR sm1·· MIIQIBS
second, machine-readable inquiry to LCCC for the following
situations: claimant with two or more social security numbers;
joint UCFE/QCX initial claim filing; or corrected inquiry to
replace an original inquiry logged at LCCC with incorrect data.
SESAs are encouraged to use the Internet method because of its
speed and economy.
The LCCC will prescribe the format and content of the machine
readable inquiry used by the SESA, as well as transmittal form,
to request UCFE data and will inform SESAs regarding request
procedures. If a SESA elects to transmit UCFE data via the
Internet system, the SESA will create records instead of machine
readable inquiries in the prescribed UCFE formats using the Job
Control Language (JCL) required for transmission.
b.

SBSA Procedures With the LCCC.

(1) When a claimant files a new claim which requires
the preparation and mailing of Form ES-931, the central office
of the paying State will be responsible for promptly preparing
and sending to the LCCC an inquiry which identifies: the
claimant's name; SSN; the date of new claim filing; the local
office number as shown on the ES-931; a SESA transmittal number;
a second SSN if appropriate; and the name of the paying State.
All data will be encoded according to the format which the LCCC
has prescribed separately. The SESA will not delay transmission
of the inquiry to the LCCC pending a return of the ES-931 to the
SESA by the respective Federal agency.
(2)
inquiries will
central office
communications

SESA communications with LCCC concerning UCFE
be initiated solely by members of the State
staff. Local office employees will not generate
with LCCC.

(3) The SESA will not delay payment of UCFE benefits
pending receipt of a reply from LCCC •
. (4) SESAs may request the removal of inquiry data from
the LCCC by the submission of a properly formatted, machine­
readable inquiry which includes the key phrase of "CANCEL." The
SESA may submit corrected inquiries to LCCC for the removal of
erroneous or outdated inquiry data.
(5) When the SESA is informed that prior inquiries
were made by the same or another SESA on a UCFE claimant, it will
immediately ascertain if the claimant's wages were already
assigned for UCFE entitlement. If so, the SESA should assure
that all or-part of the assigned wages are not used again or that
a duplicate benefit claim is not established and paid.
IV-14

APRIL 1994

QQll JIS'l'RQCTIOIJS POR IT.l'J'I UIIQXII
(6) In the case of a possible interstate duplication,
·the SESA will immediately contact any other SESA that was
reported to have made a "prior inquiry." The SESA should take
appropriate action to ensure which State is the correct State of
assignment. If two or more State agencies cannot resolve the
correct State of assignment, the UCFE case should be referred to
the USDOL National Office, via the appropriate Regional
Office,
·
·
for final resolution.

(7)
The SESA may transmit batches of UCFE claims
control inquiries to LCCC via either the Internet system or via
magnetic tape. Internet transmissions may be daily and do not
require any accompanying transmittal correspondence. Magnetic
tape transmissions may be made twice weekly and �equire
accompanying correspondence which shows: the name of the
requesting SESA, a batch number and date of submittal, the number
of inquiries in the batch, and the name and SSN of one UCFE
claimant whose machine-readable inquiry is in the batch to
provide additional identification of the material.

State agencies may contact LCCC regarding claims
control inquiries by calling 800-535-8100 or writing to:
U.S. Department of Labor
Louisiana Claims Control Center (LCCC)
P. o. Box 94246, Capitol Station
Baton Rouge, Louisiana 70804-9246

( 8)

LCCC.
c.

SESA will keep a log on all transactions made to

LCcc Proce4ures.

(1)
Data inquiry (including the State agencies batch
number) received by the LCCC will be entered into its computer
system for access by the claimant's Social security Account
number. canceled notices will be purged from the system.

(2)
The LCCC will use the Internet system to'make its
first response to State agencies who make inquiry via Internet.
The LCCC will respond to machine-readable inquiries by listing
all State agencies with previously recorded claims c9ntrol
inquiries at the LCCC for a given SSN. All other responses will
be sent via first class mail.

(3)
In those instances in which the LCCC has received
a machine-readable inquiry for a claimant for whom it had
previously received a machine-readable inquiry from the same or

IV-15

APRIL 1994

•

JJCl'I ID'IBPQTIQIII 191 l'l'UI UllfQIBs
another SESA, it will notify the SESA with respect to each
instance in which it received a machine-readable inquiry
pertaining to the claimant in the past 24 months.
(a) The LCCC notice of duplication to the SESA
will report the following with respect to each duplicate
previously received: the name of the claimant; SSN; name of
prior State of inquiry; respective local office; and date of
claim.
(4) LCCC will purge the computer system of a UCFE
inquiry whenever the date on which the new claim was filed
becomes 24 months old.
6.
Introduction to Pora 1s-935 Qlaiaant•a Affidavit of federal
civilian service, wages and Reason for separation.

The Form ES-935 should be taken as part of the initial claims
process based on materials submitted by the claimant, when the
claimant presents credible evidence of Federal employment such as
an SF-SO, earnings and ·1eave statements, or W-2. One copy of the
Form ES-935 should be attached to the Form ES-931 to be forwarded
to the Federal agency. One copy should be retained by the SESA
and placed in the claimant's folder as documentation to support a
monetary and nonmonetary determination if the completed Forms
ES-931, ES-931A or ES-934 has not been received from the Federal
•�ency by the 12th day after the form/s were sent to the Federal
age��y. When a Form ES-931, Form ES-931A or Form ES-934 is
received after a determination has been made based on information.
contained in Form ES-935, a redetermination should be made, if
appropriate, in accordance with State law. Information supplied
by a Federal employer after a determination has been made should
be given the same consideration and should have the same effect
as material information supplied by a State-UC covered employer
under similar circumstances.
The Form ES-935 should identify the documentary evidence
submitted by the claimant to show he or she performed civilian
service for the Federal Government. If at the time the UCFE
claimant completes a Form ES-935, he or she does not have
documentary evidence to indicate performance of Federal service,
the claims interviewer should advise the claimant to bring such
documents to the local office at the earliest opportunity.

IV-16

APRIL 1994

PQPI IMSTRQC'J'IQNS PQR ITATI AOIMQIII

rorm 1s-t3s.

a.

lSTATl /tGo«:Y NAME)
l:HIIS aADWn'S lllffl>Avrr a, l'IDEIIAL a¥IIWC sava,
WAGIS NCD DA.1CN K:a SIPA&Al1011 • IUS

stAfflGDIC'I:

IDCAI.CWD:

a:JlffACr:

CAIMAHnNAME:

l'IDDAL ICD«:r • I m:rT PllDAI.
IGDICfCDII

'l'YPIO,CJAIII:
_NEW _ADDfflONAI.

------

�

90aAI.SICIIU1TNVIIOaa:

Dot.Tl QAIM ,nm�
aawnmff All0allSS

D11I Dot.ff; (liO,Vt)OIYY)

llfflCl1VE Dot.ff a, a.MM: CMM/DQIYY)

__J__J__

...,

DoU'ES a, DG'IDYMPJIT; CMM/DQIYY)

m
WlY S'L\JXJN:

can. STAn OR CXlUlffllY)
2. 11:Df;RAl WACES /DCICIJMDffAKY lMDENC2

a.

•••
••
•

A. IIEl'CaT a, WAG!S
QUARTER ENDING
GROSS WAGES
YEAR

19
19
19
19
19

...

DOaJKEHTAllY !WED

TOTAL GROSS WAGES

SEVEMHCt PAY: om VOCJ P.ECDVl OF. ARI \'OIJ DmlUD 1t) REaJVI SEVERANCE PAY PRO\IIDED BY M"Y FEDDlAL I.AW OR AGENCY·
DlPLOYER J,,GJUD,(D(T1 _YES _NO IF YES CDMPIEn lHE l'OU.0WING IN'l'OI\MATION.
WEEll.l' AMOUKrs___
SEVDVJQ PAY PDllJO:
FI\OM:
I
10
I

NO. 01 WEDS:

/_I

--

TOTAL Offl1UKElff S___

Do\TE(S) 0, 1AYWDff:

omnm

PDtSIOH AA! YOlJ
TO RECEJVt A PCNSION FllOM ANY 8IV.NOI or nit f'EI)E:P.Al. GOYIJU,'MDl17
Dll'lJt GROSS MONna.Y Po.'SIOH S

- --

NO

IF YES,

REASCfi JIOR SEPAIIAT10N:
I, d,r daimaAI, �: lhat po,l<ies art ptel'Yidaf b)' law for 1111 indiYid..a/ mabna robe UlaDalll 11> obwn benefia., IN! 1111:, detamiNtian
based 011 11m aff'>daw • oor final; 1h11 ii ia 1Ub,e,o 10 ccrn,ctiac upon l1!Cl:ip( Q/ � md �r:iae inf"""'"tioo frta Ille Fedenl a,a,cy far
wbicb I warud, Iha! l>one:fil poyma,ll mad< • a rauh ol a,d, deunn.inalior> may ba� to bt adjusted 011 II>< b&m d infor:atian furnished by !ht
Fedenl a,ency. md It.a! &11:, &IDOWII CMSpaid may ba� IO be repaid or olf>el apins( fu� bene&r..
L � Oa=an1, --..r, ot al!irm, that Ille abM DlaDffla., to lbt '- d my knowled,r and bdid, we ttue md carrea.

SlGNAlVRI OF Q>JMAHT

DA'ff

SlGNA'TVRE OF LOCAL 0fTIC2'. llD'1\ESDITATIVE

IV-17

DA'ff

APRIL 1994

QCl'I J:IIS'IIQCTJ:OBS ·-roR -·,,au. AGBBCJ:BS
;

b.
111a■b•r of Copi•• MO Di■tributiop. Prepare sufficient
copies of Form ES-935: one copy for the monetary determination
file, one copy for the nonaonetary determination file, one copy
for the claimant, and one copy to be attached to the Form ES-931
for forwarding to the Federal agency.

c.
co■pl•tiop. Items on Form ES-935 are self-explanatory.
Block 9.c., Documentary Evidence, must be completed in all
cases. Block 12, Reason for Separation, should, if possible,
be completed on the face of the form. If additional space is
needed, the reverse side of the form may be used.

d.
r101ra1 civilian nploy•••• 1111ry rates. For
completion of Block 9b, "Gross Wages," refer to the most recent
UIPL showing a list of Federal Annual Salary Rates, as an aid in
determining the claimant's wages.

:rptroductiop to Tb• rora 1s-1,,, Request for A44itiopal
7.
Information Regarding reoeral Pip4inga-ucr1.

The SESA will use the same methods provided by state law,
procedures, etc., to obtain or verify wage and separation data,
resolve differences in data, and to make determinations. If,
however, missing or clarified data is needed, Form ES-934 should
be used to obtain information from a Federal agency.
The claimant, either before a determination is made or within the
State appeal period, may indicate that the findings of the
Federal agency contain errors or omissions, or that the claimant
wishes further information or reconsideration of the original
findings. In such a case, Form ES-934 should be sent to the
Federal payroll office by the SESA.
Form ES-934 may be sent to the Federal agency before a
nonaonetary determination is issued, or it may be sent as a
result of a claimant's request for information or reconsid­
eration after the determination is issued. If a determination
has been issued, the appeal period under State law determines the
time limits within which a Form ES-934 may be filed by a
claimant. In some State�, the initiating of a request for
information or reconsideration of Federal findings, will protect
the claimant's appeal rights. If State law requires the filing
of an appeal or any other action in addition to initiating such
request in order to protect the claimant's appeal rights, he or
she should be advised to take such action. A signed Privacy Act
release statement is no longer required from a claimant.
However, if a State law requires all claimants to sign a Privacy
Act release statement, then a UCFE claimant would also be
IV-18

APRIL 1994

. ··-· ---· - . - ··- --···------· --

'' • ·

QQll IU'IIQC'l'IOIIS JOB ID'II MIIQIII
required to sign a Privacy Act release statement.

IV-19

APRIL 1994

OCFE INSTROCTIQN. PQR ITATI AGENCIES
a.

Form ES-934.

SIICDlN L � n.t.TA
1. NAME (1.fSI', FIRST, MIDDLE, IWDENCIF AN'/'J
4. POSn10N 1TllZ:

2. SOClAL Sf.OJJlr1Y NUMBER
5. PLACE OF EMPlDYMENT
(aTY, STA'n, OR CDUH111Y)

7. FEDERAL AGENCY, 3 DIGIT FEDERAL AGENCY CX>DE AND ADDRF.$

3. DA'TE OF BIRTH CMM/DDIYY)
6. DATE OF SEPARATION CMM/DDIYY)

8. REQUEST DATE: ES-931 ___ES-931A....___

9. a.AIMAN1"S EMPIDYMENT JS: __RF.Gl/1.All PIJU,.TIME __DlnJlMJTTENT OR PART-TIME

SIICJ10N n. JU!QUEST FOil �110N
l. REQUEST: (B£ SPECJ'IC: IF ADDmONAL SPACE JS NEEDED, PROVIDE A SEPARATE ATTACHMENT).

2. UST nlE SIJPPOR'JlNG DOCUMDn'S Sl/BMITI'ED BY CLAIMA>rT (DUPUCATE CDPY(IES) MAY BE ATTAO{E[)).

3. SIGNATURE (STATE AGENCY REPRESENTA11VE)

4. DAT'E(MMIDD/YY)

SIICJ10N m. l'l!DERAL .N::DlCi REPLY
INS'I111.JCJ1ONS: RESPOND FUU.Y TO nn: INFORMATION REOUESl'm 1H SEC'J10N ll, nnl l, "REQUES'J"' AJ?J:NE WJ1HlN 4 WOIUB IDTI AQIIQIBS
.

.

CQPTIB Y - QCII IIOIITIIJ PIDIIJRTJQI IX Ill&

In making a determination with respect to eligibility for UCFE
benefits, the SESA should apply the eligibility and
disqualification provisions under State law to the findings
provided by the Federal agency. When the Form ES-931 is not
returned by Federal agency in 12 days, benefit eligibility will
be determined based on information provided by the claimant on
Form ES-935. Information received from the Federal agency after
a determination has been made will be given the same
consideration as information supplied by a State-UC covered
employer under similar circumstances.
1.

Botice of Monetary Deteraipatiop of

ucr1

claiaa.

Each notice of monetary determination on a UCFE claim must show
the wages reported by Federal agencies and must identify the
agencies and the periods for which the wages are reported. UCFE
claimants may request reconsideration or additional information
from the Federal employing agency.
Notice of appeal rights of the claimant and any other interested
parties must be clearly stated on the determination. Any
determination by a SESA with respect to periods of service, wages
and reasons for separation shall be subject to review and appeal
according to State law.
a.
UCFE-UCX Joint Monetary Determination. The joint
determination must be identified as UCFE-UCX. Although Federal
civilian and military service and wages are combined in a single
determination, the State determination form must show separately
Federal civilian employment and Federal military service. Thus,
if a claimant worked for the Federal Government as a civilian and
was also in active military service during the State's base
period that applies to the claim, his/her Federal employment and
wages should be shown as U.S. civilian and U.S. military, or
other appropriate designation which identifies separately the two
kinds of service.
All base year Federal civilian wages must be used in the
monetary determination, even if the inclusion reduces the
duration or the weekly amount of benefits to which the claimant
is entitled.
b.

Com])ine4 wage Claims.

(1)
Use of Federal civilian service and Wages.
Federal civilian service and wages may be used in a combined-wage
claim in the same manner and under the same conditions as
V-1

APRIL 1994

QQPB IIITRQQTIQlfl PQB S'l'ATB MJIIQIIS
State-covered employment and wages. The State to which Federal
service and wages are assignable may use or transfer all or part
of such service and wages in the same manner as it uses, or
transfers, State covered employment and wages. (Consult ET
Handbook No. 399).
Once a claimant elects to file a claim under the combined wage
arrangement, all employment and wages in the base period of the
claim must be used to establish the combined claim. The paying
State must request and use all Federal civilian service and wages
in its base period. The transferring State must transfer all
available service and wages even if such service and wages are
not in its base period. (See ET Handbook No. 399, Appendix A, 20
CFR 609.8.)
(2) Requesting transfer of UCPB wages. The paying
State should prepare and transmit a Request for Transfer of
Weeks/Wages, TC-IB4 to the transferring State and an inquiry to
the LCCC.
If the paying State does not receive a prompt and complete
transfer of all Federal wages and services from the transferring
State, after all efforts have been exhausted, the paying State
should request assistance from its appropriate regional office to
expedite the transfer. (See ET Handbook No. 399, Chapter V, for
additional procedures.)
(3) Responding to a UCPB wage Transfer Request. The
transferring State should be guide� by the following procedures
in transferring UCFE wages:
(a) Upon receipt of a TC-IB4, the transferring
State should promptly prepare a Form ES-931 to request all
employment and wages in the base period of the paying State and
lag quarter or lag period wage·s to the date of separation.
(b) All available service and wages in the base
period of the paying State shall be transferred without
restriction as to their use in the determination of entitlement
and payment of benefits under the provisions of the paying
State's law.
(c) The "transferring State" must also include
its request of Federal service and wages that fall within it's
base period and up to date of separation in order to determine if
the claimant would be monetarily eligible for benefits under the
transferring State's law and to assign and record to its wage
file all assignable wages.
V-2

APRIL 1994

'

! �

QQll IIITRQQTIOJIS IQB ITUI AGBIQIBS
..

. .

.

(d) The transferring State should forward to the
paying State copies· of all UCFE forms completed by a Federal
agency(ies), so that all appropriate information can be used by
the paying State.
2.

a11iama1nt of Tru•f•rn4

'IM••·

If Federal civilian service and wages are assignable to a
transferring State, the assignment of such service and wages are
transferred to the paying State if a first claim results from
filing a combined-wage claim.
That portion of the service and wages that is not used to
establish the combined wage claim is assignable when the combined
wage claim results in a benefit year to the transferring State.
Therefore, the transferring State must record to its wage file,
or cause to be recorded at the appropriate time, all assignable
lag period wages upon receipt of a TC-IBS (Form IB-5) showing
that a benefit year has been established.
If the combined wage claim filed in the other State does not
result in a benefit year, the potentially liable State which
originally notified the LCCC should prepare and transmit a UCFE
inquiry request to LCCC marked "CANCEL" in item 10 or the
appropriate field of the computer record format.

a.
QCPB waqaa pot Tranaferple. Federal civilian wages
that have been used as the basis of a determination of
entitlement or have been determined to be unavailable for use as
the result of a determination issued prior to the receipt of the
request for transfer may not be transferred for use on a
combined-wage claim.
b.
Determination of re4eral &bare of Benefits OD UCPB
Combipe4-Waqe Claims. The paying state will issue a Report of

Determination of a Combined Wage Claim, TC-IBS (Form IB-5) to the
transferring State of UCFE wages in the same manner as for State
covered wages. When a combined wage claim is not established,
the TC-IBS (form IB-5) will be transmitted to the transferring
State returning the transferred wages.

V-3

APRIL 1994

-

-

-

-

-

-

-

-

.

.

-·

-

-

-

-

-

-

-

-

..

· ··-·· .

-- -- -

____

_..___ ..,

JlCll IIITBJl�IQII GB l'l'A'l'I lillQIIS
c.
charging of JJCl'I Benefit• Paid on a co111>ine4 wage
Claim. The quarterly statement of charges to a transferring
state, i.e., the Statement of Benefits Paid to Combined Wage
Claimants,•Form IB-6, is not prepared and used to charge UCFE
benefits. The transferring State is not notified of UCFE
charges. UCFE benefits attributable to transferred wages are to
be charged to the Federal Government by the paying State in the
same manner as charges for a regular intrastate or interstate
UCFE benefits paid. The Federal agency's pro rated share of
benefits is calculated in accordance with procedures outlined in
this Chapter.
3.
1111 Allocation of a LUIID-■mp Payaent for Terainal Annual
Leave and·1u1rance Pay,

The SESA will determine, under State law, the period to which a
lump-sum payment for terminal annual leave"is allocable for
monetary determination purposes and the effect of the payment.

If an employer has an option under state law as to the period the
payment will be allocated, the Jlpited states, ae an employer,
considers that it is allocated to the date of eeparation from
lederal civilian pplonent, as shown on 1orm IS-931.
The explanatory note to item 2.A. of Form ES-931 instructs the
Federal agency not to include as Federal civilian wages, in this
item of the form, any Federal civilian severance pay reported in
item 3.E. or any lump-sum payment for terminal annual leave
reported in item 3.A. of the form. Thus, such a lump-sum payment
or severance pay will not be included as base period and/or lag
wages in item 2.A. of Form ES-931, even though, under some State
laws, all or part of the lump-sum terminal leave payment will be
allocated to the base and/or lag period.

lfderal civilian severance pay and luap-sua payment for terminal
annual leave or severance pay are considered wages. However,
these wages 11Ust not be included as base period wages in
determining ■onetan eligibility, If th••• payaenta are
deductable fro■ the weekly benefit uount, they should be used in

accordance to state Lay to aake ■uch deductions.

Item 3.A. of Form ES-931 contains the question: "Did this person
receive a lump-sum payment(s) for terminal annual leave on or
after the beginning date of the base period shown in' items
above?" If the Federal agency answers this question "Yes," by
marking the appropriate box, or if the former employee is cur­
rently entitled to such payment but has not yet received it, the
Federal agency will then report in item 3a of the form, for each
such payment or entitlement, the beginning and ending dates of
the period over which the leave would have extended had the
V-4

APRIL 1994

...... _.,_,

-•---

QCII JIITBQQ'l'IQBS lQB IDTI MIIQIBS
worker remained in Federal civilian employment, the amount paid
or payable, the date paid (if applicable), the hourly rate of
pay, and the hours of duty per workday and per basic workweek.
On the basis of this information (modified or clarified by
information received from the Federal agency on Form ES-934), the
SESA requesting the employment and wage information will
determine the period to which the lump-sum payment is allocable
under the state law. If any or all of the lump-sum payment is
allocated by the SESA to the claimant's base period, the payment
so allocated will not be available for a later claim.
Since some State laws require severance pay information, item
3.E. may be included on Form ES-931 which contains the question:
Did this person receive or is he/she entitled to receive
severance pay provided by any Federal law or agency-employee
agreement? If the Federal agency answers "Yes," the Federal
agency will then report in item 3.E, the weekly amount, total
entitlement, number of weeks, and the beginning and ending dates
over which the payments would have extended had the worker
remained in Federal civilian employment.
Some UCFE claimants, such as WAE's (individuals who are paid
"when actually employed"), will be in non-pay status (i.e., not
permanently separated from employment with the Federal agencies
concerned) when they file their new UCFE claims. Such claimants
may be entitled to receive lump-sum payments for terminal annual
leave if they should be separated from Federal civilian employ­
ment at a later date. Federal agencies are required to notify
State agencies when employees who were in non-pay status and for
whom Forms ES-931 have been completed, subsequently receive such
lump-sum payments. However, to assure compliance with this
requirement and correct treatment of lump-sum terminal-leave
payments, State agencies will request Federal agencies to so
notify them and will also annotate non-pay status UCFE claimant's
records as to their potential entitlement to these terminal leave
payments. Qlaiaanta ahould be questioned as to ■ubsequent
receipt of luap- ■um pauenta upon their future reporting to the

local office, especially duripq
4.

Bffect of Backpay Ayar4 op

ucr1

periodic interviews.

ucr1 Monetary Determination.

A backpay award is a payment of wages covering a period of
suspension or other non-pay status to which an employee
subsequently is determined to be entitled. In all cases in which
backpay is awarded after the Federal agency has completed and
transmitted a Form ES-931 to a State, the Federal agency will
inform the SESA by letter of the amount of the award, the date on
which it was paid, and the period covered by the award.
V-5

APRIL 1994

QCPB IIITBQCTIQII PQB STATB AGBKCIBS
The SESA will send the Federal agency a Form ES-931 requesting a
corrected report of Federal civilian wages to include the amount
of backpay wages determined to be in the claimant's base period.
If, under State law, a SESA would redetermine state benefit
rights after a claimant received a backpay award from a covered
employer, it should also redetermine a UCFE claimant's benefit
rights on the same basis.
BZCBPTIOII:
If as the result of a Back-pay award, an UCPB overpayaent is
created, and state law requires the -ployer to recover the
overpayaent, the SBSA will notify the Pederal agency, in writing,
to collect the amount overpaid from the -ployee.

s.

Pe4eral civilian severance Pay.

Severance pay is not to be considered Federal civilian wages, and
the period after separation from Federal civilian employment in
which severance payments are made will not be considered Federal
civilian service for UCFE purposes. Whether or not Federal
civilian severance pay is considered disqualifying or deductible
from weekly UCFE benefits will be determined in accordance with
the provisions of State law.
6.
QCPB/UCX/UC Joint Monetary Determinations and Pederal Share
of cost.

a.
Inclusion of Pe4eral civilian or Military service and
Wages, or Both in the State•• Base Period. If Federal wages
(UCFE and/or UCX) are included in the State's base period, the
charge to the Federal Government of the cost of unemployment
compensation paid to the claimant will be based on the ratio of
his/her total Federal wages to the total of all Federal and
State-UC wages in the State's base period. When a charge is made
to the Federal Government, all assignable Federal and State-UC
wages in the State's base period must be considered in the
computation. The base period used in the computation of the
ratio of the Federal share of benefits paid to a claimant will be
the base period of the paying State under whose State UC law the
claim was paid, whether the claim is an intrastate, interstate,
or combined-wage claim.
(1) State agencies should not use Form IB-6, Statement
of Benefits Paid to Combined Wage Claimants, to request
reimbursement for benefits attributable to Federal wages, since
UCFE and/or UCX benefit costs shall be charged to the Federal
Government by the paying State in the same manner as regular
intrastate or interstate UCFE and/or UCX claims.
V-6

APRIL 1994

QQl'I IIITRQQ'IIOQ IOI l'J'UI UIICIII
(2)

Examples:

(a). The computations listed below were made after
benefits had been paid for a week of unemployment, in which the
claimant was paid a $100 weekly benefit. The computations are
applicable to intrastate, interstate, and combined wage claims.
The weekly-benefit uaed i• after the claimant•• weekly benefit
had been reduced, if any, by earnings or other income. The
Federal share of benefits paid to a claimant will always be based
on what the claimant was actually paid.

benefit cost.

(b). Computations showing Federal shares of

Examples:

State-UC Wages

Federal Wages

A

B

$4,000 $10,000

C

None$

D

9,ooo $

1,000

E

500

9,500

Total Base Period Wages 10,000

None

10,000

10,000
10,000

10,000

601

None

1001

951

100

100

100

101

100

100

60

None

100

10

95

40

100

None

90

5

Federal Ratio of Wages

Weekly Benefit Amount
Cost charged to:
Federal fund

State-UC FUnd

6,000

10,000

It should be noted that in "Example D" above that $10
would be charged to the Federal Government, even though the
claimant's State UC wages may have qualified him/her for maximum
benefits. Also, in "Example E," $5 would be charged to the
State, even though the claimant's State UC wages may not have
qualified him/her for benefits under the State UC law.

V-7

APRIL 1994

-----·--

QCU

XUDJJQ'IXOQ 191 llil'l'I AQACJIS

1.
ucr1 - i111iCQ111.•nt to atat• other lhM That of LA•t official
Duty station.
a.
Coy1r1« ftpl9D1Pt IP•m•nt to ••«•ral Ciyilig

IIIP19Dfpt;. If, at the tbae of filing a first claim, the
claimant resides in a state (including the District of Columbia,
the co-■onwealth of Puerto Rico, or the Virgin Islands) in which
it is determined he/she nO•« in aour•« MPlon•nt after
separation from his/her most recent Federal civilian employment,
that State is the State that his/her Federal civilian service and
wages will be assigned, even though bis last of�icial station was
in another state.

b.
La■t offiaia1 outy station out■i«• th• 11pit1t stat••·
If a claimant's last official station was not within one of the
50 States, the District of Columbia, the Co:m■onwealth of Puerto
Rico or the Virgin Islands, the claimant's Federal civilian
service and wages will be assigned to the State, as defined by 20
CFR 609.2(M), where he/she resides (including the District of ·•
Columbia, the Co:m■onwealth of Puerto Rico, or the Virgin Islands)
at the time he/she files his/her first claim, provided he/she is
personally present in a State, when he/she files the first claim.

s.

1zaapl•• of Qetanaination of stat• of i11■icpu1ant.
a.
ucr1 - Jncorract stat• of i111icznaent 101u1taenta. The

State to which Federal civilian service and wages have been
incorrectly assigned is referred to as the "incorrect State."
The State to which Federal civilian service and wages should have
been assigned is called the "correct State." Assignment of
Federal civilian-service and wages to the incorrect·state may
result from:
(1)

misinformation from the claimant,

(2) lack of information as to whether the claimant's
employment subsequent to Federal civilian service was subject to
coverage under a State UC law1
(3) an erroneous interpretation of Federal or State
law in the local office1 or
(4) an error by the Federal agency in the designation
of official duty station.
When there is any question as to the accuracy of information
given by the claimant, local office representatives should make
V-8

APRIL 1994

•

QQPB JHSTRUQ'l'JOlfS IQB ITA'J'I AQBHQIBS
every effort to check such information before completing the
claim. Local office staff should review the claimant's work
history1 question the claimant to ensure inclusion of all Federal
and non-Federal work and the State coverage of any non-Federal
work1 and request the central office to check the employer
liability file when in doubt as to coverage of employment
subsequent to Federal civilian employment.
The correction of errors should be accomplished by adjustments
between the states involved, as described below.

b.
D•n r•O•ral civilian service ano wag•• Rav• Been
Assigned Incorrectly, But Ho Benefit Payaents Bava Beep Kade by
the Incorrect state. If no payment of benefits have been made,
the adjustment may be made in substantially the same manner as
when interstate claims have been sent to an incorrect State. The
incorrect State should inform the correct state of the date the
new claim was filed, the date of each continued (and, if
applicable, additional or reopened) claim, the period covered by
each continued claim, and any eligibility or disqualification
information applicable to the claim.
This information should be furnished by forwarding the originals
of all completed Forms ES-931 and, if applicable, Forms ES-931A
and ES-934, which were received from Federal agencies in
connection with the UCFE claim, and duplicate claims on
interstate claim forms, identified as UCFE, for the periods
claimed.
These duplicate claim forms will include a Form IB-1 for the new
claim (plus, if applicable, such form(s) for any additional or
reopened claim(s)) and the necessary Forms IB-2 for continued
claims., The following statement should be included under
"Remarks" on each claim form:
"The Federal civilian service and wage of this claimant
were assigned to (State) in error. The Federal service
and wages should have been assigned to (State). This
claim is substituted for the claim dated (appropriate
date) which was processed by this state."
The week-ending dates on the duplicate claim forms should be the
same dates as those shown on the original forms, but the date of
taking the claim should be the date on which the duplicate claim
forms were prepared. The statement quoted above, properly
signed, will be sufficient reason for predating. The correct
State should establish a new UCFE claim and make a monetary
determination based on the date the claim was originally filed.
If the information on the completed Form(s) ES-931 and, if
V-9

APRIL 1994

--

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. .,

.. .. .

·. • • · -

-

VCl'I IMIDJJC'l'IQ118 IOB IDTI ACJIGIII
applicable, Form(s) ES-931A is not sufficient, Form ES-934,
requesting additional inforaation, will be sent to the Federal
agency. The incorrect State will keep the claim record card or
other appropriate documents as a record of the transfer of the
claim in case questions arise later concerning the assignment of
the Federal civilian service and wages.
When it is discovered that a UCFE claim was taken incorrectly as
an interstate claim and that the correct State is the State in
which the claim was taken, the correct State should prepare
duplicate new, continued, and if applicable, additional or
reopened, intrastate claim forms on the basis of entries on its
claim record.
The incorrect State should forward only the reports received from
Federal agencies, e.g., completed Forms ES-931 and, if
applicable, Forms ES-931A and ES-934, and should invalidate the
interstate claims received (Forms IB-1, IB-2, etc.). However, if
a claimant has a joint UC-UCFE claim, the claimant has the same
right of election as provided below.

c.
Letter of rranuitta1 by Incorrect state of Aasiqmaent.
A copy of the letter of transmittal of the UCFE claim to the
correct State should be included in the claim file in the central
office of the incorrect State as a record of the a�tion taken in
adjusting the error. The letter of transmittal should contain as
much of the following information as is pertinent:

(1)

Claimant's name and SSN;

(2)

Date of new claim;

(3)

Effective date of claim in incorrect State;

(4) List of attachments (such as Forms ES-931,
ES-931A, ES-934, ES-935, IB-1, and IB-2);

(5) Any additional information as to disqualifications
relating to claimant's separation from work;

(6) State determination of weekly and maximum
benefit amounts, showing State UC and UCFE portions �eparately by
week;
(7) List of payments made showing State UC and
UCFE portions separately by week; and
(8) List of payments in process but not yet made,
with breakdown as above.
v-10

APRIL 1994

DQPI lll'IRQQ'l'IOIIS PQB l'IUI ltUICIBS
9.

ucr1 c1ai■ oua111atiop ip 1taaortuc• with stat• Lay,

The assignment of Federal civilian service and wages will follow
Federal law, except that, if State law provides that a claim may
be canceled, tile same law can be applied to Federal civilian
service and wages. It must be recognized that the cancellation
of a claim, does not have to result in the Federal wages being
assigned to another State. For example, a State law or
regulation allows for the cancellation of a claim when the claim
established resulted in no payment of benefits, (i.e., the
claimant returned to work before his/her first compensable week).
The claimant subsequently is laid-off and due to higher base year
wages elects to cancel the original claim and file for a more
recent benefit year. This would be allowed because of state law
or regulation.
It must be remembered that Federal law (5 u.s.c. 8504) must be
followed predicated on last official duty Station or ■01t r1a1pt
covere4 gployillent subsequent to Federal service. ( Also, refer
to 20 CFR 609.S(b)).
However, UCFE wages and service assigned to a State may be
transferred to another State where such transfer is necessary for
the purpose of a combined-wage claim.
JJQD:
Aaaigmaent to state of Laat Official DUty Station.
Federal civilian service and wages will be assigned to the State
(including the District of Columbia, the Commonwealth of
Puerto Rico or the Virgin Islands) in which the employee had
his/her last official duty station in Federal civilian employment
before filing a "first claim" as defined above, when the most
recent employment before filing a first claim was Federal
civilian service. This rule applies regardless of the duration
of the most recent Federal civilian employment, even though
transfer of official station to the State in question was so
recent as to be subsequent to the base period. 'lh• "official
4uty station" is a deteraipatiop ••4• by tbe r,01ra1 agency,

v-11

APRIL 1994

----- .

-

-

'

-

..

QCPB IKSTRQC'l'IQlfS lQR ITATI IGINCIBS

chapter YI - Reopened, Additional and continued c1ai•• Proce■s
1.
Introduction to rora 1s-p3a, aeguest for separation
Inforaation of Additional c1aia-ucr1.

This form is used by the SESA to request separation information
or the reason for non-pay status when a claimant has previously
established a benefit year under the UCFE program and is filing
and additional claim after an intervening period of employment in
a Federal agency.
When the claimant has a previous nonmonetary disqualification,
the SESA should also request, in connection with this form, wages
and/or weeks of employment pertaining to the period of
intervening employment, to determine if the claimant has met the
requalification requirements previously imposed.
The Form ES-931A is subject to the same response and control
requirements as the Form ES-931.
The Federal agency should indicate if the claimant was laid off
and will, or may be, recalled to work, the last day of active pay
status and the reason for placement in non-pay status (e.g.,
"Laid off lack of work. Will be recalled when needed").
The same additional claim forms and procedure will be used for
taking and processing additional and reopened UCFE claims as are
used for State UC claims, except claims forms and related records
will be identified as UCFE. If the most recent (or, if
applicable, any intervening) civilian employment prior to the
filing of an additional claim (UCFE, UCX, or joint claim
involving UCFE and/or ucx benefits) was with a Federal agency,
Form ES-931A will be sent to the appropriate Federal agency
payroll office. In such cases, Form ES-931A will be used in lieu
of the separation notice normally used with State UC additional
claims.
For intervening non-Federal employment in connection
with an additional UCFE or joint claim involving UCFE and/or UCX
benefits, the State agencies separation notice normally used with
a State UC additional claim would be used in the same manner as
if the claim were a State UC-only additional claim.

NOTE:

a.
Additional Interstate Claim. Additional and reopened
interstate UCFE claims are filed fo�lowing the regular interstate
procedures, except the use of the Form IB-3 does not apply. When
taking an additional claim, the claimstaker must ensure that all
intervening employment, including Federal civilian employment and
active U.S. military service is shown on the Form IB-1 and a
VI-1

APRIL 1994

'�-• •

•

•• ----• •• •• - ••-•• h ••-•• •••--• • • •••- •••••

•••

QQPB IBSTRQC'l'IQII PQB IDD IQBHQIIS
Separation Fact-finding Report, Form IB-llS, is completed for any
potential separation issues.

b.
Reopepe4 Ipt1r1t1t• Qlai••• Any time there is a break
in the claims series that was not due to intervening employment,
a reopened claim is taken and the reason for the failure to
report is provided on an Interstate Fact-finding Report, Form
IB-11. A reopened claim is also taken when the claimant has an
existing benefit year and is filing under the interstate program
for the first time or from a different agent State even though
there has been no break in the claims series.

VI-2

APRIL 1994

pcrz INSTRQCTIQNS PQR STATB AGENCIES
Pora IS•t31A

2.

LOCAL OFFICE:

(STAff AGENCY NAME)

TEU:PHONE:

DAU OF REQUEST:

Sl!CTICN L IDDl'TIF1CATION !».TA
1. NAME (LAST, FUlST, MIDDLl, MAIDEN (IF

� SOCIAL SF.a1Rl1Y NUMBER

3. BIRffl DATE(MMIDD/YY)

4. JIOSITION 1TIU

5. � OF EMPIDYMENT (C"TY, STAff OR
CX>UNTitY)

6. SEPARATION DAff (MMIDO.'YY)

ANY))

7. IS FEDERAL AGENCY ADDRESS BASED
OHSF-l? __YES_NO

I. QAIMA1(TWAS:
__REGULAR f'l1lL.TIME EMPLOYEE

__DITEllMITIDIT OR PART-TIME
DIPlDYEE

sa:ncH n. PEIJEJlAI.. IIGDfC'l llEPI.Y
INS11t� CDlilPlErE sa:ncH D. AND IIEnlJUil WJJHIX 4 'WallDOS
1. FEDEJlAL FINIXNCS TO DEraRMINl FEDERAL CYlllAH SEJMa
A. DID llilS PERSON PERPORM "FEDERAL CVlllAN SERVICE" AS DEFINED FOR UO'E PI.IRPOSES FOR \'OUR AG'ENCY ON OR »T£R nn:
NEW Cl.AIM DATE SHOWN A1JCNF:I _YES _HO IF "NO', ANSWER QUES'llONS B d>N P:
&. lIHDER WHAT LE.GAL All1HORnY WAS INDrVIDUAL HIRED?___
C. WHAT Fl/NDING SOURCE WAS USED POR SALAJtY PAYMDn'S7
•D. WERE PAYROLL DEDUC'llONS MADE FOR FEDERAl. AND STATE TAXES?
YES __NO
-•E. WAS EMPIDYEE EUGIJILE FOR :
(1). ANNUAL AND SICK IUVE? __YES __NO
(2). HEALnf AND LITE INSURANCE'I__YES __NO
(3). CVIl. SERVICE OR FERS R.ETIREMENTI __YES __NO
•f. DID nn: FmERAL AGENCY PROVIDE DIREC'llON AND CDNTIIOL?
YES
NO
•NC>""re IF "NO' 10 D, £(1) 11{11\1 £(3) ORF £XPIAIN ON SEPARATE ATTAOIMDm--

1 TERMDW. AMruAL !LAVE, SEJ>ARATIOH AND sn'EJIAHCZ PAY INJIORJUtDN
A. DID nns PERSON RECEIVE A WMP·SUM PAYMENT(S) FOR TERMINAL ANNUAL !LAVE ON Oil AFT£R 1HE NEW a.AIM DATE SHOWN
AKNE? __YES __NO IF "YES", OR IF CLJRRENTl,Y EN1l1l.ED 10 SUOf A PAYMEN"T, RECORD PAYMENT INFORMATION BE!DW FOR
EACH PAYMIXT OF ENTI1U:M£NT SINCE SUCH DATE.
PAYMDrr DATE:_/_/_ DAYS Of LEAVE:
PERJOD FROM: TIME: __ DATE:_/_/_ TO: TIME: __ DATE:_/_/_
PAYMENT AMOUNTS___ HOURS OF LEAVE: __
B. DATE or SEPARATION: __;__;__
D. RU.SON FOR SEPARATION OR NONPAY STAn.15:

C. LAST DAY OF ACTIVE PAY STATUS: __;__/__

E. DID nns PERSON RECEIVE OR IS HE/SHE omn.ED ro RECEIVE SEVERANCE PAY PROVIDED BY FEDERAL LAW OR AGENCY EMPIDYEf.
AGRll:MENT? __YES __ NO IF "YF.5", OOMPJ.En nn: POU.OWING INFORMATION: 10TAL EN1TIU:MENT: S ____
_
W£EKl.Y ENl1TUMENT S___ H\1MllDI OF W££1(5: __ IIEGINNING DATE: __/__;__ ENDING DATE: __/__j__

A. SIGNA1VR£ OF OrnaAL:
PRINT NAME:
1TIU:
mLPHONE: (

DATE:

Sf.CJ10N m.
&. NAME OF PARENT FmERAL AGENCY, 3-DIGIT FEDERAL AGENCY CDDE, AND
ADDRESS (IF DIFFlJW(f FROM ADDR!SS SHOWN IIDDW).

)

(STAn: AGENCY TO CDMPIZT£.)
(FEDERAL AGENCY, 3 DIGIT FEDERAL AGENCY CDDE AND ADDRESS.

VI-3

APRIL 1994

QQFI IU'l'RQC'l'IQU . roif ITUif &illfCIIS
3.

Purpoae and V••·

Form ES-931A is to be used by the local office in connection with
each UCFE-only, joint UCFE-UCX, UC-UCFE, or UC-UCFE-UCX
additional claim when it is necessary for the SESA to obtain
intervening Federal civilian employment separation information.
The form is designed to obtain terminal annual leave and
separation information from the Federal agency concerned, and
will be used in lieu of the regular separation notice normally
used in connection with State UC additional claims. The Form
BS-t3ll ahould not be uae4 in connection with a 11 new claim". The
olaiaant•a rea ■ on(a) for ■eparation (i.e. Fora BS-935) will not
be ■ ent to the Federal agency concerned in connection with an
additional claim.
State agencies are also urged to use Forms ES-931A in connection.
with State UC-only additional claims when it is necessary for
SESA to obtain intervening Federal civilian employment. The use
of Form ES-931A in all cases should expedite the Federal agency
reply.

of copies and Distribution.

4.

M11mber

5.

Preparation.

Sufficient copies of Form ES-931A will be prepared to provide the
number necessary for SESA use and one copy for retention by the
Federal agency. The original and at least one copy will be
submitted by the SESA's local office to the appropriate Federal
agency payroll office. The Federal agency will return the form
either to the SESA's central office or local office, as
appropriate. Indicia return envelopes should not be included in
mailings to Federal agencies because they are required to use
their own envelopes and to return any other to the sender.
Most of the items are the same as (or similar to) those on Form
ES-931. Section I, Identification Data, items are to be
completed by the SESA. For the "Date of Request" entry, enter
the date the Form ES-931A (� Form ES-931) was completed.
A signed Privacy Act release statement is no longer required from
a claimant to authorize the release of information in Section II.
However, if a State law requires all claimants to sign a Privacy
Act release statement, then a UCFE claimant would also be
required to sign a Privacy Act release statement.
Federal agencies will complete Section II of the form. A SESA
should include Section II, items 3.A. and 3.E., if pertinent to
UCFE operations under the State UI law. If item 3.A. is omitted,
VI-4

APRIL 1994

...

-�-

·-·····-----·-·--·-··- ---·--· .. _/

QQPI IQ'l'RQQ'l'IQIIS JOB l'IUI UIIIQIBS
the following statement should be printed on the form: "A. ITEM
OMITTED. Terminal annual leave information is not needed by this
State on additional claims."
6.

Reyiey by 'lh• 1111•

Prior to mailing, each Form ES-931A will be reviewed for
completeness and accuracy of SESA entries, including a comparison
with SESA entries contained on the corresponding Form ES-931, if
any, prepared for any new UCFE claim for this claimant which had
been taken previously. Comparison with the SESA regular
additional claim form, requesting the beginning of a new benefit
series, would also be appropriate. one copy of each Form ES-931A
should be places in a tickler file for necessary follow-up
action.
1.

Action by Jederal .agency upon Receipt of Pora ■s-t31A.

The Federal agency should return a completed Form ES-931A within
4 workdays of its receipt.

a.

Action by 1111 When Porpa.BS-t31A Ia Returne4 by Pederal

Agency.

When the completed Form ES-931A is returned to the SESA, the
separation information will be reviewed to determine the reason
for separation. A nonmonetary determination will be issued if
required. State law may require adjudication of any lump-sum
payment for terminal annual leave, Federal civilian severance
pay, or Federal civil service retirement pay (which may be
indicated by completed item 3.A. and 3.E.). If any of the items
on Form ES-931A are incomplete or incorrect, and such omission or
error would affect the nonmonetary determination or otherwise
affect the claim (including the claimant's benefit rights), a
Form ES-934 will be sent to the Federal agency to request the
necessary information.
9.

SBSA Action When Pora BS-931A X• llot Returned.

The procedure for follow-up action regarding nonreceipt of a Form
ES-931 will be followed, as appropriate, for nonreceipt of a ·Form
ES-931A.

VI-5

APRIL 1994

' .
i
· -· · ··

.. ·- .....
.. . ·--·-

...

QCll IIIZBPQTIOIIS lOB IUD MIBQIBS
10.

·-or •••.• • .. •• . •

-•.- •

faking continu•O ucr1 c1ai111.

The same continued claim forms and procedure will be used for
taking and processing continued UCFE claims. Claim forms and
related records will be identified as UCFE.

a.
UCFE Interstate
coptipu•O Jpteratate QCll c1ai••·
claimants follow the regular interstate.by-pass procedures for
filing continued claims. The Continued nrterstate Claim,
Form IB-2, will be issued to and used by UCFE claimants to the
same extent that it is otherwise used for interstate claims.

11. ucr1 Benefits - 1an1nt1 for •••k• of Less Than ru11-Time
111p1on1nt.

The amount of UCFE benefits to be paid for a week of less-than
full-time work is determined in accordance with the provisions of
the State UC law, including those provisions relating to rounding
weekly benefit payments.
Any earnings disregarded under the State law are disregarded in
computing UCFE benefits. If a claimant has a joint claim:
UC-UCFE, uc-ucx, UCFE-UCX, or UC-UCFE-UCX, the amount of
unemployment benefits to be paid him/her with respect to a week
of less than full-time work is computed on the basis of the joint
weekly benefit amount.
12.

conducting UQPB Bliqibility Reviews.

The same claim forms and procedures will be used for conducting
eligibility review interviews for claimants filing UCFE, or joint
claims as are provided for cl�imants filing State UC-only claims.
Questionnaires and other related claim documents will be
identified as UCFE.
If a claimant was in non-pay status (e.g., LWOP) as a civilian
employee of a Federal agency when he/she filed a new or addi­
tional UCFE claim, and is later separated from Federal civilian
employment, the Federal agency should have notified the SESA.
However, if the Federal agency in such cases failed to notify the
SESA as to the separation from Federal civilian employment, the
reason for such separation, the subsequent receipt (or
nonreceipt) of a lump-sum payment for terminal annual leave,
other matters which would affect the claimant's benefit
entitlement, or some combination of these factors--questioning
such non-pay status claimants at the periodic interview is an
effective method of obtaining such information. If necessary, a
Form ES-934 request may be required: in some cases,
redetermination of a prior nonmonetary determination will be
VI-6

APRIL 1994

.... _, ..

- - �� · ---·- ·· . ... ..

------- ---�-�......- .

VQl'I l■ITBJJC'l'IQII lQB l'IUI Ml■QIII
needed even if a UCFE claimant had no break in his/her claim
series since such determination was made.
State agencies, when pertinent, should also question UCFE
claimants as to a change in the status of retirement payments
(e.g., receipt, discontinuance, or ch�nge in rate, subsequent to
filing new, additional, or reopened claims).

13. Bepefit Right• ap4 Bliqibility Reyiey Ipteryiep for QCPB
Interatate c1ai■ant1.

Each interstate UCFE claimant will be provided benefit rights
information by the agent and liable States in the same manner and
to the same extent that information is provided to all other
interstate claimants. The liable state will send to each UCFE
claimant the same benefit rights information package that is sent
to all other interstate claimants. See ET Handbook No. 392,
section IV, for the responsibilities of the agent and liable
· States.
Regular interstate procedures for requesting and conducting
eligibility review interviews apply to claims filed under the
UCFE program. see ET Handbook No. 392, Section v.
14. QCPB - Pederal Agency Hotice of Refusal of an Offer of
Reemployment.

The UCFE Instructions for Federal Agencies, published by the
USDOL, requires the appropriate Federal agency personnel office
to inform the central office of the applicable SESA when a former
civilian employee refuses an offer of reemployment with that
Federal agency. The personnel office will notify the SESA in the
State in which the former employee's "duty station" was located,
whether or not the job offered is located in that State. Such
notification will be by letter, giving the following information:
employee's name and SSN; date of the job offer; the nature,
location, and salary of the job offered; the reason(s) for the
refusal (or, if unknown, so indicated); and the return mail
address.
Information obtained from Federal agencies pertaining to refusals
of offers of reemployment should be used in the same manner as
similar information obtained from any other employer. If
additional or clarifying information is needed, the SESA will
correspond with the Federal agency personnel office which
originated the notification. The SESA will, in accordance with
the provisions of the particular State's UC law, determine
whether the refusal of an offer of reemployment will have any
VI-7

APRIL 1994

QCII IIITRQQ'l'IOIJS lQB ITATI MIIIQIBS
effect on the payment of UCFE or other unemployment benefits. If
the· SESA receiving the notice of refusal of an offer of
reemployment has no record of a current benefit-year claim in
that state, the SESA may destroy the notice within 30 days after
receipt, assuming the SESA's central office receives no
notification that a claim has been filed in·one of its local
offices during such period. In any case, the SESA receiving the
notice of refusal is not required to notify any other State.
The SESA's nonmonetary determination form, if any is prepared,
should be used to inform the claimant and the Federal agency's
payroll office (not the Federal agency personnel office
originating the notice of refusal) of the determination made in
each instance. The payroll office address may be determined from
retained claim records (including Forms ES-931 and ES-931A), the
SESA's list of Federal agency payroll offices, or by questioning
the claimant. State agencies should not supply Federal agencies
with "Notices of Refusal of Suitable Work" or similar forms, as
Federal agencies cannot be expected to stock the forms used by
all of the State agencies with which they may have dealings.
Furthermore, the Office of Management and Budget has
responsibility for approving all UCFE forms used to obtain
information from Federal agencies.

VI-8

APRIL 1994

.

---- --- - - -- ------ --·· . ..- ----- - - -

· · --·-----·--·---· - ·--·---··

QCII IUTBVC'IIOR :r<>B IT&TI MIBQIII
CBAP'l'BR VII - ucr1 IIOQOUTllJ PITIBIIQTIOIIS
1.
ucr1 - &ppliaability of stat• Lay Provi■ion■•

The provisions of Federal law (5 u.s.c. 8502(b)) and the
agreements between the Secretary of Labor and States require,
with specified exceptions, that Federal civilian employees
receive unemployment benefits in the same amount and under the
same terms and subject to the same conditions as would have been
applicable had the Federal civilian service and wages been
included as employment and wages under the UC law of the State to
which such service and wages have been assigned. It i• illportant
to ensure that ucrB benefits are adllliniatere4 in accordance with
this requir-•nt.
2.

ucn P•t•rainatiop.

UCFE claimants will be given notices of nonmonetary
determinations in the same manner that State UC claimants are
given such notices. Copies of such notices will be sent to the
Federal agency that provided information concerning the claimant.
State agency practice should be followed in sending notices to
appropriate private employers, in the same manner as is done for
State UC claimants.
When a Form ES-931, Form ES-931A, or Form ES-934 has not been
returned by the 12th day, the SESA will promptly make a
determination based upon all information available. Information
supplied by a Federal employer after a determination has been
made will be given the same consideration as information supplied
by a State-UC covered employer under similar circumstances.
It is necessary to use standard forms, such as Forms ES-931,
ES-931A, and ES-934 to obtain information from Federal agencies.
Procedures for forwarding these forms to Federal agencies have
been devised to assure that Federal agency personnel, who are
authorized to respond for the Federal agency, will furnish State
agencies with the information requested.
In making a UCFE nonmonetary determination, a Form ES-934 is not
required to obtain supplementary information to support a deter­
mination, if credible information that is not inconsistent with
information shown on ES-931 can be obtained from the claimant or·
any other reliable source. Form ES-934 should be used, when the
material information supplied by the claimant is inconsistent
with the information shown on the Form ES-931, or when it is
necessary to obtain possible correction or modification of the
information furnished·by the Federal agency.
VII-1

APRIL 1994

QCFB IISTRQC'l'IQlfS FOR S'l'A'l'B AGBNCIBS
J.

Ad•auacy of

ucr11>et1rainatiop.

In preparing UCFE determinations, the findings should be adequate
to support the determination made under the State UC law.
Findings that are material to the UCFE claim should be brief but
clearly identified in the determination. The findings need not
be elaborate in form or content, but should be complete, concise,
and stated in specific terms so as to support the determination.
Also, the reasons for the determination should be written in
clear, non-technical language that can be understood by a layman.
It is only through such an understanding that the UCFE claimant
and Federal employer will have an adequate basis for deciding
whether to institute an appeal.

a.
Fe4eral Findings. Federal law (5 u.s.c. 8506(a))
provides that Federal agencies shall make available such
information concerning the Federal service and Federal wages of a
Federal employee as the Secretary may direct for the purpose of
determining the individual's entitlement to UCFE.

b.
Fe4eral Agency•• correction of Its Pin4ings. If, at
any time within 1 year from the date information was furnished on
Form ES-931, a Federal agency ascertains that any of its findings
with respect to a claim for UCFE were in error, it will correct
such findings in accordance with Federal regulations (20 CFR
Part 609.22). Upon receipt of such corrected Federal findings,
SESA should make any necessary redetermination of entitlement
permitted under the State law in the same manner as it would if
the SESA had received corrected information from a State UC
covered employer.
c.
Partially Unemployed OCPB Claiaants. The applicable
provisions of the State UC law and the rules and regulations of
the SESA to which Federal civilian or military service and wages,
or both, are assigned, or to which such service and wages are
transferred on a combined wage claim, will apply to those UCFE
and UCX claimants who are partially unemployed. Earnings
disregarded in computing State UC benefits for less than
full-time work under a State law are also disregarded in
computing UCFE/UCX benefits on a UCFE only claim, or joint claim
involving such benefits. The provisions of the State law for
rounding benefit payments to even dollars will also apply to UCFE
benefit computations. If information on partial earnings for
Federal civilian employment is necessary to process a partial
claim involving UCFE benefits, SESA should use Form ES-934.
d.
Federal civilian service - one Bmployer. A nonmonetary
determination is not to be made with respect to any separation
from a Federal agency during a period of continuous Federal
VII-2

APRIL 1994

!

i

'I
/ i

QCPB JISTRQC'l'IOl[S lOB S'l'A'l'B IGB:NCIBS
civilian service--such as in the case of a transfer from one pay­
roll office to another within an agency, or a separation from one
Government position to accept another immediately--because
civilian employment for the Federal Government is deemed to be
for a single employer.
e.
Iffeet of Leave Without Pay. Persons in
leave-without-pay status in the Federal Government should be
treated in the same manner as persons in nonpay status with an
employer covered under State law. Federal law does not preclude
the payment of benefits during leave without pay or other periods
of non-pay status prior to official separation.
f.
Determination Baaed on Federal Findings being Appealed
under Pe4eral Personnel Procedure. Federal agencies have
established regular appeal procedures within their own agencies
through which civilian employees may appeal personnel actions.
These include grievance procedures established by Federal agency
regulations or union-management agreements. Under certain
circumstances, appeals to the Office of Personnel Management are
also provided. When the SESA is informed by a claimant that
he/she has a pending personnel action appeal or grievance
relating to a separation from Federal civilian employment, the
SESA will prepare and send a Form ES-934 requesting verification
of that information and requesting that the SESA be notified
promptly of the Federal agency's findings as to the reason for
the claimant's separation, based on the final administrative or
court decision in the matter.
SESA should not postpone making a OCPB nonmonetary determination
while awaiting:
(1)

verification, or

(2)
the results of the claimant•• personnel action
appeal or grievance.

Therefore, the SBSA should take prompt action in those instances
to make a OCPE nonmonetary determination either allowing or
denying OCPB benefits in the aaae manner as the SESA proceeds in
any other nonmonetary determination oaae, in which the claimant
bas filed a personnel action appeal or grievance.
Federal agencies have been instructed to notify SESAs of their
findings based on the final administrative or court decision in
personnel action appeals or grievance relating to UCFE claimants.
If appropriate and permissible under State law, any UCFE
norunonetary determination made under the procedure outlined in
VII-3

APRIL 1994

ucr1 J:BS'l'RQC'IIOJIS ro1·snn AGBBCIBS
this section should be redetermined upon receipt of such findings
subject to the right of appeal as provided by State law. In
determining whether or not a redetermination or appeal is
permissible under State law, the same consideration should be
allowed by the SESA for UCFE claims as the SESA allows for State
UC claims.
g.

Pension■ •

atat• &qanai•• Diah Deduct DPJoy•r-contribut•4

Federal retirement plans include the civil Service
Retirement System (CSRS) and the Federal Employees• Retirement
System (FERS) as well as the special Federal retirement plans
such as the Civil Service Retirement System for Law Enforcement
and Firefighter Personnel (CS-Spec), the Foreign Service
Retirement and Disability System (FS), the Foreign Service
Pension System (FSPS), the Federal Employees• Retirement System
for National Guard Reserve Technicians (FERS-Reserve), and the
Federal Employees• Retirement System for Air Traffic Controllers
(FERS-ATC). State agencies which, in accordance with State law,
deduct employer-contributed pensions from State unemployment
benefits will also deduct Federal retirement payments and
annuities from UCFE benefits. Even though the United States is
not an "employer" under a state law, it must be treated as if it
were such an employer for purposes of the UCFE program. Thus,
Federal retirement payments and annuities should be treated the
same as private employer's retirement and pension payments.
(1) united states as a single employer. For the
purpose of deducting Federal retirement and annuity payments from
UCFE benefits, all Federal civilian employment is considered to
be employment for a single employer--the United States.
Accordingly, if Federal retirement and annuity payments are
deductible, they are deductible from UCFE and UCX benefits.
Similarly, if u.s. military retirements are deductible, they are
deductible from ucx and UCFE benefits. However, 3304(a) (15) (A)
of the FUTA indicates that if the services performed did not
affect either the eligibility for or the amount of the pension
received, then the reduction is not required.
contributions by the united states. The Federal
. (2)
Government contribution and employee contribution varies
according to the particular retirement plan.

h.
obtaipipq Jpforaatiop about r1tera1 civil seryic• an§
FBRS Annuity Payaanta. If the SESA deems it necessary to

determine or verify the amount of a Federal civil service annuity
payment, the retiree filing an UC claim should be asked to
present his/her notice of award or annuity, retirement or pension
check. The notice of award sets forth the monthly retirement
payment. The Federal civil service retiree's notice of award is
VII-4

APRIL 1994

. ;

: Jj

!

QCPB IlfSTRQQ'l'iQIIS-. NB . IDTI IGBIICIBS
Form RI 20-25, Civil Service Annuity Statement, which he/she
receives after he/she has applied for such retirement annuity and
the U.S. Office of Personnel Management has adjudicated the case.
SESAs should be aware that medical insurance payments may be
deducted from the pension check, in this case, the annuity amount
payable, which may be deductible in accordance with State law,
would be more than the amount indicated on the pension check.
If a Federal retiree is not able to provide his/her copy of the
annuity statement nor his/her retirement check, or if a SESA
needs additional information, a letter should be directed to the:
U.S. Office of Personnel Management
Retirement and Insurance Group
Employees Service and Records Center
Boyers, Pennsylvania 16017
The correspondence should include the individual's Federal civil
service annuity claim number, or, if the number is not
available, the retiree's separating Federal agency, his/her date
of birth, social security number, and the date of separation.
The SF-50 and the completed Form ES-931 and Form ES-931A are
sources of such data.
4.
Introduction to The Pora BS-133, Request for Information
Regarding Claims Piled under The Federal Bmployees• compensation
Act.
Form ES-933 is used to obtain information from the Office of
Workers' Compensation Programs (OWCP), Employment Standards
Administration, U.S. DOL. That office is responsible for
administering the Federal Employees• Compensation Act of
September 7, 1916 (5 u.s.c. 8101 et. seq., as amended by P.L.
93-416, September 7, 1974) which is a workers' compensation law
for Federal civilian employees.
Under some State UI laws, a claimant is disqualified for any week
for which he/she is seeking or receiving workers• compensation
under any State or Federal law, or his/her weekly amount of
unemployment benefits otherwise payable is reduced by the amount
of his/her workers' compensation award (as deductible income) for
that week. In all States, receipt of Federal compensation for
work injuries or classification by the OWCP as temporarily or
permanently disabled (partially or totally) will raise
able-and-available questions in regard to a UCFE claimant.
Therefore, State agencies need such information to determine
VII-5

APRIL 1994

. .. . . .

.

-

QCPB INSTRUCTIONS FOR STATB AGBNCIBS
whether the claimant is entitled to unemployment benefits under
State law.
If a Federal agency knows that a UCFE claimant has filed a
request for, or is receiving, Federal Compensation for Work
Injuries, it will so indicate in item 3d (Reason for Separation
or Nonpay Status) of Form ES-931 or Form ES-931A. If such a
notation has been made or if the UCFE claimant gives this
information to the SESA, the SESA will send a Form ES-933 to the
appropriate OWCP district office for completion.

VII-6

APRIL 1994

pcFI INSTRUCTIONS FOR STATI AGENCIES
a.

rem

1,-,,,
(STATE KiEHCY NAME)
IQJISTKa INlalllA11l0lf DGMIDIG aNIIS ,am
UJCllD 1111 l'IZllllAL llll'IDYln CZlllPINSAffCa( I/Cr

I DATE OF REQUES"J':

LOCAL OFPICE:

I DATE Q-'IM PILED:

I .DATE NC PILED:

NAME (lAST, PIIIST, MIDDU, IIAID£N (IF
ANY))

PlACE OF EMPWNENT (C1Y, STATE OR
CXlUltffllY)

INSTRUC"110HS: FED£RAL AGEHCY TO MPIEI"£ AT LEASI' rrEM 1 Of SFCl'l0H D AND REn1RJI CDP'I' TO STATE AGEHCY AS SOON AS
l'OSSIBLE; EXTENSIVE DEIAY MAY CAUSE UNNF.a:SSARY POS11'0HEMENT Of \IND0'1DYMDn' IIDffJTTS OR RESULT IN OVERPAYMENT
Of SUOf BENEFl'IS.
1. HAS 1HE MJOIE EMPIDYEE PILED A QAIM POR FEDERAL EMPLOYEES' COMPENSATKlN?__ YES __NO

,.:s:.•. · l

2. IF QAIM PILED,
A. Do\TE ClAIM PILED
(MM/00/YY)_/__J__

B. CAIM l!w'WAS: __ APPROVED __Rf.JECTED __ PEHDING

NOJ1!.: IF CAIM IS "PENDINC." PLEASE REnl1lN ONE CXlPY Of nns FORM TO 1HE STATE AGD«:Y(ADORESS ON REVERSE) CDMPu:n:D
THROUGH APlt:NE m:M. SUIISEQUENTI.Y, WHEN A DEaSIOH HAS BEEN MADE, PLEASE FURH1SH (OH SECDHD aJl1Y Of nus PORM)
APPROPRIATE, CX>MPU:n DIPORMATION AND SEND IT TO 1HE STAn: AGENCY.
3. IF 0-"IM WAS APPROVED
A. RATE Of
B. RATE IN rrEM 3.A. IS l'OR·
CDMPENSATION
__ 1 WEEJC

s___

__2WEEJCS

__ 1 MON"Ill

C. Do\TE CDMPENSATION BEGAN D. ENDING DIITI (IF ICNOWN)
(MMIDnlYY)
(MMIDDIYY
__1__1__
__/_/_

4. DESCRIBE 1HE DISABIUn' FOR WHIOI CDMPENSATION WAS CAlMED OR APPROVED IN TERMS Of NAruR.E, DEGREE, AND EXPECI!ll
DURATION:
S. UST CDMPENSATIO!i PAID FOR 1HE PAST PERIODS WiTH RESPECT TO WEEK-ENDING DATES SHOWN BD.OW. (IF NONE SHOWN,
INFORMATION IS NOT NEEDED BY 1HE STATE AGENCY.)
WEEKENDING

AMOllln'

s__

WEEJCENDING

AMOUNT

s__

WEEKENDING

AMOUNT

s__

REMARXS:
Sl!CTICN UL a:R'JlFX:ATION

I CERTIFY THAT I HAVE EXAMlHED 1lilS REQUEST AHO THAT 1HE AJ//CNE INFORMATION WAS OBTAINED FROM Ol'F1CAL RECDRDS OF
1HE FEDERAL AGENCY (US£ ADDR.ESS ON R.EVEIISE)
SIGNATURE Of Ol'FICIAL

mu:

PHONE

NAMI OF 1lilS FEDERAL AGENCY (IJ' DIFFEREm 1HAN SH� IN 5ECl10N I.)

VII-7

ADDRI'.55 Of nllS OFFIQ (IF DIFF£RENT
FROM THAT SHOWN ON REVERSE)

APRIL 1994

VCFI IBSTRQCTIQIIS lQR ITITI &QBRCIBS
b.
llJ■b,r of co.pi•• MO piatribution. sufficient copies
of Form ES-933 should be prepared to provide the number necessary
for SESA use and one copy for retention by the Federal agency.
The original and at least two copies are to be submitted to the
appropriate OWCP district office so that, when necessary, both
"pending" and completed copies may be returned to the SESA (see
note following Section II, item 3 on Form ES-933). The OWCP will
return the completed form in a window envelope to the return SESA
address shown on the reverse of Form ES-933. Indicia return
envelopes should not be included in aailings to the OWCP dis�rict
office because Federal agencies are required to use their own
envelopes and return any others to the sender.

c.
Preparation. The appropriate OWCP district office
address (see item 8 of this Chapter) is to be entered on the
reverse of the Form ES-933.

The SESA will complete Section I, Identification Data, in
addition to entering local office information, date of request,
date of new claim or additional claim as appropriate. If the
prorated amount of the UCFE claimant's Federal workers'
compensation payment for a week is required for any previous.
compensable weeks of unemployment, enter in s·ection II, item s.,
the appropriate week-ending date.

d.
Privacy Act Release. A Privacy Act release statement
must be signed by the claimant and attached to the Form ES-933
before forwarding to the appropriate OWCP district office. This
signed release is required because the information necessary in
the completion of the Form ES-933 involves releasing a claimant's
health and medical information.
e.
Completion by OWCP. The appropriate OWCP district
office will complete Section II, Federal Agency Reply, and
Section III, Certification, and return the completed form to the
SESA. Explanations of OWCP entries are given below only for
those items in Section II which are not self-explanatory.

If action on a Federal employee's claim for
Item a.
compensation for work injuries is pending, the OWCP will first
notify the SESA by sending it a partially completed Form
ES-933 marked "PENDING." If a supplementary report indicating
the decision on the employee's compensation claim is not received
in 90 days, a duplicate Form ES-933 request, annotated:
"FOLLOW-UP REQUEST ON PENDING CASE" (underscored in red), should
be sent.
VII-8

APRIL 1994

QCPB INSTRUCTIONS FOR STATE AGBNCIBS
The description of the claimant's disability will
Item 4.
assist the SESA in determining whether the disability is
temporary (partial or total) or permanent (partial or total).

If a SESA inserts week-ending dates in this
Item 5.
item, the OWCP will enter the actual amount of payments for those
weeks.

Item 6. Under "Remarks," the OWCP will furnish general
information about a claim: changes in compensation rates due to
hospitalization, special treatment, etc.
f.
Additional Information Required by SBSA. If the
information furnished by the OWCP is inadequate for determining
the claimant's entitlement under the State UC law, the SESA may
request further information by correspondence. The
correspondence must include the claimant's name and social
security number. That office will furnish the additional
information or, if not permitted to do so, by the Federal
Employees' Compensation Act or agreements with other Federal
agencies, will indicate that further information is confidential
and may not be given.
g.
District Office Addresses. Listed are the OWCP
district offices for the 50 States, Puerto Rico, the Virgin
Islands, and the District of Columbia. The State where the
Federal civilian employee's Official Duty Station is locates will
determine where Form ES-933 is sent.
Addresses of the Office of Worker•s Compensation
District

state

Address

No.1

Connecticut, Maine,
Vermont,
Massachusetts,
Rhode Island or
New Hampshire

One Congress Street
11th Floor
Boston, MA 02114

No.2

New Jersey,
New York,
Puerto Rico, or
Virgin Islands

201 Varick street
Room 750
New York, NY 10014

VII-9

APRIL 1994

OCFE INSTRUCTIONS PQR-STATE AGENCIES
No.3

Delaware,
Pennsylvania, or
West Virginia

Gateway Building
Room 15100
3535 Market Street
Philadelphia, PA
19104

No.6

Alabama, Florida,
Georgia, Kentucky,
Mississippi,

North Carolina,
South Carolina, or
Tennessee

214 North Hogan Street
suite 1006
Jacksonville, FL 32202

No.9

Indiana, Michigan,
or Ohio

1240 East Ninth Street
Room 851
Cleveland, Ohio 44199

No.10

Illinois, Minnesota,
or
Wisconsin

230 South Dearborn Street
8th Floor

No.11

Iowa, Kansas,
Missouri, or
Nebraska

1910 Federal Office Building
911 Walnut Street
Kansas City, MO 64106

No.12

Colorado, Montana,
North Dakota,
South Dakota, Utah,
or Wyoming

1961 Stout Street
Drawer 3558
Denver, co 80294

No.13

Arizona, California,
Nevada, or Hawaii

71 Stevenson Street
2nd Floor
San Francisco, CA 94105

No.14

Alaska, Idaho,
Oregon, or
Washington

1111 Third Avenue
Suite 615
Seattle, WA 98101-3212

Chicago, IL

VII-10

60604

APRIL 1994

UCFE INSTRUCTIONS FOR STATE AGENCIES
No.16

Oklahoma, New
Mexico, Texas,
Arkansas, or
Louisiana

525 Griffin Street
Room 100
Dallas, TX 75202

No.25

District of
Columbia, Maryland,
or Virginia

1100 L Street, N.W.
Room 9101
Washington, DC 20211

No.50

Branch of Special
Claims
Washington, DC

200 Constitution Avenue, N.W.
Washington, D.C. 20210
Mail: P.O. Box 37117
Washington, D.c. 20013

District No. 50 handles the claims of individuals injured
overseas; individuals claiming exposure to AIDS, radiation, or
Agent Orange; DOL employees; Peace Corps and Vista volunteers;
Members of Congress and their staffs; White House officials and
employees; Reserve Officer Training Corps (ROTC) Cadets; members
of the Coast Guard Auxiliary and temporary members of the Coast
Guard Reserve; individuals whose cases involve security
considerations; and certain non-Federal claims.

VII-11

APRIL 1994

... ----·-···
l-· -.. --� ... �--

!

...

QCll IIITBJJC'l'IOIJI PQB STATi MIICIII
QIIIP'l'IB VIII - UPIALI
1.

ucr1 - MPlic@ility of state Appeal Procedure.

·oaterminations involving entitlement to, and eligibility for, UC
for Federal civilian employees may be appealed in the same manner
and under the same procedures as determinations under the
applicable State UC law. UCFE decisions will follow the format
and criteria used for regular State UC decisions. However, UCFE
Federal findings, as shown on Forms ES-931 and/or ES-934, must be
identified and included, preferably by direct quotation, in the
appeal decision's statement of facts. The same time periods for
filing appeals, notices of hearing, etc., used in regular State
uc appeals will be used for UCFE appeals.· Appeals on interstate
UCFE claims are to be processed like regular interstate UC
appeals.
2.

l9RII

v,,o

for QCPB Appeal•.

Regular benefit appeal forms used by SESA may be'used if such
forms are modified to show that the decisions of the State
administrative appellate authority is in connection with a former
Federal civilian employee's claim for benefits under Federal law
(5 u.s.c. Chapter 85). The symbols "UCFE, 11 or "UCFE-UCX" as
appropriate, will be placed on each decision to distinguish it
from other benefit decisions.
3.

Action by SBSA op OCPB Appeals.

A UCFE claimant filing a request for an appeal shall be given the
same consideration under State law as a State UC claimant. In
making such a decision, SESA shall apply its State UC law to the
facts supplied by the Federal agency on Forms ES-931, ES-931A,
and ES-934, as well as credible information obtained from the
claimant or from any other reliable sources of information.
The decision rendered shall be based upon the evidence and best
information available that the appellate authority considers
credible. Federal findings as shown on Forms ES-931, ES-931A,
and ES-934 are not negated from consideration by the failure of a
Federal agency representative or claimant to be present at the
hearing. The claimant shall receive a copy of the appeal
decision with notic� of his/her further appeal rights under the
State law. UCFE appeals decisions should clearly reflect all
VIII-1

APRIL 1994

.I

QCII IKS'l'RQC'l'IQIIS lQR ID'1'1 MIICIBS
appellate findings of fact which are relevant in support of the
decision made under the State UC law. Also, provisions of the
State law on which the decision is based should be clearly cited.
4.

ucr1

Appeal• Dile 11r1onne1 Action Appeal i• Pending.

A UCFE claimant may appeal a SESA determination even though
he/she is concurrently appealing the personnel action on which
the Federal agency's finding was based. The State administrative
appellate authority should not postpone holding an appeal hearing
and rendering a decision either to allow or to deny UCFE benefits
pending receipt of a Federal agency or Office of Personnel
Management decision. Any appeal decision of the SESA in a UCFE
case may be reopened, remanded for a redetermination (as
applicable under State law) when the SESA is notified of the
Federal agency's findings based on the final decision of the
highest administrative level of the U.S. Office of Personnel
Management or the former Federal employing agency, or the final
decision of a court to which the personnel action appeal or
grievance was taken. The SESA's new UCFE decision or
redetermination is subject to appeal as in any other State UC
case. In determining whether or not a redetermination or further
appeal is permissible under state law, the same consideration
must be .afforded to the UCFE claimant by the SESA, as that given
a State UC claimant who had a grievance resolved by or finalized
with a private employer or court decision.
5.

Action by SBSA OD Federal Agency UCPB Appeals.

Federal agencies are entitled to receive notices of determination
and have the same right of appeal as State-covered employers
respecting benefit determinations under State UI laws.
6.

Forwarding Appeal Decisions.

SESAs should forward one copy of UCFE appeal decisions to the
appropriate USDOL Regional Office, as provided by 20 CFR 609.1
(d)(l).

VIII-2

APRIL 1994

..

. .

QQPB IBSTRQQ'l'IQlfS lQR S'l'ATB AGBHQIBS
Chapter II - OVBRPAYIQDl'l'
1.
Prevention ano Detection of

ocr1 overpayaept.

The SESA is responsible for taking necessary measures to ensure
that UCFE benefits are paid only to those individuals who meet
all necessary requirements. The SESA should employ the same
methods used for State UC claims to prevent and detect possible
violations of State and Federal law, specifically 18 u.s.c. 1919.
a.
Postaudits. If a SESA's procedure provides for
postaudits of State UC claims, the SESA will include UCFE claims
in such postaudits to the same extent as it does.for State UC
claims.
b.
Special controls. The LCCC is responsible for
detecting duplicate filing of UCFE claims "first claims,"
especially those filed in more than one State.
State agencies will establish and maintain controls to detect
duplicate filing of UCFE claims on an intrastate basis (and,
insofar as possible, interstate basis) and to prevent the
concurrent filing of State UC and UCFE/UCX claims. Duplicate
filing may often be prevented by good interviewing techniques.
2.

Liability to Repay.

As provided in 5 u.s.c. 8507, if it is determined that a person
received an overpayment of UCFE benefits as a result of fraud,
he/she will be required to repay the amount of such overpayment
in accordance with State law. Such determinations are subject to
the same appeal and review that the State law provides for other
types of determinations.
3•

Recoupment.

An overpayment of UCFE benefits resulting from fraud may be
deducted from any future UCFE benefits payable during the 2-year
period following the date on which the fraud was determined. No
deductions may be made after the 2-year period ends. Claimants
are liable to repay any overpayment not recovered by offset.
UCFE benefits may be used to offset overpayments (fraudulent or
nonfraudulent) in both Federal and state programs. The
Consolidated omnibus Budget Reconciliation Act of 1985 (COBRA),
Public Law 99-272, Section 12401, amended Sections 303(a)(5) of
the Social Security Act {SSA), and Sections 3304(a)(4), and
3306(f), FUTA, and added subsection (g) to Section 303, SSA.
These amendments authorize States to enact legislation permitting
IX-1

APRIL 1994

QCPB IIITRQCTIQII PQR ITl'l'I UIICJII
the use of benefits payable under any State program to offset
overpayments outstanding in any other State. Additionally, it
allows reciprocal withholding of overpaid unemployment benefits
regardless of the funding source, Federal or State. To offset
cross-program between Federal and State funded benefit programs,
the State must sign a reciprocal agreement with the Secretary of
Labor. To offset cross-program on an interstate basis, both the
requesting and recovering State must have signed a reciprocal
agreement with the Secretary. The procedures for handling
interstate overpayment recoveries, State or Federal, have been
developed and can be found in Section IX of ET Handbook No. 392,
Interstate Benefit Payment Control Procedures •.

a.
waiver of Recovery. Any provision of state law
authorizing waiver of recovery of nonfraud overpayment of UC,
shall be applicable to UCFE. No waiver of recovery is permitted
if the overpayment was due to fraud.
4.

Ad.ministrative Disqµalifioatiops._

An individual who obtains UCFE benefits as a result of fraud is
subject to the administrative disqualification provided in the
State law. The SESA should take necessary action to determine
whether or not a person will be disqualified. If State law or
regulation requires due notice and a hearing before an
administrative disqualification is imposed, this practice will be
used for UCFE claimants. Facts which support a determination to
impose an administrative disqualification may not be enough to
support a criminal prosecution. Therefore, a failure to convict
criminally would not bar an administrative disqualification on
the same set of facts.
5.

Criminal Offense.

Under the Federal Criminal Code (18 u.s.c. 1919), an individual
who makes a false statement of a material fact, knowing it to be
false, or who knowingly fails to disclose a material fact, to
obtain or increase for himself/herself, or for any other person,
a UCFE payment, may be fined not more than $1,000 or imprisoned
for not more than one year, or both. The statement or
representation must have been false. The claimant must have
known it was false. It must have been material to h�s/her claim,
and it must have been made for the purpose of obtaining or
increasing for himself/herself or someone else a payment under
the Federal UCFE law (5 u.s.c. 8507). If the case is failure to
disclose, the failure must have been of a material fact and the
person who failed to disclose such fact knew that the failure
would obtain or increase a benefit for himself/herself or someone
else.
IX-2

APRIL 1994

UCPB IRSTRQCTIORS

l'OR ··1irau AQBRCIBS

a.
Pr1paration of O•••· When a SESA has enough facts for
a prima facie case under the Federal Criminal Code (18 u.s.c.
1919), or 5 u.s.c. 8507, it will develop the factual information,
such as lists of witnesses and an abstract of the evidence each
will present, copies of applications, certificates, statements or
affidavits in which false allegations of material facts are made,
copies of payrolls, samples of signatures, and any other _
evidence. The SESA is not to confront a claimant with the
evidence collected or try to obtain a confession. The amount of
overpayment, if any, and copies of checks, warrants, or cash
receipts received by the person, will be shown.

b.
P•ci■iop on Appropriat• Action. consistent with the
ETA/OIG Memorandum of Understanding on this subject, and based on
the material compiled, the SESA will decide whether criminal
action should be undertaken in Federal courts or in State courts.
If prosecution in the Federal courts is appropriate, the matter
will be referred to the appropriate office of the Regional
Inspector General for Investigations (RIGI/CSSI), DOL (DOL).

If the case does not meet the prescribed criteria and prosecution
in the Federal courts is not appropriate, or if the U.S. Attorney
declines to prosecute the case, appropriate prosecutive action
should be sought by the SESA in State/local courts in accordance
with State law and practice.
6.

Arranqw1nt1 yitb tbe pepartaapt of Justice CDQJ> and the

Office of tbe Inspector General (DQL) (QJG).
a.
Referral to QIG. The DOJ and the Federal Bureau of

Investigation (FBI) have agreed with the DOL that the authority
to investigate criminal fraud matters arising from and pertaining
to UC programs shall be vested in the OIG. � Memorandum of
Understanding (MOU), FBI and OIG (October 14, 1983): DOJ letter
(February 15, 1984) from Stephen s. Trott (Assistant Attorney
General-Criminal Division) to Francis x. Lilly (Deputy Solicitor
of Labor).
Fraudulent claims for UCFE will be referred to the appropriate
RIGI or the Chief of the Security and Special Investigations
Branch (CSSI) if they meet any one or more of the following three
criteria:
(1) If the established fraudulent overpayment exceeds
$1,000: or
(2) If the established fraudulent overpayment (regard­
less of amount) involves the use of a false
governmental identification document, such· as an SF-50
IX-3

APRIL 1994

QCPB IQTRQC'l'IQHS PQR l'l'A'l'I MIICJBS
or Form ES-931, to claim entitlement for UCFE benefits
(violation of 18 u.s.c. 1028)1 or

(3) If there are other factors concerning the
fraudulent overpayment which, in the judgement of the SESA or ETA
officials, indicate a need for OIG investigation (i.e., offens�s
of an extremely flagrant nature or offenses involving claimants
who leave the State).
BOTB: To meet the criteria for referral to the OIG in
Section 6.a.(1), above, the payments for the weeks in
which the fraud actually occurred must exceed $1,000.
For example, if a claimant knowingly failed to report
wages for 3 weeks, which resulted in his/her
fraudulently obtaining $300 in UCFE benefits, such case
would not be referred to the OIG, even if the total
overpayment established by the SESA amounted to $1,800
because of the imposition of an administrative penalty
which increases the amount of actual overpayment by
$1,500. Generally, such penalty payments arise from
provisions of State law which provide for retroactive
determinations based on the dates(s) that fraud was
committed rather than the date the overpayment was
discovered.

When a SESA refers a case to the OIG, it will include in the
transmittal correspondence the reason for the referral as taken
from the above criteria. For example, if a case involves the use
of false government identification documents (Section 6.a.(2)),
the correspondence should indicate the specific document used
(i.e., SF-SO, ES-931, etc.). If the case involves "other
factors" (Section 6.a.(3)), show the specific reason in the
transmittal (i.e., the offense is considered as exceptionally
flagrant and the penalties of State law are not deemed sufficient
or the claimant is no longer residing in the State).
Referral of these claimant fraud cases will be made by _a
narrative summary from the SESA to the appropriate RIGI/CSSI on a
memorandum, State report form, or DOL Incident Report, Form DL
1-156 (a copy of which will also be sent to the appropriate ETA
Regional Administrator). Regardless of the type of form used,
the narrative summary must set forth a general description of the
claimant (i.e., name, SSN, address, race, sex, date of birth,
physical description, etc.), the type of referral (from the
criteria in Section 6.a. above), the type of UC program involved
as well as the monetary loss (i.e., UCFE -$1,500), and any
relevant facts already developed by the SESA.
The following types of information should also be attached to the
IX-4

APRIL 1994

· QCPB Jlf8TRQC'l'IQ18 . J'OR · l'l.UI-WIJCJBS
narrative summary that is sent to the RIGI/CSSI: copies of
application(s)/claim(s) for benefits; copies of the claimant's
statement/affidavit; copies of the employer reports/payroll
information, copies of checks or warrants, SESA determination
notices and appeal decisions, if applicable; samples of
signatures and any other evidence the SESA has in its possession
that has a bearing on the facts in the case.
Within 5 days, the RIGI/CSSI will acknowledge, to the SESA (with
a copy to the ETA Regional Administrator), in writing, its
acceptance of the case for further investigation prior to
referral to the appropriate U.S. Attorney for prosecutive action.
Those cases referred to but not accepted by the OIG will be
returned to the SESA. The RIGI/CSSI will also notify the ETA
Regional Administrator of such cases where no action will be
taken. Upon return of these cases, the SESA should consider
appropriate prosecutive action in State/local courts.
In those cases where the referral has been accepted, the OIG will
conduct such investigations as are necessary in preparing the
case for prosecution. The OIG will keep the SESA advised on a
confidential basis on the status of the case. On fraud cases
referred to the OIG for investigation, the SESA will coordinate
all claimant contacts with the RIGI/CSSI to ensure that these
actions will not interfere with the pending criminal
investigation and prosecution. After a case is closed, the
RIGI/CSSI will notify the SESA on the outcome of the case with a
copy to the ETA Regional Administrator. If the referral criteria
contained in Section 6.a. above should be changed within a
jurisdiction (State/region) due to the workload, the known
attitude of prosecutors, or the adequacy of SESA obtained
prosecutions, the Assistant Inspector General for Investigations
and the Administrator, Office of Program Fiscal Integrity, ETA,
will authorize revisions to the referral criteria. Generally,
the OIG policy will be to avoid unnecessary referral cases which
will not be investigated. The appropriate ETA Regional
Administrator will be notified, in writing, of referral criteria
revisions by the Director, Unemployment Insurance Service, ETA,
through the Office of Regional Management.
7.

Records of Cases Referred to the OIG.

A record of each case referred to the OIG will be maintained by
the SESA, showing the dates and the documents referred. This
record may be abbreviated if duplicate copies of all documents
referred are retained by SESA. Final disposition, such as fine
or imprisonment, dismissal, or nonprosecution, is to be recorded.
The amount of UCFE, or UCFE-UCX overpayment established to the
claimant's account and subsequent recoveries, as well as
IX-5

APRIL 1994

VQII ID'IBQQ'l'IOQ lOB l'IUI MIIIQJII
collection efforts (if appropriate), are to be posted to the
claimant's record by the SESA.
8.

1ro11aution in stat• eourt■•
a.
A•••• That po ■ot M••t th• crit1ria for B1f1rra1 to th•

�- Any case that does not meet such criteria will be referred
for prosecution in a State court if it meets the criteria for
prosecution of cases of fraudulent claiming of State UC benefits.
Upon request of a SESA, the RIGI/CSSI will assist SESA
investigative units in other claimant fraud inquiries on a
case-by-case basis. The nature of the assistance will depend on
local circumstances and will be decided by RIGI/CSSI and the SESA
with the knowledge of the ETA Regional Administrator.

Prosecution Declined by u.s. Attorney. If the u.s.
b.
Attorney declines to prosecute a case under the referral
procedure outlined above, the SESA should refer the case for
prosecution in a State court if it meets the criteria for
prosecution of cases of fraudulent claiming of State UC benefits.
9.

Bstablishment

of overpayaept.

Whether prosecution is by Federal or State authorities, the SESA
will establish an overpayment according to State law.
10.

QCPB

overpayaent 11ot Jpvolyipq rraud.

When an overpayment of UCFE benefits involves no fraud, a SESA
will determine, under its State law, whether:
a.

Recovery of the overpayment will be waived;

b.
The claimant will receive any future UCFE benefits if
the overpayment has not been repaid; or
c.
The claimant will be permitted to offset any future
UCFE benefits payable under Federal law.
This matter is covered in the Federal UCFE regulations (20 CFR
609.ll(c). The above procedure allows a SESA, if permitted under
its State law, to pay a UCFE claimant part of his/her weekly
benefit amount, offsetting the remainder against a determined
amount in order to reduce the balance of the outstanding
overpayment. For example, if the claimant's weekly benefit
amount equals $100 and his/her nonfraudulent overpayment is $180,
he/she could be paid $50 for each week of total unemployment, the
$50 reducing the overpayment accordingly (i.e., from $180 to $130
IX-6

APRIL 1994

QCPB IIITBJJCTIQII PQB IDD AGQCJIS
after the first week), if this procedure is authorized under the
State law.

11. co111ction of vcr1 ov1rpan1nt - rrau4ulent and
1tonfrauou11nt.

a.
SESA must observe the following minimum requirements in
collecting an overpayment of UCFE benefits:

(1) In an overpayment case involving fraud, if an
agreement for repayment has been obtained by the u.s. Attorney or
a State attorney, or in a case of court ordered repayment, and
the debtor fails to repay as agreed or ordered, the SESA will
notify the u.s. Attorney, the State attorney, or the court, as
appropriate.
(2) Except as provided in this Chapter, the SESA
should seek to recover all overpayment through a comprehensive,
vigorous, and uniformly applied collection program that is at
least equal to its collection under the State law. The program
for collecting a UCFE overpayment must include all debt
collection procedures reasonably available to the SESA, such as
(but not limited to):
(a) Timely and aggressive demands for repayment,
embodying adequate description of the overpayment:
(b) Efforts to locate the debtor by communicating
with past employers: by examining wage records, when available:
by personal visit to debtor's last known address: and by inquiry
among his/her former associates and relatives:
,(c) Collections by offset when possible in
accordance with this Chapter1
(i)

By civil suit, as authorized by State
law: and

(ii) When the debtor is adjudicated
bankrupt, the filing of a proof of claim with the appropriate
administrative authority or court.
(d) The SESA will establish and observe realistic
points of diminishing returns beyond which further collection
efforts by the SESA are not justified or beyond which collection
efforts may be limited. In establishing points of diminishing
returns, the SESA will consider estimated or actual recovery
rates in relation to:
IX-7

APRIL 1994

\·--·--··•·· -···

UCU IUDVQTJQU IOI l'lil'II UPQIII
(i)

Costs of different types of action,

(ii) Size of the debt1 and
(iii) the possibility of collection through
the agency's efforts and by other means.
12.

Write-off of

ucn Quu,a:,unt;--rrau4ul•nt;

u4 11onfrau4g1ent.

After following required collection procedures and having reached
a point of diminishing returns, a SESA may determine that a debt
is uncollectible and remove the amount of the uncollectible
overpayment from its accounts:
a.
When a debtor has no resources and is arrested for a
felony or is permanently incapacitated for work,.physically or
mentally;
b.
When a debtor dies and there is positive evidence
showing the debtor left no estate,
c.
When a debtor is adjudged bankrupt or was discharged in
bankruptcy, and the amount due as listed in the schedule of debts·
or proof of claim was duly filed in the bankruptcy proceedings,
regardless of the amount;
d.
When an overpayment amounts to $25 or less and was
on the SESA's records for at least 1 year; or
e.
When an overpayment amounts to more than $25 and has
been on SESA's records for at least 3 years.
Removal of an overpayment from the accounting records does not
cancel the debt, which remains collectible until paid or
otherwise discharged. Although no further active collection
efforts by the SESA are required, the SESA should keep an .
administrative record (including a "stop" order or "flag") during
the next 3-year period to provide for possible collection through
offset (limited to the 2 year period following the date that the
fraud was determined) or by other methods until appropriate
disposition of the records according to Sections 919P-9194, Part
V of the ES Manual.
13.

Recovered QCPB PUnds.

Any amount recovered by a SESA in a UCFE overpayment will be
deposited in the account from which payment was made, and·
reported on the UCFE transactions report.
IX-8

APRIL 1994

ucr1 IB8TRQC7IOJIS ro1 IDZI AQIICXIS
14.

1nt1r11t op

ucn ov,muunt.

The collection of interest on UCFE overpayment balances is not
only permissible, but required by statute if the State imposes an
interest charge on overpayment balances under the regular state
program. In addition, the interest collected cannot be retained
by the SESA but must be paid into the fund from which the
benefits were paid together with the principal recovered.
However, benefit off■et can only be u■e4 to collect the
overpayaent principal. It cannot be u■e4 the re4uce to interest
liaJ:)ility of the claiaant.

Federal law (5 u.s.c. 8502(b)) requires equal treatment of
claimants under the UCFE program. Under the equal treatment
rule, if a SESA imposes on claimants an interest charge on
overpayment balances under the regular State unemployment
compensation program, the charge must be imposed on overpayment
balances due under the UCFE program (20 CFR 609.ll(f)). Federal
law requires no minimum or "Standard" interest rate. Therefore,
whatever interest rate applies to regular State unemployment
insurance, also applies to UCFE program funds.

Under the applicable Federal statutes and regulations, a State is
not authorized to retain the interest collected on a UCFE program
overpayment. In the UCFE program, an overpayment that results
from a knowing misrepresentation or failure to disclose material
facts, must be repaid. 5 u.s.c. Section 8507(b)(l) provides that
"(a)n amount repaid" under subsection (a) shall be "deposited in
the fund from which payment was made, if the repayment was to a
SESA. 11 (Emphasis added). See, also 20 CFR 609.ll(j)(l). The
term "an amount repaid" includes both the overpayment principal
recovered and any interest charge assessed. Therefore, both the
principal an4 the interest charge ■uat be 4epoaite4 in the
account from which the payment was ■a4e.
Retention of interest by the State as it applies to UCFE
overpayment is also invalid because it would amount to an
unauthorized appropriation of Federal property. Although
authority for assessment of an interest charge is vested in State
law, the imposition of the charge does not entitle the State to
assume ownership of the interest. Interest on interpleaded or
deposited private property funds generally follows the principal
and is a protected property right that may not be appropriated by
the State without just compensation. Therefore, if the State
retains interest on Federal funds, it essentially appropriates
Federal property.
IX-9

APRIL 1994

;

·-· .� ... __ .. _ .._, ......... � .... -·-�--· .
•

�

·.,

C

J

,4

QCll IMl'J'RQQTJOllS lQR ID'J'I MIIQJBS
1s.

B•corc!a of ucr1 ov1rpuunt--rrauou11nt an4 Bopfrauc!ulent.

Accounting records, specifically identified by program will be
kept for UCFE overpayments. Among other things, records of UCFE
overpayments will contain the reason for overpayment and will
show, separately, overpayments resulting from fraud. Records of
UCFE overpayments will show, in each case, the amount of the
overpayment, the action taken by the SESA to collect the
overpayment, the results of the SESA's collection activities, the
dates and amounts of repayment or amount recovered by offset, and
the current overpayment balance, if any.
The basis for the SESA's determination that a debt is
uncollectible will be included in the overpayment files if the
amount of the overpayment has been removed from the accounts.
The records will be transferred to SESA accountability for
disposal, under provisions of State law, 3 years after the date
of write-off.

IX-10

APRIL 1994

QCFI IBSTRQQ'l'IQ1f8 lOB STATB AGBIICIBS
Chapter I - PROGIWI IIUU, AUDIT MO RBPORTIRG
1.
ucr1 Proqru• of verification, Yi■itinq, ano Internal Audit.
a.
verification of Inforaation on coapleteo rona• 1s-t31.
Effective administration of the UCFE program requires assurance
that Federal agencies are completing Forms ES-931 correctly, and
that they are properly reporting Federal civilian service and
wages. State agencies are in the best position to carry out the
major portion of a program by verifying the accuracy of Federal
agency reporting of wage and separation information. one
required method of verification is the submittal of verification
requests to Federal agency payroll offices (Form ES-936).

b.
Yi■its to reoeral Agency Installations. sEsA
representatives should also visit Federal agency payroll and
personnel offices, as needed, in order to ascertain whether pre­
scribed procedures are being complied with and whether Federal
agency staff understand their responsibilities with respect to
the UCFE program (Form ES-939).

c.
Internal Buiu of reoeral Agency ucr1 Operations.
In addition to the verification and visiting programs, Federal
agencies have been requested to include a review of UCFE activi­
ties in their internal inspection and audit programs. The U.S.
General Accounting Office reviews the accuracy of wages reported
to State agencies on Forms ES-931 as part of its regular site
audits of Federal agency payroll accounts, and inspectors of the
Office of Personnel Management periodically review, and report
findings concerning, individual Federal agency personnel
practices and procedures to ensure compliance with UCFE
requirements.

2.
Introduction to Porm BS-936 1 Request for Verification of
UCFE Wage and separation Information Furnished on rorm BS-931.

a.
Purpose and Use. Form ES-936 is to be used to verify
the accuracy of data recorded on Form ES-931 (or equivalent,
e.g.IRS computer printout) by a Federal agency payroll office and
to assist in determining whether the Federal agency payroll
office is adequately carrying out its responsibilities with
respect to the UCFE program. If SESA review of a completed Form
ES-936 reveals inadequacies, a visit to the Federal installation
by a SESA representative should be scheduled.

The verification program should be controlled by SESA's central
office through use of its Form ES-931 file. A minimum of one
Form ES-936 should be sent by a SESA to each Federal agency
payroll office:
X-1

APRIL 1994

------- .... - . . . . .

,,..�------··· ·-· .
- �----·

..

QQII JU'l'RQQ'l'IOQ 198 ID'l'I UIIQJII
(1) which is located in the State, outside the United
States, or multistate payroll offices: and
(2) which has completed and returned one or more Forms
ES-931 (or equivalent) during the latest 6-month period ending
June 30 or December 31. 'l'he SESA may send more than one Form
ES-936 request to an individual payroll office if there is a need
for additional verification: however, no more than 10 such
requests should be sent to a single payroll office in any 6-month
period. For centralized (or multistate) payroll offices, each
SESA's maximum should be limited to 3 such requests in any
6-month period.
A SESA may also send Forms ES-936 to selected
payroll offices. located in other States.
The responsibility for verification, ezcept for centralised
payroll offices, is thus placed on the &BSA of the state in which
the payroll office is located.

The verification should be completed by the end of the first
month following the latest 6-month period (e.g., for completed
Forms ES-931 received during the January-June period, all Form
ES-936 requests should have been sent in sufficient time to be
returned to the SESA no later than July 31). A Form ES-936
should not be sent until at least 15 days after SESA received the
corresponding completed Form ES-931 to avoid any possible
confusion in the Federal agency caused by an earlier verification
request. Item 1 of Form ES-936 may be modified by a SESA which
requires information as to weeks of employment.

x-2

APRIL 1994

DCFE INSTRDC'l'IQNS PQR lflfl AGENCIES

Pace of Pora 11-,,,

b.

REQUEST FOR VERIFICATION OF UCFE WAGE
AND SEPARATION INFORMATION FURNISHED ON FORM ES-931
(State Agency Name)
Local Oflice:
Contact:
Telephone:

Date New Caim Filed:
Date of Request:

SECnON I. WElQfiPJCAfiON

1. Name (Last. First, Middle, Maiden (if any))
◄. Position Tide

TO:

2. Social Security Number

5. Place of Employment
(State, City or Counay)

3. Birth Date CMM\I>D\YY)

6. Separation Date CMM\DD\YY)

(FEDERAL AGENCY, 3 DIGIT PEDER.AL AGENCY CODE AND ADDRESS)

SlGNAlURE STATE AGENCY REPRESENTATIVE

mu

INSTRUcnONS: The U.S. Department of Labor has requested us to verify periodically the acCW"acy of information previously
furnished by Federal Agencies on Form ES-931, Request for Wage and Separation Information-UCPE. Please have an
authorized official personally review records from_which the Form ES-931 cited above was completed in accordanc_e with your
agency's instructions pertaining to the Unemployment Compensation for Federal Employees program CS U.S.C. 8501 et seq.).

SEcnON II. PEDER.AL AGENCY TO COMPLETE
1.

Post -Yotal Employee Wages" from payroll record(s); do not copy from file copy of completed Form ES-931. If a pay
record for any portion of the period covered has been sent to the National Personnel Records Center, it should be
obtained before item lb is completed and the State agency should be notified concerning the delay.

a.
b.

2.

a.
b.

Do you have payroll record(s) for this employee?
If "NO", explain:
For the Base Period beginning ___ and ending ___ provide
Total Employee Wages: $_____
Do you have a copy of the Form ES-931?
Do you have a file to maintain ·completed Forms ES-931?

3.

Was the State (or if outside the U.S., country) reponed on Form ES-931,
the same
shown on SF-SO, "Duty Station" or, if SF-SO is not used,
the same duty station or equivalent entry as shown on the separation
document your agency uses?

◄.

Were (a) severance pay, or (b) lump sum payment for terminal annual leave,
reported separately on Form ES-931, and not iDcluded as base-period wages?

as

X-3

APRIL 1994

/

QCPB INSTRUCTIONS FOR STATE AGENCIES

Bever,, of rom 1s-t3f

c.

5.

Were the reuons for separation reported on Form ES-931, at leut
u complete u the information shown in both the "Nann of Action•
and "Remub" HCtions of SF-50, or equivalent document, used
in separation this employee?
This is the minimum information required on Form ES-931. If answer
is "NO", indicate the source of information you used in completing Form ES-931:

6.

Enter date certification was made on Form ES-931 (Date)_____

7.

Do :,ou have the insauctions issued by your agency's budquarters
on the UCFE prognm?
If "NO", you should request instructions through the same channels
through which you obtain other payroll or persoMel instructions
from your agency.

8.

In reviewing the payroll record(s) for this employee, did ,ou discover
any error in the information previously furnished on Form ES-931?
IMES", give the correct information under "Remarks by Federal Agency"
below or oo an attached sheet. Any questions you haw cooceming
lhe operation of the UCFE program may be indicated under remarks.

Certification: The above information has been furnished by someone other than the person who completed the Form ES-931
cited above and based on my review is hereby certified to be a correct and complete report.

mu

SIGNATURE OF OFFICIAL

NAME OF PARENT FEDERAL AGENCY

DATE

ADDRESS

REMARKS BY FEDERAL AGENCY

If your office is located in one of the SO States, the District of Columbia,
the Commonwealth of Puerto Rko, or the Virgin Islands, we shall be pleas.eMel Records Center
as required to complete UCFE Forms?

1.

Diod the agmcy undezstmd what comtinttes Federal Civilian Semce?

2.

Did the Federal agency copy of completed Forms ES-931 show
the 3-Digit Federal Agency Code?

3.

Was the Duty Station correcdy identified?

◄.

Was date of separation or last day of active pa)· status entered correctly?

S.

Was reason for separation shown as complete as the SF-SO or equivalent?

6.

When separation information on the SF-SO is inadequate
was adequate information provided on the ES-931?

7.

Are payroll records and the ES-931 consistent?

8.

Was non-pay starus (not separated) e:r:plained?

9.

When wage reporting (when earned vs. when paid) is inconsistent
with St.au reporting requirements, does the Federal agency advise
the State?

10.

Were Forms ES-931 and ES-93lA completed correcdy?

11.

Did the hderal agency respond timely and accurately
to the Form ES-936?

12.

Was the ES-936 completed and verified by other than the individual
who completed the ES-931?

13.

Are ES-93-◄'s referred to appropriate party?

1◄.

Does the Federal ilienC)' notify th, State Emplo)'lllent Security Office
when a former federal employee refused and offer of employment?

x-10

YES

NO

YES

NO

APRIL 1994

ucr1 INSTRQCTIQIS lQR STATI lilNCIBS

Page, of rem 1,-,,,

f.

1.

YIS

... ,..... ,.._.,

NO

DDes lbe FHll'II qency appeal Sr.ate Pinlncial and Non-lllOMWJ
•ll'lllinldonl wlMD lbe delelmiulion(s) 1rt IDciollliltimt

z.

,,,. 4eaminaliom 1M llarinl DOdca nfernd ... ..,,.,,we ...,

3.

When DOI allle • an-4 I ICheduJ.. appeal helriDI .. 1M Ptderal qency
pmicle Nllicient lnformatioD • lit IDducll4 in lht _.,. •

,..IC!

Deir intll'tltl?

x-11

APRIL 1994

ocrz
9•

IRSTRQCTIQII lQB ITUI Mll9Jlf

••q• 4 of rom 11-111

ror ..c:b •aro• wver, ll•t a..iow i; It.. naber and
IIIWl'CS:
indicate action taken ., •tenoJ lo ooaply vitb requireNnU,
Snoludlnt conecUon of prevlou •non. If federal 8f•MY •1•1ted
llad Uttl• or ao vcn acti•ltr, £Mure uaat 8fener llftdar■tanu St••
r••pone1a.1uu .. for ..c11 ntUiNNnt and atnU to apply vcn
procedure to future actlYity.

PREPARED BY: (NAKI)

'J'JTU

TIM£ SPENT JN TRAVELING

TIM£ SPt�: JN VISITING

X-12

DATE

APRIL 1994

ucr1 IBSTRQQTIQRS lQB STA'J'B AGBBCIBS

Purpoae u4 V••· Form ES-939 is to be completed by a
h.
SESA or the ETA Regional Office representative, on each visit to
a Federal agency installation in connection with the UCFE
program. The form should be used when the visit is made, to
denote a specific reason for the visit as well as when the visit
is for general UCFE program purposes. The only time the form
need not be completed is when:
(1) a visit report was completed within th�
immediately preceding 90 calendar days, and
the previously completed form shows no significant
(2)
inadequacy or the Federal agency has taken appropriate corrective
action.
In addition to Federal agency installations which need, or
request, SESA assistance, as determined by review of completed
Forms ES-936, visits would be made to those Federal installations
which:
(1) in many cases, do not issue SF-S's to their
employees, as indicated by claimant's answers to the question
which appears on each Form ES-931 and Form ES-931A:
(2)
generally give inadequate information on Forms
ES-931, ES-931A, or ES-934 or equivalent

(3)

have refused to participate in the appeal process;

(4)

are often slow in returning the UCFE forms; or

(5)
frequently omit, or incorrectly answer, items on
the various UCFE forms. Visits also would be made for the SESA
of another State upon specific request of the ETA Regional
Office.

Information on the status of the UCFE operations of a Federal
installation will be useful to ETA, the Federal agency and SESA
in evaluating how local installations are meeting their UCFE
program responsibilities.

i.
lfUmber of Copies and Distribution. Sufficient copies
of Form ES-939 will be prepared to provide the number necessary
for SESA use plus one copy for the Federal installation visited
and two copies .for the ETA Regional Office. The Federal
installation should be given a readable written copy of the
completed report by the visitor before he/she leaves the
installation, or a typed or reproduced copy should be sent to the
Federal installation as soon as possible after the visit.
X-13

APRIL 1994

-•

•

-

-

o&

.-

QCPB IISTRQC'l'IQIIS PQB STATB AQBIICIBS
SESA should send two copies of each completed Form ES-939 to the
ETA Regional Office within 10 days after the end of the quarter
in which the visit was made. The Regional office will include
one of these copies in its quarterly transmittal of visit reports
to the ETA National Office.
When a SESA makes a visit for the SESA of another State, an
additional copy of the form will be prepared and sent to the
requesti�g SESA via the appropriate ETA Regional Office.

rf no Federal visits are conducted during a calendar quarter, a
negative report should be submitted to the appropriate Regional
office.

Preparation for visit. Form ES-939 should be used as a
j.
checklist during the visit to ensure that each function related
to UCFE program responsibility for payroll and personnel offices
is covered. Each representative of the region and SESA should
have available a copy of:
(1) "UCFE Instructions for Federal Agencies",
published by the U.S. DOL: and
(2) FPM Supplement 296-31, "Separations" subtable
(selected pages), of the Federal Personnel Manual.

Before visiting a Federal agency installation, the SESA
representative should obtain proper clearance and approval,
by telephone or in writing, from the supervisor or official
in charge of the office or installation. UCFE program visits to
civilian payroll and personnel offices on military posts or bases
would be cleared with finance or personnel officers, or both:
such officials usually hold a military rank. Visits to
nonappropriated fund activities should receive approval of the
custodians or managers of such funds or, for post or base
exchanges, the exchange officer or equivalent official. In
clearing such visits, the SESA representative should thoroughly
explain the purpose of the visit.
If a Federal agency installation refuses to permit a SESA
representative to make a UCFE visit, or does not allow the
representative to review pertinent UCFE program documents, he/she
should notify the appropriate ETA Reglonal Office, providing
sufficient details and making reference to this Chapter. The ETA
will make every effort to resolve the matter at the Regional or
National Office level.
k.
Visit.

Instructions for completion of Porm and conducting the
X-14

APRIL 1994

.

�-- - ---

.
.

QQPB IRSTRQQTIQIIS PQB ITUI AQIBQJBS
(1). In Section I, "Identification Data," item 4,
explain the specific reason for the visit; e.g., when the amount
of wages shown on a verification Form ES-936 differs
significantly from that reported on the corresponding Form ES931. Under "Remarks" on page 4, explain the action taken or to
be taken by the Federal installation to correct each inadequacy
noted.

(2). All questions in Sections n, Federal agency
functions are •yes" or •no" answers. Affirmative answers to all
of the questions indicate that the Federal installation, at the
time of the visit, is performing its UCFE functions
satisfactorily. Explain negative answers to any of the questions
under "Remarks."

(3). Answers to questions will be made on the basis of
the conditions found in the payroll or personnel office when the
visit is made. The explanation of negative answers under
"Remarks" should specify the corrective action proposed or being
taken.
(4). During each visit, the representative should
determine whether the payroll and personnel offices are generally
complying with UCFE instructions issued by the Federal agency for
completing Forms ES-931, ES-931A, ES-934, and ES-936, issuing SF­
S's and performing other UCFE program operations.

The representative should determine whether or not the payroll
and personnel offices have available copies of the Federal
agency's appropriate instructions; he/she should obtain a copy of
the UCFE payroll instructions to assist in the review.
(5) The visitor will record separately, in the spaces
provided on the lower portion of page 4 of the form the time
spent:
(a) traveling and
(b)

visiting.

The Form ES-939 questionnaire covers the Federal agency's basic
UCFE program responsibilities and is used during the visit to
record information p�rtaining to the Federal agency's discharge
of its duties and to provide a report of findings.
During the review, DOL staff will attempt to determine if the
SESA (local office) has adequately assisted the installation with
respect to the UCFE Program and will provide technical assistance
if necessary.
X-15

APRIL 1994

i', '.

QCll IIS'l'RQC'l'IOJIS lQB ID'rl AQIICIII

s.

Introduction to rora ID a-32, Bfport of vcr1 Activities

The State agencies are to report to the ETA Regional office every
6 months on the verification activity and Federal agency visits.

X-16

APRIL 1994

-�- --- ------- -.... ·- -

1911 INSTRUCTIONS PQB ITITI IQENCIIS
a.

rem ID 1-32
IIPIIT If ICFI ACTMTIII
FOIi TNI NIOITN YHIFICATIOI NIIIOD IIDM

t

WTM- ...1•

-- ....... ,__....,......_ ............, .....
· 1.,.,..
.... a..111 WIii .a. .••••••.••.•.•· ••.•.••••.•••••••••••.••.•••••••••••••••• --------

-------1
•..•.•.••.•.••••••••••••••••••••...•••••••••••••••••••••• -------1

a. ,-,.. .,._. •llldl U.I. le ftlll, ,.., D-111 ... -.

I. ,..., .... _,_

•••••••••••••••••••••••••••

4. ,... IS-t36 ...... _
•. liFI\Call lll'Of 9W.� •••••••••••••••••••••••••••••••••••••••••••••••••••-------!
, 1o or u 11,ullHical•llr·- fllt or ranu a:s.tsJ • • .,, 11111a � 1111 ••••••••••••••
c ai1UDdtmudillc • •• 11pol'lilll Slat• (or _.,, or 11111 -,ac,,.., ,_ a. ,_ IS-tSJ). ••
• aialndtrlllllUII • ID llpar1iat· (1) _.. ... PIJ; • f2)
....ar --

-------1
-------1
ll&a,.._..,... ,_
-------1
•· lllcompl,u fta»D(1) for .,.•• (ha N. ,.,. ES.fl)). . .......................... -------I
f lie>. of UCFE iDaNftiou. ••••••.•.••••••••••••••••••••..•••••••••••..•..•••• ______-I
I .,.,.
11111 ll'IICT ..,,..... ••••••••••••••••••••••••••••••••• --------1
11-

.................................................................

IO .... I Ml "'

S. luld O& 1M 1"°'9 Wriftmlillll acltlirJL ftaU aade .llriDI .......... fllliod II llt.il ,epart. ••• ••·••••• • •••••••••••••••••••••• -----�
• MD 111:btdllled (or aadt) for ... M:11 6-IDDDlt ptnod foDCIINlll llt.il atpOI'\- •••••••••••••••

-------1
6 Yiliu wtix! 11111 lllldt dlll'i119 die period ot llt.il lt'pOft. ••••••••••••••••••••••••••••••• -------1
{V,s;:
r.t:�ra.d .lil!'ttr/y &lat ,pp,opri,11 ETJ.nfion&I olf•;. HI 1111c:t.
l

ff;,o,"J &19

IC

Forms ES 9J!; (IU. I J/J IC UIII ,e,o_n.}

: ti'"

••

1111

JC.

JI,,,, .. ••

C,u,,,..e,, JJ.

fl,,,.,,

X-17

-�,.APRIL
,,: ...... ,,
1994

:t

.

.. -- . . --------- -­
--·-·---- - ---·--·---·· ·--- --· . . .

i

PQll IIITRQQ'l'IQIIS lOB IDTI MIIICIBS
b.
Pl!■b•r of Copi•• and pi■trihution. The SESA will send
two copies of a report to the ETA Regional Office every 6 months
on the verification activity and Federal agency visits conducted
during the completed verification period. One copy of the
report, which is due in the ETA Regional Office by the 15th day
of the second month after the verification period, will be
transferred to the ETA National Office. Thus, for the January 1
through June 30 verification period, the report is due on or
before August 151 for the July 1 through December 31 verification
period, the report is due on or before February 15.

c.
Reyin of ITA 8-32. The ETA Regional Office will
periodically review the reports and related data with the
state agencies to determine:

(1) the effectiveness of the verification and
Federal agency visiting program1 and, when appropriate,
(2)
6.

the need for further action by the ETA.

r•O•ral Agencies contracting for ucr1 services.

Some Federal agencies have procured contractor services to handle
their UCFE claims process.· However, the Federal agency is
responsibility of ensuring that the UCFE claims process and other
aspects of the program are handled in the same manner and
thoroughness as the Secretary of Labor has prescribed. Federal
agencies have been notified to monitor a contractor's performance
as a part of their internal audit procedures. In addition,
Federal agencies have been advised that:
a.
A contractor should provide the Federal agency with a
copy of all correspondence received from and to the SESA
concerning the UCFE process. If a problem exists, it should be
brought to the attention of the State Federal program coordinator
and/or the National Office, Attn: TEUMI.
b.
In most instances, a contractor cannot perform the
requirements for the Form ES-936 verification process since the
information must be obtained directly from the original records
which are maintained at the Federal site. Therefore, a
contractor must be instructed, by the SESA, upon receipt of a
Form ES-936 verification report, to immediately send it to the
appropriate staff member at the Federal agency for completion and
return to the SESA.
c.
While a contractor can suggest to a Federal agency
which cases should be appealed, the final decision lies with the
X-18

APRIL 1994

,..

.

' I

'

·.

·-. �� ·-

.,. .
..
·•- ........
. ..

)

!

VCFI JBS'l'RQC'l'JQBS FQB ID'l'I UBNCIBS
Federal agency staff. Though a contractor may attend a hearing,
Federal representatives having first-hand knowledge of the
situation� attend, give testimony, and present evidence to
ensure that UCFE benefit payments are paid only those claimants
who meet the eligibility requirements.

,.

ucr1 Recor41 - content, Jdentification, and Availal>ility.

SESA records should contain enough information to substantiate
all actions taken relating to determinations of entitlement for
UCFE benefits. Accounting records should be in sufficient detail
to permit proper accountability for UCFE funds provided to States
for payment of UCFE benefits, and to provide the necessary
information for the preparation of fiscal reports to the U.S.
DOL. SESA records pertaining to the UCFE program should be
identified as different from agency records pertaining to State
UC benefits. SESA UCFE records must be available for inspection,
examination, and audit by such Federal officers or employees as
the Secretary of Labor may designate.
a.

QCPB - Checks and Records of Payaents.

(1) Data Supporting Payment. A payment from UCFE
funds must be supported by a copy of the check or by a register
or similar document clearly identifying the UCFE claimant by
name, social security account number or control number used by
the SESA and by the amount charged to UCFE funds. SESA records
must be in sufficient detail to support the computation of the
amount charged to such funds.
(2)
Checks in Payment of Claims. Checks issued in
payment of UCFE claims need not be identified especially as
UCFE payments.

(3) Undelivered and unclaimed Checks. controls and
records of undelivered and unclaimed UCFE checks returned to
the SESA should identify checks paid from UCFE funds separately
from other checks issued or authorized by the agency. Such
controls and records should be in sufficient detail to permit
proper accountability by SESA.

The SESA will cancel any check drawn by that State to pay UCFE
benefits which has not been presented for payment within 1 year
after the date of its issuance. The amount of the escheated
check will be credited to the Federal agency account maintained
by the SESA for UCFE funds. If, in accordance with State law,
any claim for payment of UCFE benefits is made later, and UCFE
X-19

APRIL 1994

--

ocr1

---•-•·-------··------· /

--

...:, ..

:·�: 111n�-i�· ·ro• liittliiielii,
-.. - - �-:��.::�....-�:-c.: ·----:..:.. ...

benefits are paid, charges will be
Federal agency account.

_ __
made -m
_

_·

·.�

tbe State--...UCFE

When benefits are due a UCFE claima��-�.,� h_: ,-.;,,.,_ �: l)is/her
death, payment of the amount due sh011"1 -_
a>
� ance
with the law and regulations governing'_
yment·'-'of State UC
---benefits due at the time of death.

( 4) Disposal of ucFE and ucx Re�ords. The usooL has
authorized transfer to SESA accountabil
· c,:daof the joint
Federal-State UCFE and UCX programs. A-·
. _ __ t·-.r transfer of
_
UCFE and ucx records once made by each
_ ....,..,. pplies, 1.m-less
revoked, to all UCFE and ucx records 111:len -,�ansJ_!rabl�

The records listed below will be trw·:Nhec1�::&, "MA ..
accountability 3 years after final action (11lciuding·appeals or
court action) on the claim, or such records 'llay be transferred in
less than the 3-year period if reproduced in accordance with
appropriate reproduction standards outline in this Chapter. With
respect to overpayment records, fraudulent or nonfraudulent, the
date the overpayment is written off is considered to be the date
on which final action took place. After the transfer is
completed, SESA will follow its State law for disposal of records
identified as follows:
(a) Individual claim files consisting of new,
additional, reopened, and continued claims for UC: determinations
of entitlement: reports of interviews:·claim record forms: and
other related documents, records, and correspondence.
(b) Appeal records consisting of petitions
appealing UC determinations: copies of subpoenas; notices and
transcripts of hearing: exhibits: decisions: and other related
documents, records, and correspondence.
(c) Claimant payment records consisting of
benefit history files (e.g., ledger cards or sheets): canceled
checks, copies of checks, and check registers or simila�
controls: records of overpayment, underpayment, and adjustments:
and other related documents, records, and correspondence.
(d) Individual claim records relating to
administrative penalties and criminal prosecution in cases of
fraudulent claims.

a.

QCPB/QCI - standards for the Maintenance of Records.

The following standards apply to the maintenance of UCFE and
x-20

APRIL 1994

QCPB INSTRQC'l'IQIS PQR STA'l'B AGBNQIBS

ucx

records:

a.
stan4arda. When reproducing permanently valuable
records, in order to dispose of the originals--

Cl) The integrity of the original records will be
preserved on the copies. This implies that the copies will
be adequate substitutes for the original records in serving
the purposes for which such records were created or maintained.
More specifically, the term "integrity of the records" means
that:
(a) The copies will be so arranged, identified,
and indexed that an individual document or component or a record
series can be located with reasonable facility: and
(b) The copies will contain all significant
record detail needed for probable future reference.
(2) The method used will comply with the appropriate
specifications for permanent records.
(3)
The provisions for preserving, examining, and
using the copies of the original records will be adequate.

b.
Safeguard. The SESA should assure that the quality of
records are maintained in accordance with the information
provided above. The maintenance of UCFE records should be of the
same quality as that required of other State UC records.
9.

UCPB Reporting

a.
The Unemployment Insurance Service (UIS) of the ETA
National Office requires the State agencies to submit many of its
reports electronically. Reporting requirements pertaining to
UCFE electronic submittals are contained in ETA Handbook No.401.
It is the policy of the UIS to assure accuracy, uniformity, and
comparability in the reporting of statistical data derived from
State UC operations through State adherence to Federal
definitions of reporting items, use of specific formats,
observance of reporting due dates, and regular verification of
reporting items.
b.
UCFE claimant activity is submitted electronically by
state agencies in the following reports:
x-21

APRIL 1994

... • - -- .

·--·- ··-··-·-•·.- .. ---

f
: :
1

_

' .... .... •·•· ---

-�- -· -

···-

QQII IUTRQC'l'IQIS lOB STATB MIIIQIII
(1) ETA 539 Report, Weekly Claims and Extended
Benefits Trigger Data

10.

(2)

ETA 5159 Claims and Payment Activities

(3)

ETA 5130 Benefit Appeals Report

(4)

ETA 207 Nonmonetary Determinations Report

(5)

ETA 218 Benefit Rights and Experience

rrequency of Report■•
a.
ETA 539 reports should

be submitted by State agencies
on a weekly basis to the ETA National Office by the opening of
business Thursday following the week in which the claims were
filed.
b.
ETA 5159 reports should be submitted by State agencies
to the ETA National Office on the 15th day of the month following
each calendar month to which it relates.
c.
ETA 5130 reports should be submitted by State agencies
to the ETA National Office by the 20th day of the month following
month to which it relates.
d.
ETA 207 reports should be submitted by State agencies
to the ETA National Office on the 15th day of the month following
the quarter to which it relates.
e.
ETA 218 reports should be submitted by State agencies
to the ETA National Office on the 25th day of the first month
following the quarter to which it relates.

f.
Form ETA-221. oVerpavment Detection/Recovery
es.
Form ETA-227 provides information on determinations,
c
v
A ti iti
overpayments, recoveries of overpayments on intrastate and liable
interstate claims under State UC and UCFE claims programs.
The SESA's accomplishments in principal detection areas of
benefit payment control are shown in the ETA-227 report. The ETA
and State agencies need such information to ensure that benefit
payments are properly made. Data are provided for criminal and
civil actions involving benefit overpayments obtained
fraudulently, and an aging schedule of outstanding benefit
overpayment accounts is included.
x-22

APRIL 1994

QQPB IRSTRQCTIQIIS PQB ID'II AGBRCIBS
(1). Frequency
report is due quarterly.
Report for Calendar
ouarter Ending

March 31
June 30
September 30
December 31

of

the Form ETA 221 Report.

The ETA-221

May 1
August 1
November 1
February 1

(2). Submittal of the Form ETA 227 Report. One copy of
the Form ETA-227 should be sent to the appropriate Regional
Office; the original and one copy should be sent to:
U.S. Department of Labor
Employment and Training Administration
ATTN: TEURA-Reports, Room S-4519 FPB
200 Constitution Avenue, N.W.
Washington, o.c. 20210

HQll:
Detailed instructions for preparing Form ETA-227 may be
found in ES Manual, Part III, Chapters 5600-5799 and Chapters
12400-12402.

X-23

APRIL 1994

-

----- -----·.

___

UCPI INSTBJJC'l'IQNS PQB 1%1%1 IQIHCIIS
11.
bll

lfl s3t Report, •••kly c11i•• 110 11t110,o Benefit• Triqq•r
ITA Slt • CLAJJCS AND IITINID IINIFltS DATA

• •••••••••••••••••••••••••••••••••• ••• ••••••••••••••••••••••••••••••••••••••••••

UPOltT POil·HltJOD INDING
···
······· ···································UGIClll1
·······················ITATl1
·······-···
1

Week Rullber1
ICa
Clh
IBT1
AT1
STATUS,
COMMENTS•

leflected Week lnd11191 12/lt/1112
,1c,
IICI
IIHC1
IISIIC1
ICltl
rev,
IISCW1
IISIC111
18Ul1
MTa
MOit
0
Cl•
Alta
STATUS CHANG£ DATl1

••

X-24

••

APRIL 1994

pcrz
12.

"

JK8TROCTIOK8 PQB IDTI AGENCIES

ID 5151 Clai•• pd •1n11t 1atiyiti11

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X-25

APRIL 1994

··•·-·•·"·-

----·-�--· QCPB IlfSTRQCTIOHs PQR ITITI IQIHCIIS
� ..... , ..

13.

.. ...

: ,•

ITI 5130 Benefit Appeal• Report

♦
_____
_.,...__,,

U.S. Department of Lac»or
.,.......,.,_._aw.

8enlf4 ApplllS

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X-26

,:

... -,:
APRIL 1994

ocr1 JNSTRUCTIONS POR 8TA'1'1 AGBNCIBS
14.

ITA 201 Nonmonetary P1t1rminatio11 B•port

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X-27

APRIL 1994

QCPI INSTRQCTIONS FOR STATB AGBNCIES
15.

ITA 211 Benefit Right• ,no zmerienc•
lenlllt � and Exper1I111ce

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X-28

APRIL 1994

j

;J
'1

QCPI IBITBQC'J'IQNS FOB STATI AGINCIIS
.rorm ITA-221, ov1rpaym1nt P1t1ctiont11oov1a
Actiyiti11, 1191 1.
16.

____ ,

__ ----ft
--·- ♦

U.S. Departl'lleftt of Llllor

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X-29

,-. �;· ...... .,

APRIL 1994

QCPI IRSTRQCTIORS 198 IDTI AGBIQIII
11. Pora 111-222, overpan11t P•t1ctio1tB1cov1ry
Actiyiti••· Paa• 2.

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X-30

APRIL 1994

UCFI INSTRUCTIONS FOR STATI AGBNCIBS
18. Por11 ID-227, ov1rpau1nt P•t1ctiont1•cov1ry
1ctiviti11, Paq• 3.

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X-31

.-.�

..

. ...

APRIL 1994

·- -� .
QCPB IBSTBQCTIOJJS PQR S'l'A'l'B AGBKCIBS
CHAPTER XI - QCPB PQlfDIHG and BILLIKG
1.

QCPB PUp4ipq.

Public Law 96-499, the Omnibus Reconciliation Act of 1980,
amended the UCFE law (5 u.s.c. 8509) and requires Federal
agencies to reimburse the cost of UCFE for their former
employees. One of the primary reasons for passage of this Act
was to encourage Federal agencies to assume more responsibility
for managing its UCFE expenditures. P.L. 96-499 also established
within the Unemployment Trust Fund the "Federal Employees
Compensation (FEC) Account." The FEC Account operates as a
revolving account.
State agencies are required to requisition funds from the FEC
Account to cover anticipated benefit payment needs for all UCFE
claimants and reporting such payments for subsequent billing to
Federal agencies. Refer to UIPL 17-81 for more detailed
procedures on requisitioning UCFE funds.
2.

UCPE Billing.

a.
Porm BTA 191, statement of Bxpenditures of Federal
Funds for unemployment compensation for Federal Bmployees and Bx­
servicemembers (UCFB/UCX). Form ETA 191 is used by each SESA to
report to the National Office (NO):
(1) the quarterly summary UCFE expenditures and
adjustments (Section A); and
(2)
the total amount of benefits paid by the SESA to
claimants of specific agencies. Section B of the ETA 191 is the
only source document used to bill agencies for the recovery of
UCFE benefit expenditures.

Submitting the ETA 191 report timely has a major impact on
maintaining the solvency of the FEC Account. In order that the
Account operates successfully, it is dependent upon two of its
major components--the SESA and the Federal agency. Each SESA
withdraws resources from the FEC Account to cover the necessary
UCFE benefit payments. Quarterly, UIS bills those Federal
agencies based on the data contained in Section B of
the ETA 191 report. Each Federal agency deposits into the FEC
Account, on a quarterly basis, reimbursements of benefits that
have been paid to their employees or former employees. After
receipt of each quarterly ETA 191 report, the UIS/NO aggregates
the benefit payments by individual Federal agencies and bills
XI-1

APRIL 1994

- ........

_. ·-. . -.----�··-·-�-·----- . --. ·:·:·- ..

,
............

UCJB IISTRUCTIQU lQI STUB MIIQIBS
each accordingly. Quarterly, the NO certifies to the u. s.
Department of the Treasury the total amounts due from each
Federal agency.
b.

QU•

P•t• uo Tranuitta1

(1) Within 25 days after the close of each quarter,
Form ETA 191 is to be transmitted electronically to the DOL,
Employment and Training Administration. If a SESA unable to
transmit the Form ETA 191 electronically, it may be sent to the
following address:

u. s.

·Department of Labor
Employment and Training Administration
Attn: TEURA--Reports
200 Constitution Avenue, N.W.
Rm. 4519
Washington, o.c. 20210

c.
Use of Computer Printouts. A computer printed output
may be used in place of supplied report forms if they are
arranged in the same format and data items are clearly labeled.
A computer printout page size of 8 1/2" x 11" is preferred, but
sizes up to 11" x 14 3/4" are acceptable.
d.

general

Instructions

(1) Requisitioning Funds from the Federal Employees
Compensation Account. State agencies are required to requisition
funds from the FEC Account to cover anticipated benefit payment
needs for all UCFE claimants. These electronic requests are
received by the Financial Management Services, FUnds Accounting
Branch, U.S. Department of the Treasury. To prevent the build up
of excessive balances in local banks, requisitions and transfers
of funds should be made on a daily basis.
(2)
Providing Information to Federal Agencies.
Pursuant to the Secretary's authority in 5 USC 8509 (f), State
agencies will continue to, for purposes of this Act, provide
appropriate personnel/payroll offices of Federal agencies with a
copy of all determination notices, including appeals, that are
now provided to a private employ�r, as instructed by Sections
6662 and 8692, Part V of the ES Manual. The SESA should be
prepared to furnish the Federal agencies, upon their request,
with detailed benefit payment data, which supports the charges
contained in Section B of Form ETA 191. State agencies will
provide the certified documentation directly to those Federal
agencies that have requested the benefit payment data. These

XI-2

APRIL 1994

QCPB IHSTRQC'l'IQII PQR l'l'A'J'I AQBHCIBS
agencies are listed in the unemployment insurance program letter
entitled, "Directory of Federal (Civilian) and Military Agencies
Requesting Quarterly UCFE and ucx Detailed Benefit Payment Data."
(3)

correcting Errors Made in a Prior ouarter.

Corrections should be reported on the ETA 191 to UIS as soon
as possible. A timeframe of 2 years, from the time that the
error occurred, has been established as .sufficient time for
adjustments to be made. state agencies are to correct improper
charges made to Federal agencies by increasing or decreasing the
agency's charges in a subsequent ETA 191 report. In· cases where
there may not be charges in a following quarter, only the
corrective entry should be reported. State agencies are not to
submit more than one Form ETA 191 report per quarter.
e.

Item by Item Instructions

(1)
Adjustments

Section A.

Summary Statement of Expenditures and

(a) Item 1. Benefit Expenditures. Include
in the appropriate columns all UCFE unemployment compensation
benefits paid to eligible (as based on title 5 U. s. Code) former
employees during the reported quarter. These expenditures should
include "pure" UCFE (exclude State UI), joint, and supplemental
benefit payments.
(b)

Item 2.

Adjustments Assigned to Agencies

(1)
fa) Cancellations. Enter in the
appropriate UCFE column the total amount of any checks canceled
during the quarter which were reported as expenditures in prior
quarters. cancellations of checks drawn in the current quarter
are to be reflected in Item 1. All check cancellations are to
be reported as negative figures.

(2)
fbl Restoration of overpayments. Enter
in the appropriate UCFE column the total amount of resto­
rations made during the quarter of overpayment made in prior
quarters. Restorations of overpayment received during this
quarter and based on expenditures in the current quarter should
be reflected in Item 1. All restorations of overpayment should
be reported in as a negative figure.

(c) Other. Enter the total of
(3)
other adjustments in UCFE payments, such as over or understate­
ment of UCFE expenditures reported in prior quarters. Submit
XI-3

APRIL 1994

-·

QCll

·�

-

..

--

- -..

JBIDQQ'l'IQII JOB IS'ID MQCJII

an explanation of items in the appropriate section of the Form
ETA 191.

(c) Item 3. Total Assigned Expenditures and
Adjustments. Enter in the appropriate columns, the total amounts
of UCFE expenditures and adjustaents that are being charged to
Federal agencies during this reporting period. The figures
entered in this itUl for UCFE are the results of Items 1, 2(a),
2(b), and 2(c). These totals au■t aatch the totals reported in
Section B. The report cannot be sent electronically if the
totals do not match.

(d)
Item 4, Expenditures and Adjustments Not
Assigned to Agencies.
(1) Ca) Penalties and Interest. Enter the
total amount of penalty and interest (P&I's) received by the SESA
which results from any prior UCFE payments. These are to be
shown as a negative figure • . All recoupment resulting from P&I's.
are to be returned to the FEC Account. If the P&I's are based on
an overpayment of benefits that was drawn from the Federal
Unemployment Benefits and Allowances Account, such amounts are to
be returned to the DOL.

(2) other--Explain in comments. Enter in
the appropriate UCFE column any adjustments that were not
included in Item 4(a). For example, list adjustments to a UCFE
charge that occurred more than 2 years after the quarter in which
the initial payment was made or an agency for which a 3-Digit
Federal Agency Code has not been assigned. In the latter case,
include in the comments section both, the agency name, and total
amount of benefits for each agency.
(e} Items. 'l'otal Expenditures and Adjustments
s
Not A signed to Agencies. In the UCFE column, enter the results
of Items 4(a) and 4(b).

•

(f) Item§, Grand Total--Expenditures and
Adjustments. Enter total expenditures for the quarter by
calculating Item 3 and Item 5
(2)

section B,

statement of Expenditurts

(a) Enter in Column l the 3-Digit Federal Agency
Code which has been assigned to each Federal agency. For each
agency, being charged during the reporting quarter, there should
be a separate entry in this column. If the 3-Digit Federal
Agency Code is unknown, report the benefits under Section A, Item
4 (b) •

XI-4

APRIL 1994

......

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Since the 3-Digit Federal Agency Codes are the major element used
in billing Federal agencies, accuracy in this area is of
paramount importance.

(b) Enter in Column 2 the name of the agency
being charged. The name of the agency should correspond with the
3-Digit Federal Agency Code in Column l.

(c) Enter in Colman 4, the total amount of
UCFE benefits being charged to the Federal •genciea listed in
Column 1. Charges to Federal agencies will include adjustments
for restoration of Federal funds resulting from cancellation of
checks, recoupment of overpayment, ate. Therefore, the sum of
UCFE benefit charges must be equal the amount found in the UCFE
column of Section A, Item 3 (UCFE).

f.
certification. The provision of part IV, section 7003,
with respect to the certification of financial reports, applies
equally to Form ETA 191. Pursuant to that provision, financial
reports should be certified by an individual whose certificate of
authorization is on file with the national office. Therefore, each SESA should provide UIS with amended or additional
certifications as required in accordance with part IV, sections
0640-0649.

g.
3-Digit r•O•ral M•nqy coo••· 3-Digit Federal Agency
Codes identifying each Federal agency are listed on the following
pages. Additional agencies with their corresponding 3-Digit
Federal Agency Code will be added to the list as necessary.
State agencies will use these 3-Digit Federal Agency Codes to
identify All claim records and claim forms of claimants who
performed Federal service in his/her base period. If, after
using The United states Government Manual. and an agency cannot
be identified with a code, the total amount of these expenditures
should be reported as "not assigned," and included in the
appropriate column of �tem 4 (b). The name of the agency, and
the total amount of benefits paid should be provided in the
comments section •
.HQll:
Refer to Part V, ES Manual, Section 9336, for more
detailed reporting instructions for the ETA 191 Report.

XI-5

APRIL 1994

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QCII IIIDQC'IIQII lQll l'IAD ACfAQIII
UUIPII A - ll'ILI I - IICTIQMI 1101-1101, P,I, Cott, M MIIPIP,
UQIIPIQJJlll'I QOJIPIJIU'IIQM IOI DPIUL IIIIQXIII•
••ation 1101, QefinitJn•

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For the purpose of this subchapter
(1) "Federal service" means service performed after 1952 in the
employ of the United States or an instrumentality of the United
States which is wholly or partially owned by the United States,
but does not include service (except service to which subchapter
II of the chapter applies) performed

(A)
branch;

by an elective official in the executive or legislative

(B)
as a member of the armed forces or the Commissioned
Corps of the National Oceanic and Atmospheric Administration:

(C) by members of the Foreign Service for whom payments are
provided under Section 609(b)(l) of the Foreign Service Act of
1980;

(D)
outside the United States, the Commonwealth of Puerto
Rico, and the Virgin Islands by an individual who is not a
citizen of the United states;
(E)
by an individual excluded by regulations of the Office
of Personnel Management from the operation of subchapter III of ..
chapter 83 of this title because he is paid on a contract or fee.
basis;
(F)
by an individual receiving nominal pay and allowances
of $12 or less a year;

(G)
in a hospital, home, or other institution of the United
States by a patient or inmate thereof;

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APRIL 1994

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QCII IMIIBQC'l'IQll8 IOI IIAU AqBIIQJII
(H) by a student-employee as defined by section 5351 l/ �f
this title;

(I) by an individual serving on a temporary basis in case
of fire, storm, earthquake, flood, or other similar emergency;

by an individual -ployed under a Federal relief
(J)
program to relieve him fro• unemployment:

(K) as a member of a state, county, or cOJIIDlunity coDIJllittee
under the Agricultural Stabilization and Conservation service or
of any other board, council, coDIJllittee, or other similar body,
unless the board, council, coDIJllittee, or other body is composed
exclusively of individuals otherwise in the full-time employ of
the United States: or

(L) by an officer or a member of the crew on or in connec­
tion with an American vessel -(i)

owned by or bareboat chartered to the United
states: and

(ii) whose business is conducted by a general agent of
the Secretary of CoDIJllerce;
if contributions on account of the service are required to be
made to an unemployment fund under a State unemployment compensa­
tion law under section 3305(g) of title 261
(2) "Federal wages" means all pay and allowances, in cash and 'in
kind, for Federal service:
l/

reprinted from section· 5351:

"student-employee" means --

(a)

a student nurse, medical or dental intern, resident-in­
training, student dietitian, student physical therapist, and
student occupational therapist, assigned or attached to a
hospital, clinic, or •edical or dental laboratory operated
by an agency: and

(b)

any other student-employee, assigned or attached primarily
for training purposes to a hospital, clinic, or medical or·
dental laboratory operated by an agency, who is designated
by the head of the agency with the approval of the Office of
Personnel Management.
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APRIL 1994

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-

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JJCll IIIDPCTIQII IOI l'IIU IQUQIII
(3) "Federal employee" means an individual who has performed
Federal service,
(4) "compensation" means cash benefits payable to an individual
with respect to hi• unemployaant including any portion thereof
payable with respect to dependents,·
(5) "benefit year" means the benefit year as defined by the
applicable State unuaployment compensation law, and if not so
defined the term means the period prescribed in the agreement
under this subchapter with a State or, in the absence of such an
agreement, the period prescribed by tbe Secretary of Labor,

(6) "State" means the several States, the District of Columbia,
the Co1D1Donwealth of Puerto Rico, and the Virgin Islands:

(7) "United states", when used in a geographical sense, means
the States: and ..

(8) "base period" means the base period as defined by the
applicable State unemployment compensation law for the benefit
year.

section asoa, co■p1n1ation unt•r stat• ur•w•nt

(a) The Secretary of Labor, on behalf of the United States, may
enter into an agreement with a State, or with an agency adminis­
tering the unemployment compensation law of a State, under whichi­
the State agency shall-( 1) pay, ast"'agent of the united states, · -compensation under
this subchapter to Federal employees: and
(2) otherwise cooperate with the Secretary and with other
State agencies in paying compensation under this aubchapter.
(b) The agreement shall provide that compensation will be paid
by the State to a Federal employee in the same amount, on the
same terms, and subject to the same conditions as the compensa­
tion which would be payable to him under the unemployment compen­
sation law of the State if his Federal service and Federal wages
assigned under section 8504 of this title to the State had been
included as employment and wages under that State law.
[ (c)

Repealed.]

(d) A determination by a State agency with respect to entitle­
ment to compensation under an agreement is subject to review in
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APRIL 1994

- •··- --· ·-. ------POD IUDQO'l'IQU IOI IIUI 19AQIII
the same manner and to the same extent as determinations under�
the State unemployment compensation law, and only in that manner
and to that extent.

(e) Each agreement shall provide the terms and conditions on
which it may be amended or terminated.

••atiop 8503. OP•P•P••tion

MIIPt

•t•t• ur•-•t

(a) In the case of a Federal employee whose Federal service and
F.ederal wages are assigned under section 8504 of this title to a
State which does not have an agreement with the Secretary of
Labor, the Secretary, under regulations prescribed by him, shall,
on the filing by the Federal employee of a claim for compensation
under this subsection, pay compensation to him in the same
amount, on the same terms, and subject to the same conditions as
would be paid to him under the unemployment compensation law of
the State if his Federal service and Federal wages had been
included as employment and wages under that State law. However,
if the Federal employee without regard to his Federal service and
Federal wages, has employment or wages sufficient to qualify for
compensation during the benefit year under that State law, then
payments of compensation under this subsection may be made only
on the basis of his Federal service and Federal wages.
(b) A Federal employee whose claim for compensation under
subsection (a) of this section is denied is entitled to a fair
hearing under regulations prescribed by the Secretary with
respect to entitlement to compensation under this section is
subject to review by the courts in the same manner and to the
same extent as is provided by section 405(g) of title 42.

section

aso,. l••igmp•nt of r•4•ral ■ervice and wag••

Under regulations prescribed by the Secretary of Labor,
Federal service and Federal wages of a Federal employee
assigned to the State in which he had his last official
in Federal service before the filing of his first claim
compensation for the benefit year. However --

the
shall be
station
for

(1) if, at the time of filing his first claim, he resides
in another State in which he performed, after the termination of
his Federal service, service covered under the unemployment
compensation law of the other State, his Federal service and
°Federal wages shall be assigned to the other State, and
A-4

APRIL 1994

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VQll IQTRQCTIQII lOB ITUI IQIIQIII
(2) if his last official station in Federal service, before
filing his first claim, was outside the United States, his
Federal service and Federal wages shall be assigned to the State
where he resides at the time he files his first claim.

11ction a505, •m•nt■ to stat••·

(a) Each State is entitled to be paid by the United States with
respect to each individual who•• base period wages included
Federal wages an amount which shall bear the same ratio to the
total amount of compensation paid to such individual as the
amount of his Federal wages in his base period bears to the total
amount of his base period wages.

(b) Each State shall be paid, either in advance or by way of
reimbursement, as- may be determined by the Secretary of Labor,
the sum that the Secretary estimates the state is entitled to
receive under this chapter for each calendar month. The sum
shall be reduced or increased by the amount which the Secretary
finds that his/her estimate for an earlier calendar month was
greater or less than the sum which should have been paid to the
State. An •stimate may be made on the basis of a statistical
sampling, or other method agreed on by the Secretary and the
State agency.

(c) The Secretary, from time to time, shall certify to the
Secretary of the Treasury the sum payable to each State under
this section. The Secretary of the Treasury, before audit or
settlement by the General Accounting Office, shall pay the State...
in accordance with . the certification from the funds for carrying
out the purposes pf this subchapter.

•

(d) Money paid a State under this subchapter may be used solely
for the purposes for which it is paid. Money so paid which is
not used for these purposes shall be returned, at the time
specified by the agreement, to the Treasury of the United States
and credited to current applicable appropriations, funds, or
accounts from which payments to States under this subchapter may
be made.
(e)

An agreement may --

(1) require each State officer or employee who certifies
payments or disburses funds under the agreement or who otherwise
participates in its performance, to give a surety bond to the
United States in the amount the Secretary considers necessary;
and
A-5

APRIL 1994

QQD IIITBQCTJQJl8

roi�:iun·· iJDCJIS

(2) provide for payment of the cost of the bond from funds
for carrying out the purposes of this subchapter.
(f) In the absence of gross negligence or intent to defraud the
United States, an individual designated by the Secretary, or
designated under an agreement, as a certifying official is not
liable for the payment of compensation certified by him under
this subchapter.

(g) In the absence of gross negligence or intent to defraud the
United States, a disbursing official is not liable for a payment
by him under this subchapter if it was based on a voucher signed
by a certifying official designated as provided by subsection (f)
of this section.

(h) For the purpose of payments made to a State under subchapter
III of chapter 7 of title 42, administration by a State agency
under an agreement is deemed a part of the administration of the
State unemployment compensation law.

section aso,, Pi11uination of Jnforaation.

(a) Each agency of the United States and each wholly or partial­
ly owned instrumentality of the United States shall make avail­
able to.State agencies which have agreements under this subchap­
ter, or to the Secretary of Labor, as the case may be, such
information concerning the Federal service and Federal wages of a
Federal employee as the Secretary considers practicable and
necessary for the determination of the entitlement of the Federal
employee to compensation under this subchapter. The information
shall include the findings of the employing agency concerning
(1) whether or not the Federal employee has performed
Federal service1
(2)

(3)

(4)

the periods of Federal service1

the amount of Federal wages1 and
the reasons for termination of Federal service.

The employing agency shall make the findings in the form and
manner prescribed by regulations of the Secretary. The regula­
tions shall include provision for correction by the employing
agency of errors and omissions. This subsection does not apply
with respect to Federal service and Federal wages covered by
subchapter II of this chapter.
A-6

APRIL 1994

. . .. . ·-· ·

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..

-·

.•.

· - -· ··· .

IIIDJJCTloXI lQR l'IITI ICIIIQIII

(b) The agency administering the unuaplo)'Jllent compensation law
of a state shall furnish the Secretary auch information as he
considers necessary or appropriate in carrying out this subchap­
ter. The information is deemed the report required by the
Secretary for the purpose of aection 503(a)(6) of title 42.

section 8so1, r•i•• atat-nt• ut li1rur11•ntation1.-

 If a state agency, the Secretary of Labor, or a court of
competent jurisdiction finds that an individual--

Cl) knowingly has made, or caused to be made by another, a
false statement or representation of a material fact, or knowing­
ly has failed, or caused another to fail, to disclose a material
fact; and
·•
(2) as a result of that action has received an amount as
compensation under this subchapter to which he was not entitled;
the individual shall repay the amount to the state agency or the
Secretary. Instead of requiring repayment under this subsection,
the State agency or the Secretary may recover the amount by
deductions from compensation payable to the individual under this
subchapter during the 2-year period after the date of the find­
ing. A finding by a State agency or the Secretary may be made
only after an opportunity for a fair hearing, subject to such
further review as may be appropriate under sections 8502(d) and
8503(b) of this title.
(b) An amount repaid under subsection (a) of this section shall-,
be --

--

(1) deposited in the fund from which payment was made if
the repayment was to a State agency: or

(2) returned to the Treasury of the United States and
credited to the current applicable appropriation, fund, or
account from which payment was made, if the repayment was to the
Secretary.

11ction

8soa, ·Regulation•.

The Secretary of Labor may prescribe rules and regulations
necessary to carry out this subchapter and subchapter II of this
Chapter. The Secretary, insofar as practicable, shall consult
with representatives of the State unemployment compensation
agencies before prescribing rules or regulations which may affect
A-7

APRIL 1994

_ ....

- -· . -

VCD IIIDWll911191 IT&D MIIQIII
the performance by the State agencie• of functions under agre�
ments under this aubchapter.

11ctiop 1101,

1101ra1 •1oy111 eop1n■atiop &ccoupt.

(a) The Federal Employees Compensation Account (as established
by section 909 of the Social Security Act, and hereafter in this
section referred to a the •Account•) in the Unemployment Trust
Fund (as established by section 904 of such Act) shall consist
of( 1)
(2)

funds appropriated to or transferred thereto, and

amounts deposited therein pursuant to subsection (c).

(b) Moneys in the Account shall be available only for the
purpose of making payments to States pursuant to agreements
entered into under this chapter and making payments of compen­
sation under this chapter in States which do not have in effect
such an agreement.

{c)(l) Each employing agency shall deposit into the Account
amounts equal to the expenditures incurred under this aubchapter
on account of Federal service performed by employees and former
employees of that agency.

(2) Deposits required by paragraph (1) shall be made during
each calendar quarter and ·the amount of the deposit to be made by
any employing agency during any quarter shall be based on a
determination by the Secretary of Labor as to the amounts of
payments, made prior to such quarter from the Account based on
Federal service performed by employees of such agency after
December 31, 1980, with respect to which deposit has not previ­
ously been made. The amount to be deposited by any employing.
agency during any calendar quarter shall be adjusted to take
account of any overpayment or underpayment of deposit during any
previous quarter for which adjust:aent has not already �en made.

(d) 'l'he Secretary of Labor shall certify to the· Secretary of the
Treasury the amount of the deposit which each employing agency is
required to make to the Account during any calendar quarter, and
the Secretary of the Treasury shall notify the Secretary of Labor
as to the date and amount of any deposit made to such Account by
any such agency.

(e) Prior to the beginning of each fiscal year (commencing with
the fiscal year which begins October 1, 1981) the Secretary of
Labor shall estimate A-8

APRIL 1994

-

vcn 111Dwr1011ro11irm·1ca11c11s
(1) the amount of expenditure• wbicb will be made from tbe
Account during such year, and
(2) the amount of funds which will be available during such
year for the making of such expenditures, and if, on the basis of
such estimate, he determines that the account described in
paragraph (2) is in excess of the amount necessary
and

(3)

to meet the expenditures described in paragraph (1),

(4) to provide a reasonable contingency fund so as to
assure that there will, during all times in such year, be suffi­
cient sums available in the Account to meet the expenditures
described in paragraph (1), he shall certify the amount of such
excess to tbe Secretary of the Treasury and the Secretary of the
Treasury shall transfer, from the Account to the general fund of
the Treasury, an amount equal to such excess.

(f) The Secretary of Labor is authorized to establish such rules
and regulations as may be necessary or appropriate to carry out
the provisions of this section.

(g) Any funds appropriated after the establishment of the
Account, for the making of payments for which expenditures are
authorized to be made from moneys in the Account, shall be made
to the Account; and there are hereby authorized to be appropriat­
ed to the Account, from time to time, such sums as may be neces­
sary to assure that there will, at all times, be sufficient sums
available in the Account to meet the expenditures authorized to
be made from moneys therein.
(h) For purposes·of this section, the term •Federal service•
includes Federal service as defined in section 8521(a).

A-9

APRIL 1994

.... ·---· --·-· .......

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QCU IDDJJC'IIQIIS ··1QB·· 1t1'ni ACIQCJII
.PDIPII I - IMT fQI - QIIIIQLOJQff CQRIDUJQI 101 UPIUL ··
CIVILIM QPJDXIII
Subpart A--General Provision
§

609.1

Purpose and application.

Click here for an online version!

(a) PUrpose. Subcbapter I of chapter 85, title 5 of the
United states Code, as aaended by Pl.lb. L. 94-566, 90 stat. 2667,
5 u.s.c. 8501-8508, provides for a permanent progrq of unemploy­
ment compensation for uneaployed Federal civilian eaployees. The
unemployment compensation provided for in Subcbapter I is herein­
after referred to as unemployment compensation for Federal
employees, or UCFE. The regulations in this part are issued to
implement the UCFE Prograa.
(b) First role of construction. The Act and the impleaent­
ing regulat�ons in this part shall be construed liberally so as
to carry out the purposes of the Act.

(c) Second rule of construction. The Act and the imple­
menting regulations ·in this part shall be construed so as to
assure insofar as possible the uniform interpretation and appli­
cation of the Act throughout the United States.
(d)

Effectuating purpose and rules of construction.

(1) In order to effectuate the provisions of this
section, each State agency shall forward to the United States
Department of Labor (hereafter Department), not later than 10 ·�
days after issuance, a copy of each judicial or administrative
decision ruling on an individual's entitlement to payment of UCFE
or to credit for a waiting period. on request of the Department,
a State agency shall forward to the Department a copy of any
determination or redetermination ruling on an individual's
entitlement to UCFE or waiting period credit.

(2) If the Department believes that a determination,
redetermination, or decision is inconsistent with the Department's interpretation of the Act or this part, the Department may
at any time notify the State agency of the Department's view.
Thereafter the State agency shall issue a redetermination or
appeal if possible, and shall not follow such determination,
redetermination, or decision as a precedent; and, in any subsequent proceedings which involve such determination, redetermination, or decision, or wherein such determination, redetermination, or decision is cited as precedent or otherwise relied upon,
the State agency shall inform the claims deputy or bearing
officar or court of the Department's view and shall make all
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APRIL 1994

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.

_______

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·-· · · -·

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PQll IIIDPQTIQIS 101 IDD AQIIQIII

..

reasonable efforts, including appeal or other proceedings in an
appropriate forum, to obtain aodification, limitation, or over­
ruling of the deteraination, redetermination, or decision.

(3) If the Department believes that a determination,
redetermination, or decision is patently and flagrantly violative
of the Act or this part, the Department aay at any time notify
the state agency of the Departaent•• view. If the determination,
redetermination, or decision in question denies UCFE to a claim­
ant, the steps outlined in paragraph (d)(2) of this section shall
be followed by the state agency. If the determination, redeter­
mination, or decision in question awards UCFE to a claimant, the
benefits are "due" within the meaning of section 303(a)(l) of the
Social Security Act, 42 u.s.c. 503(a)(l), and therefore must be
paid promptly to the claimant. However, the State agency shall
take the steps outlined in paragraph (d)(2) of this section, and
payments to the claimant may be temporarily delayed if redetermi­
nation or appeal action is taken not more than one business day
following the day on which the first payment otherwise would be
issued to the claimant; and the redetermination action is taken
or appeal is filed to obtain a reversal of the award of UCFE and
a ruling consistent with the Department's view, and the redeter­
mination action or appeal seeks an expedited redetermination or
appeal within not more than two weeks after the redetermination
action is taken or the appeal is filed. If redetermination
action is not taken or appeal is not filed within the above time
limit, or a redetermination or decision is not obtained within
the two-week limit, or any redetermination or decision or order
is issued which affirms the determination, redetermination, or
decision awarding UCFE or allows it to stand in whole or in part,
the benefits awarded must be paid promptly to the claimant.
(4)(i) If any determination, redetermination, or decision,
referred to in paragraph (d)(2) or paragraph (d)(3) of this
section, is treated as a preced•nt for any future UCFE claim or
claim under the UCX Program (Part 614 of this chapter), the
Secretary will decide whether the Agreement with the State
entered into under the Act shall be terminated.

(ii) In the case of any determination, redetermination, or
decision that is not legally warranted under the Act or this
Part, including any determination, redetermination, or decision
referred to in paragraph (d)(3) of this section, the Secretary
will decide whether the State shall be required to restore the
funds of the United States for any sums paid under such a deter­
mination, redetermination, or decision, and whether, in the
absence of such restoration, the Agreement with the State shall
be terminated and whether other action shall be taken to recover
such sums for the United States.
B-2

APRIL 1994

--�-----.
ICU IIIDPOTIQII lQR ITl'O ICfAQIII
(5) A State agency may request reconsideration of a notice
issued pursuant to paragraph (d)(2) of paragraph (d)(J) of this.
section, and shall be given an opportunity to present views and
arguments if desired.
(6) Concurrence of the Departlllent in a determination,
redetermination, or decision shall not be presumed fro■ the
absence of a notice issued pursuant to this section.
§ 609.2 Definitions of term.·

For the purposes of the Act and this part:

(a) Act means subchapter I of chapter 85, title 5, United
states Code, 5 u.s.c. 8501-8508.

(b) Agreement means the agree■ent entered into pursuant to
the Act between a State and the Secretary under which the state­
agency of the State agrees to make payments of unemployment
compensation in accordance with the Act and the regulations and
procedures thereunder prescribed by the Department.
(c) Based period means the base period as defined by the applicable State law for the benefit·year.
(d) Benefit year means the benefit year as defined by the
applicable state law, and if not so defined the term means the
period prescribed in the agreement with the State or, in the
absence of an Agree■ent, the period described by the Department,

(e) Federar-agency means any department, agency, or govern­
mental body of the United States, including any instrumentality
wholly or partially owned by the United States, in any branch of
the Government of the United States, which employs any individual
in Federal civilian service.
(f) Federal civilian service means service performed in the
employ of any Federal agency, except service performed(1) By an elective official in the executive or
legislative branches of the Government of the United States;

(2) As a member of the Armed Forces· or the Commis- ,
sioned Corps of the National Oceanic and Atmospheric Administra­
tion;
B-3

APRIL 1994

..

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:

;
l

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·---� . -

VQII lll'IIVQ'IIOQ 191 ID'II MIICIII
(3) By Foreign Service personnel for whom special
separation allowances are provided under chapter 14 of title 22
of the United States Code:

( 4) outside the so States, the Commonwealth of Puerto;
Rico, the Virgin Islands, and the District of Columbia by an
individual who is not a citizen of the United States:
(S)
By an individual excluded by regulations of the
Office of Personnel Management from civil service retirement
coverage provided by Subchapt�r III of chapter 83 of title S of
the United States Code because the individual is paid on a
contract or fee basis:

(6)
By an individual receiving nominal pay and allow­
ances of $12 or less a year:

(7)
In a hospital, h�me, or other institution of the
United States by a patient or inmate thereof:

(8) By a student-employee as defined by S u.s.c. 5351;
that is: (i) A student nurse,. medical or dental intern, resi­
dent-in-training, student dietitian, student physical therapist,
or student occupational therapist, assigned or attached to a
hospital, clinic, or medical or dental laboratory operated by an
agency as defined in section 5351; or (ii) Any other student-emp­
loyee, assigned or attached primarily for training purposes to
such a hospital, clinic, or medical or dental laboratory operated
by such an agency, who is designated by the head of the agen_cy
with the approval of the Office of Personnel Management:
(9 )
By an individual serving on a temporary basis in
case of fire, storm earthquake, flood, or other similar emergen­
cy:

(10) By an individual employed under a Federal relief
program to relieve the individual from unemployment:
(11) As a member of a State, county, or community
committee under the Agricultural Stabilization and conservation
Service or of any other board, council, committee, .or other
similar body, unless such body is composed exclusively of indi­
viduals otherwise in the full-time employ of the United States:
(12) By an officer or member of the crew on or in
connection with an American vessel which is:

states, and

(i)

owned by or bareboat chartered to the United
B-4

APRIL 1994

. , . . ,...

JJCD

...

________ ____

___

. .

.

: .. -.... -· - ·:..::..-..::··�-···

IIIDJJC'll9WI JOB

.. .

,,an

MQCJII

(ii) 'l'he business of which is conducted by a
general agent of the Secretary of Cmmilerce: and
(iii) If contributions on account of sucb service
are required under section 3305(g) of the Internal Revenue Code
of 1954 (26 u.s.c. 3305(g)) to be -de to an unemployment fund
under a State law:

(13) By an individual excluded by any other Federal
law from coverage under the UCFE Program: or

(14) By an individual whose service is covered by the
ucx Program to wbicb Part 614 of this chapter applies.
(g) Federal employee aeans an individual wbo bas performed
Federal civilian service.

(h) Federal findings means the facts reported by a Federal
agency pertaining to an individual as to:
(1) Whether or not tbe individual bas performed
Federal civilian service for sucb an agency:
service:

(2)

The-period or periods of sucb Federal civilian

(3)

The individual's Federal wages: and

(4) The reasons for termination of the individual's
Federal civilian service.
(i) Federal wages means all pay and allowances, in cash and
in kind, for Federal civilian service.
(j) First claim means an initial claim for unemployment
compensation under the UCFE Program, the ucx Program (Part 614 of
this chapter), a State law, or some combination thereof, whereby
a benefit year is established under an applicable state law.
(k) Official station means the State (or country,. if
outside tbe United States) designated on a Federal employee••·
notification of personnel action terminating the individual's
Federal civilian service (Standard Form 50 or its equivalent) as
tbe individual's "duty �tation." If the form of notification does
not specify tbe Federal employee's •duty station", the individu­
al's official station shall be the State or country designated
under "name and location of employing office" on such form or
designated as the individual's place of employment on an equiva­
lent form.

B-5

APRIL 1994

•

QCD

(1)
States.

IIIDJJCTIQU

roa 8!',1'1'1 MIIQIII

Secretary aeana the Secretary of Labor of the United

(a) State aeans the 50 States, the District of Columbia,
the Commonwealth of Puerto Rico, and the Virgin Islands.

(n) State agency aeans the agency of the State which
administers the applicable State law and is aclministering the
UCFE Program in the State pursuant to an Agreement with the
Secretary.

(o)(l) State Law aeans the unemployment coapensation law of
a State approved by the Secretary under section 3304 of the
Internal Revenue Code of 1954, 26 u.s.c. 3304 if the State is
certified under section 3304(c) of the Internal Revenue Code of
1954, 26 u.s.c. 3304(c).

(2) Applicable State law aeans the State law made
applicable to a UCFE claimant by§ 609.8.

(p)(l) Unemployment compensation means cash benefits
(including dependents• allowances) payable to individuals with
respect to their unemployment, and includes regular, additional,
emergency, and extended compensation.
(2)
Regular compensation means unemployment compensa­
tion payable to an individual under any State law, but not
including additional compensation or extended compensation.

(3) Additional compensation means unemployment compen­
sation totally financed by a State and payable under a State law
by reason of cond4tions of high unemployment or by reason of
other special factors.
(4) Emergency compensation means supplementary unem­
ployment compensation payable under a temporary Federal law after
exhaustion of regular and extended compensation •

. (5) Extended compensate means unemployment compensa­
tion payable to an individual for weeks of unemployment in an
extended benefit period, under those provision• of a State law
which satisfy the requirements of the Federal-State Extended
Unemployment Compensation Act of 1970, as amended, 26 u.s.c. 3304
note, and Part 615 of this chapter, with respect to the payment
of extended compensation.
Week means, for purposes of eligibility for and payment
(q)
of UCFE, a week as defined in the applicable State law.
B-6

APRIL 1994

- ·-·

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QQll IUTBQ.TlO!i cj;-:-I

I .:.:- :- : : :: . : : : .

QCPI INSTRQCTIONS··roR 8TATI AGENCIIS
APPENDIX C - COVERAGE RULINGS

• U.S. Department of L.tbor

ucr£

£"''°'°"""• .,_, la,""'O AOlfW\,c•rc-·
100 Cona�Ol'I � NW
wasn,,,gio,, DC 20110

Prograa coverage aulint No. 92-1

Agricultural Proaotion loard• and Rarketing A9r1eNnt
and Order Adainiatrative Co•itt•••
Rulin9: Each of the below liated boards and couittee1 i• an
11nstruaentality of the United States• and aervice1 perforaed
in the employ of all such boards and,co111111ittees ii •rederal
service• within the meaning of S u.s.c. 8501(1): the National
Dairy Promotion and Research Board (7 u.s.c. 4S01-4Sl3: 7 CFR
Part llS0), the Honey Board (7 u.s.c. 4601-4612; 7 CFR Part
1240), the National Potato Promotion Board (7 u.s.c. 2611-2627;
7 CFR Part 1207), the Cotton Board (7 u.s.c. 2101-2118: 7 CFR
Part 120S), the National Pork Board (7 u.s.c. 4801-4819; 7 CFR
Part 1250), the Cattlemen's Beef Pro1110tion and Research Board
(7 u.s.c. 2901-2911, 7 CFR Part 1260), the £99 Board (7 u.s.c.
2701-2718; 7 CFR Part l2S0) and 44 marketing agreement and order
a dministrative committees (see enclosed list) established under
7 u.s.c. 601-674 (7 CFR Parts 90S-998). Melllbers of such boards
and committees who are appointed by the Secretary of Agriculture
are excluded from program coverage by S u.s.c. 8SOlllll�).

P:ior Rwlir.:: A r�l1n; on UCF£ pro;rarn cc�e:ase c! .. ar�e:ins
agreement and order administrative committees was 1ss�e: on
June 20, 19S7. This 1992 ruling supersedes the 19S7 ruling and
i• now controlling for UCFE program coverage purpose• of these
agricultural proaotion boards and aarketing agreeaent and
order administrative couitt•••• No aubsequent amendments to
title 7 of the United States Code have altered the nature or
characteristics of these boards and couittees upon which our
ruling was based. Nor bave there been any aaendments to
S u.s.c. 8501(1) which are relevant to the coverage of such
boards and coaaittees. The addition of Section 8509 by Section
102l(b) of the omnibus Reconciliation Act of 1980 (P,L. 96-09 l
did not affect coverage of the UCFE program.
Statement of Facts: Jn holding that e•ployees of such
committees perform •Federal service,• J have relied on the
following factors:

1. The pri�ary function of these committees is to act as
agents for the Secretary of Agriculture in earry1n9 out the
policy declared by congress at 7 u.s.c. 602.

r·--,-------· .. .

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I

QCFI INSTRQCTIQNS -PQB STATZ AGINCJIS
APPENDIX C - COVERAGE RULINGS
...
- 2 -

• r

2. Such couitt••• bave the authority to appoint eaployeea,
a9enta, and repreaentativea, and to deter■in• tbe aalarl•• and
dutl•• of auch individual•.

J. Th• Naber• of aucb co•itt•••• aa well aa eaploy••• and
a9enta, are aubject to reaoval by the secretary of A9riculture.

•• IYery act of aucb co•itt••• ia aubject to approval by
tbe secretary of A9riculture.

5. On Novellber 29, 1945, th• Internal ••venue Service ruled
that aervic•• perforMd in tbe eaploy of certain adlliniatrativ•
co-itt••• ••tabllahed by tb• secretary of A,friculture under the
Agricultural Narketin9 Atr••••nt Act were ••••Pt fro• the
provisions of the Federal Unemployment Tax Act by reaaon of the
exclusion from the definition of •eaployaent• in 26 u.s.c.
1607(c) (now, without relevant chan9e, section 3306(c)(6) of the
Internal Revenue Code of 1986). Alao, on OCtober 15, 1952, the
Director of the Bureau of E•ployeea• Compensation (now the
Office of Workers' coapensation Prograaa) ruled that peraonnel
of the Federal Milk Market Ad ■ ini1trator1 are •••ploy•••• within
the Haning of the rederal Employees• coapenaation Act.

6. Such co11111ittee1 are authorized to incur such expense• as
the secretary of Agriculture finds reaaonable .

7. The funds to cover the expenses of such committees are
raised by assessments, paid to the committees by the covered
industries and enforceable by the Secretary of Agricul�ure in
tt� ,1str1c: Cow:ts of the U�ited States.

a. The decision in United State• v. Levine, 129 F.2d 745
(2d Cir. 1942) found tbat a Market Adainiatrator (e1tabli1hed by
order of the secretary of A9riculture under the A9ricultural
Marketin9 Atr••••nt Act) v11 an agency of the United-Stat••·
Further, aa recently•• 1914, tbe SupreN court cited with
approval tbe Levine opinion finding tbat a Market Administrator
was an agency of the United States (Dixon
- v. United States, 104
s.ct. 1112, 1179-1180 Clt84)).
9. The Internal Revenue Service affir■ed, in a letter from
Jerry t. Bolaea to Nary Ann Wyrich, dated Novellber 26, 1990,
that there ii no chant• in the poaition• taken in the above
cited rulings.

Discussion/Analysis: Wrth regard to the promotion boards, the
purpose of these entities i• to carry out coordinated programs
of research and promotion designed to strengt�en the competitive
position of each covered commodity and to �aintain and expand
domestic and foreign ••rkets for American producers of each suet.
commodity l.!..:..i:., 7 u.s.c. 2101 with respect to the Cotton
Board). Al:hou9h th e purpose and authorizing statutes of tnese

c-1 o_

I '

•--- -- r-•••---�-•---.,

i

I

JJCFI IHSTRJJCTIQHi FQB IDTI AGINCIIS
APPENDIX C

-

COVERAGE RULINGS

- 3 -

entities are different fro■ tbe ■1rketin9 co•ittee,, their
.�nner of creation and Mtbod of operation are nearly identical.

As vith the .. rketin9 co•ittees, the pro■otion bo1rd1 are
cre1td by order of the Secretary of A9riculture (.!.!.I.!.,
1 u.s.c. 210t and 2106(1) vith re,pect to tbe cottin"Ioard).
Their •••r• are ,elect.. by tbe Secretarr of Atricalture
IX c - COVERAGE BQLINqs

'

U. s. Department of Labor

,.,..,_,.
.... ,....... �..,,
w�o.c.a,o

UCFE

_,..

TEUMI

..__

··-·-

NoY9ltler 10, 1993

UNDCPLOYMINT INSURAIICI PROGRAM I.ETTER NO. 23-92,
Chanve 2

ALL STATE DCPLOYMENT SECURITY AGENCIES

TO.:

KARY ANN lfYUCII

'/J(JNl.�ZfuuW

7
Dlrecto»
� ,VneaployMnt Inaurance Service

£Lr

Uneaployaent Coapenaatlon for Federal laploy•••
(UCPl)--Covera9e Jtullnv for hploy••• and
Meabera of A9rlcultural Proaotion ao.rds and
Marketin9 A9r•••ent and Order Adainistrative
co-itt•••

IUMCT

1. Purpose. To forward to the State employment security
agencies (SESAs) an updated listing of Agriculture boards
and co-ittees previously subaitted in the below referenced
prograa letters.
.

...

2. Reference•. UIPL No. 23-92, dated April 21, 1992, and
UIPL No. 23-92, Change 1, dated May 20, 1993.

3. Background. The Depart�ent of Agriculture recently
requested a coverage ruling for employees of six additional
boards to be covered for UCFE benefits within the �eaning of
S u.s.c. 8501(1). Therefore, the listing, previc�5ly
approved under UCFE Program Coverage Ruling No. 92-1 and
contained in the referenced progra• letters, has been
updated to include th••• additional boards. It has been
detenined that the employees (not �embers) of these six
boards are Federal employees and perfora "Federal service"
for UCFE prograa purposes. The six boards listed below are
wholly owned instru■entalities of the United States and,
therefore, are exeapt fro■ FUTA under Section 3306(c)(6) of
the Internal Revenue Code of 1986. They are:
a. Li•• Board (7 U,S,C. 6201-6212; 7 CFR Part 1212)
. b. Mushroo• Council (7 u.s.c. 6101-6112; 7 CFR
Part 1209)
c. National Fluid Milk Processor Promotion Board
(7 u.s.c. 6401-6417: 7 CFR Part 1160 (Proposed))
d. National Watermelon Promotion Board (7 u.s.c. 49014916;· 7 CFR Part 1210)
e. Pecan Marketing Board (7 u.s.c. 6001-6013: 7 CFR
Part 1211)
$ I

I 1'

L"IPL 1'::-. 23-92 ar.d So. 23-92. Char.se l

QCPI IHSTRQCTIQNS lQB ITITI AGENCilli/
APPENDIX

C - COVERAGE RULINGS

- 2 .r

f. United Soybean Board (7 u.s.c. ,,01-,,11, 1 CFR
Part 1220)
•• Action ••r.lrt4. SESA adalniatrator• are requested to
updated llstint i-ediately to the
dl•tribute th•
appropriate state a9eney staff reapon•ible for ucr1, tax,
and appellate operation••

5. Jnqulrl••· Qu••tion• ahould be directed to the
appropriate Re9ional Office.
•• Attacba•nt. Updated Li•tlnt of A9ricultural Promotion
Board• and Marketlnt A9reeaent and Order Adalniatrative
Co111J11ittee••

�

.

..- ... ..
,

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PQFI IHSTRQCTIQNS lQB ITATI IQINCila
APPENDIX C - COVERAGE RULINGS

'

Attach .. nt to UJPL No. 23-t2, Ch9, 2

A9rlcultural Pro,aotlon loard1 and Nartetlnt Agrae..nt
and Order Adalnlatratlve Coultt•••
-�
A• of Septeaber 1,,,

Llated below are th• six additional board• vh•r• it ha• been
detenalned that the ••ploy••• perfon1 •rederal ••nice• for ucr1
pr09ra■
vlthln th• ■-anlnt of 5 u.1.c. 1501(1),

purpo•••

1. LI•• Board (7 u.s.c. ,201-,212, 7 era Part 1212)
2. Muahroo■ Council (7 u.1.c. ,101-,112, 7 CPR Part 1209)
J. National Pluid Milk Proc•••or Proaotlon loard (7 u.s.e. 6401•
64171 7 era Part u,o (Proposed)
c. National Wateraelon Proaotion Board (7 v.1.c. 4901•4'1'1
5,

6,

7 CFR Part 1210)

Pecan Marketln9 Board (7 U,S.e. 6001-IOUI 7 CFR Part 1211)
United Soybean Board (7 u.s.c. 6301-6311; 7 CFR Part 1220)

The tollovin9 board• were previously contained In UCFI Prograa
Covera9e Ruling No, 92-1 an attached to UIPL No. 23-92 and Ho.
23-92, Chant• 1,

National Dairy Proaotlon and Reaearch Board (7 u.s.c. 4501•
451>1 7 crR Part 1150)
2. Honey Board (7 u.s.c. 4601•4612: 7 CFR Part 1240)
3, National Potato Promotion Board (7 u.s.c. 2611-2627;
7 CFR Pert 1207)
4. Cotton Board (7 u.s.c. 2101-21111 7 CFR Part 1205)
5. National Pork Board (7 u.s.c. 4801-48191 7 CFR Part 1250)
6. Cattle�en'• Beef Pro�otion and Research Soard (7 u.s.c.
2901•2911; 7 CFR P•rt 1260)
7. £99 ao.rd (7 u.s.e. 2101-2111, 7 CFR Part 1250)
1.

'l'he follovlnt couitt••• vere prevloualy contained in UCFI
Pr09raa Coverage Rulint No. 12-1 •• an attachllent to UlPL No,
2,-,2 and No. 2J•t2, Change 1, and are eatabllahed under 7 u.s.c.
601-674; 7 CFR Part• 905-ttl.
1.

2,
>,

4.

S,
6,

7.

a.
9,

10,

11.

Cltrua Adalnlatrative co-lttee - Plorida
Texas Valley citru• co-itt••
Navel Orange Adalnistrative - C.lifornla l Arizona
Valencia Oran9e Adalnlatrative co-1ttee - California
and Arizona
Le110n Ad•inlstrative co-lttee - California• Arizona
Florida Ll•e Ad■inlstratlve Coulttee
Florida Avocado Ad•inlatratlve Conuaittee
Nectarine Administrative Coaaittee - California
Control Conunittee - California
Pear Couodity CoM1ittee
Plua Couodity Co111111itte•
Peach COl'Mlodlty COIIIJlittee
Ceorgfa Peach Industry CoJ11J11ittee
Colorado Peach Administrative Cornr.iittee

..

1,...-. .,. - .. ----- -� --- --�----

Q9FI INSTBUCTIQIS PQB IDTI 19119JII
APPZNDIX C - CQV!RAQI RULINGS

.,

- 2 -

u.

�1vlfna1t Ad■lnlatratlve co-ltt•• • Clllfornla

u. washlnc,ton Pr••h Peach Marketlnt Coulttee

14.
15.
H.
11.

u.
11.

20.
21.
22.
23,
24.
25.
26,
27,
21.
2,.
30,
31.
32.
33,
34.
35.
36.
37.
31.

,,.
40.

41,
42.
43,

u.

45,

washlnc,ton Apricot Marketl119 co-lttee
washinc,ton Cherry Marketlnc, c-itt••
Washlnc,ton-Ore9on rreab Pnan• llarketint Couitt••
California Deaert Crape M■lnistrative Coaltt••
Tokay Grape Jnduatry COllllitt•• • California
Winter Pear Control Couitt•• • Oreton, Vaahlnc,ton,
and California
Papaya Adalnletratlve Coa■1tt.. - Rava11
Cranberry Marketl119 C01111itt•• - Maaaachuaetta, lthode Island,
Connecticut, Nev 3•r••Y• Viaconeln, Nlchi9an, Oregon,
Minnesota, Washington, and Long la land, New York
Northweat Fresh Bartlett Marketing couittee - Oregon
and Washln«Jton
California Olive Couittee
Idaho Eastern Oregon Potato Couittee
State of Washi119ton Potato Coulttee
Ore9on-callfornia Potato co-itt••
Colorado Potato Adalnlatrativ• co..ltt••
Main• Potato Co.,.1ttee (currently inactive)
Southeastern Potato co.. ittee - Vlr9inla • North Carolina
Vidalia Onion co..ittee - Ceortl•
Idaho-Eaatern Oregon Onion Couittee
South Texas Onion Coaaittee
Texas Valley Toaato Co111111ittee
Florida Tomato CoJ11J11ittee
Florida Celery Co�111ittee
South Texas Lettuce Co11U1ittee
South Texas Melon Coulttee
Alaond Board of California
Fllbert/Ha&elnut Marketln«J Board - Ore9on I WaahlncJton
Walnut Marketinc, loard - California
Far West Spear■int Oil Adainl,trative CoMittee
California Date Adainlatratlve co-ltte•
Raisin Adalnlstratlve Couittee - California
Prune Harketlnt co..ltt•• - callfornia
Peanut Adalniatratlv• Coulttee - Ceor9la

....

.

..

,

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XIIDQQS'I0118 lOB ITUI ltUICXII

Appendix D. Listing of 3-Digit Federal Agency Codes

� Title

001
002
004
010
012
015
020
025
030
035
040
045
111
112
205
207
210
215
220
221
223
224
225
230
233
235
238

'\

Senate
House of Representatives
u.s. House of Representatives Restaurant System
Architect o� the Capitol
copyright Royalty Tribunal
Botanic Gardens
General Accounting Office
Government Printing Office
Library of Congress
United States Tax court
Congressional Budget Office
Office of Technology Assessment
Supreme Court
U.S. Courts, Administrative Office of
White House Office
Office of the Vice President
Office of Management and Budget
Office of Administration
Council of Economic Advisors
council on Environmental Quality
Executive Mansion and Grounds
Executive Residence at the White House
Office of Policy Development
National Security Council
Office of Federal Procurement Policy
Office of Science and Technology Policy
Office of Special Representative for Trade
Negotiations
250 Regulatory Information Service center
300 Appraisal Subcommittee of the Federal Financial
Institution Examination Council
301 Architectural and Transportation Barriers Compliance
Board
302 Arctic Research Commission
303 Barry Goldwater Scholarship and Excellence in Education
Foundation
304 Christopher Columbus Quincentenary Jubilee commission
305 Committee on Agricultural Workers
306 Commission on Interstate Child Support
307 Committee on Minority Business Development
308 Commission on National and Community Service
309
310
311

Competitiveness Policy Council
Defense Nuclear Facility Safety Board
International cultural and Trade Commission
D-1

APRIL 1994

... ·--· ·- ···-· --· --- -· · ·

.

QCII IQDQCTIOIIS lOI 111'11 MIICJII

� Title

312 -James Madison Memorial Fellowship Foundation
313 Martin Luther King, Jr., Federal Holiday Commission
314 National Commission on Aids
315 National Committee on Judicial Discipline and Removal
316 National Committee on Migrant Education
317 National Committee on Children
318 National Commission on American Indians, Alaskan
Natives, and Native Hawaiian Housing
319 National commission on Responsibilities for Financing
Post Secondary Education
320 National Committee on Infant Mortality
321 National Council an Disabled
322 National Women's Business Council
323 Nuclear waste Technical Review Board
324 Prospective Payment Assessment commission
325 Physical Payment Review Committee
326 U.S. Institute of Peace
327 U.S. Nuclear Waste Negotiator
328 National Advisory Council on Public Service
329 Presidential Commission on Policies and Programs
Affecting Alaska Natives
330 Joint Federal State CoJIIJllission on Policies and Programs
Affecting Alaska Natives
331 National Commission on Financial Institutions Reform,
Recovery, and Enforcement
405 State, Department of
410 Treasury, Department of the
421 Defense - w/o Army, Navy, and Air Force
422 Army, Department of the (Civilian)
423 Navy, Department of the (Civilian)
424 Air Force, Department of the (Civilian)
425 Army--Non-appropriated Fund Activity
427 Air Force--Non-appropriated Fund Activity
429 Army and Air Force Exchange Service

D-2

APRIL 1994

---� ---· ----- ---

.,

JlCl'I IU'IIQC'l';toU. .. lQI l'IID UIICIII
.

r

•

� Title

�

440
445
450

: . -

430 Justice, Deparblent of
Interior, Departaant of
Agriculture, Dapartaent of
COllllerce, Departaant of
455 Labor, Departaant of
460 Health and Hwun Services, Department of
465 Housing and Urban Developaent, Department of
470 Transportation, Departaant of
475 Energy, Dapartaent of
480 Education, Dapartaent of
502 Action
503 Adllinistrative Conference of the United States
505 Advisory Comlission on Federal Pay
506 United States International Developaent
Cooperation Agency
507 Advisory council on Historic Preservation
508 Alaska National Gas Transportation System
509 Appalachian Regional Comlisaion
510 Alllerican Battle Monuaents Comlission
511 Board of International Broadcasting
512 Arlls Control and Disarauaent Agency
520 Board of Governors, Federal Reserve Systea
530 Civil Aeronautics Board
531 co... for PUrch. of Prod. fro• the Handicap.
532 Delaware River Basin COmlission
535 Office of Personnel Management
537 co... on the Bicent. of the u.s. Constitution
538 Comlission on Fine Arts
539 Coamission on Civil Rights
541 consuaer Product Safety Coamission
543 Comlodities Futures Trading CoJDlllission
545 Advisory CoJDlllission on Intergovernmental Relations
552 Environmental Protection Agency
554 Equal bployaent Opportunity CoJDlllission
·555 Export-Iaport Bank
557 Fara Credit Administration
570 Federal Comlunications Comlission
572 ·Federal Election ColDlllission
574 Federal Ellergency Manageaent Agency
575 Federal Deposit Insurance Corporation
576 Federal Home Loan Bank Board
577 Federal Labor Relations Authority

D-3

APRIL 1994

_....
-- - .. ·- -· ----·· --------·
-

,.._.

..

----- ----·· -

.

--

-

POD IUDPO'IIOllf IOI IDTI AQICIII

� Title

578
580
583
584
586
590
592
600
601
602
618
619
620
621
622
623
625
627
628
631
633
634
635
639
640
642
643
644
645
646
647
650
652
655
656
657
659
660
661
663
664
665

Federal Maritime C01111i■■ion
Federal Mediation and Conciliation Service
Federal Mine Safety and Health Review CoJ1JDission
Federal Retir-ent 'l'brift Inveataent Board
Federal Savings and Loan Insurance Corporation
Federal Trade C01111iaaion
Foreign Claiaa Settl�t C01111isaion
General Services Administration
Barry s. Truman Scholarahip Foundation
Japan-u.s. Priendahip C01111ission
Institute of Museua Services
'John F. Kennedy Center for the Performing Arts
u.s. Information Agency
Inter-Allerican Foundation
International Boundary and Water CoJ1JDission
International Trade CoJ1JDission
Interstate CoJ1JDerce COJIJllission
Marine MaJ1JDal CoJ1JDission
Merit syst8Jll Protection Board
National Aeronautics and Space Administration
National Archives and Records Administration
National Credit Union Administration
National CoJ1JDission for Employment Policy
National CoJ1JDission on Libraries & Info. Sciences
National Capital Planning CoJ1JDission
National Gallery of Art
National CoJ1JDission on Severely Distressed Public
Housing
National CoJ1JDission on Aids
National Labor Relations Board
National BndOW11ent for the Arts
National BndOW11ent for the HWllanities
National Mediation Board
National Railroad Adjustment Board
National Science Foundation
National Transportation Policy Study Commission
Navajo and Hopi Indian Relocation CoJ1JDission
Nuclear Regulatory COJ1JDission
National Transportation Safety Board
Nuclear Safety oversight CoJ1JDission
Occupation Safety and Health Review CoJ1JDission
overseas Private Investment Corporation
Panama canal CoJ1JDission

D-4

APRIL 1994

PQII IIIDP0'JOJJ8 lOI IZUI IQIICIII
� Title

667
668
670
674
677
678
680
682
683
690
695
697
700
701
705
710
730
732
735
807
808
809

Pension Benefit Guaranty Corporation
Postal Rate Commission
Railroad Retireaent Board
Ozarks Regional Commission
Peace Corps
Pennsylvania Avenue Development Commission
President's Commission on Ethical Problems
President's Commission on Pension Policy
Railroad Accounting Principles Boar�
Securities and Exchange Commission
Selective Service Syatua
Susquehanna River Basin Commission
Small Business Administration
United States Holocaust Memorial Council
Smithsonian Institution
Soldier's and Airmen's Home
Tennessee Valley Authority
U.S. Postal Service
Veteran's Administration
Navy Exchange Service
Navy Club and Recreation system
U.S. Marine Corps Morale, Welfare,
and Recreation Support Activity
811 u.s. Coast Guard--Nonappropriated Fund Activity
902 Central Intelligence Agency
909 Census--UCFE

D-5

APRIL 1994

r r-- --- - per• IHSTBPCTIOH8 19B ITITI 1011e11•
APPBHDII I - LI8'1' or pep IIIDP0'JQII IPIIMIPIP IX TBI8 IIIPIQOI
I
I

The following instructions iaaued to Federal agenci•• are superseded by the iasuance of thi• Handbook:

•

1.
How to Reduce Unaployaent Inaurance overpayment• and Benefit
Coats for Federal Eaploy•••• Iaaued March 2,, 1983.

2.
Procedure• for the un..ployaent Coapenaation for Federal
Employees (UCrB) Proqraa. Iaaued october 6, 1986.

3.
Issuance of Reviaed standard rora 8 (SF-8), Notice to Federal
Employee About Uneaployaent Insurance. Iaaued September 22, 1987.

,.
Change in Billing Policy for Uneaployaent Insurance Benefit
Costs Payable by Federal Employing Agencies. Issued February
17, 1988.

s.

Backpay Award (Comptroller General's Decision).
17, 1988.

6.

Privacy Act Release Statements.

Issued April

Issued May 18, 1988.

7.
Effect of Backpay Awards on Unemployment Compensation Benefit
Amounts (State Laws). Issued May 15, 1990.
8.
Procedures Relating to Federal Civilian Employee Furloughs.
Issued September 11, 1990.

9.
Completion of Wage Information on Claims Inquiries.
November 16, 1992.

Issued

.

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