U.S. DEPARTMENT OF LABOR
Employment and Training Administration
Washington, D. C. 20210

CLASSIFICATION

UI

CORRESPONDENCE SYMBOL

OWS

ISSUE DATE

August 7, 2001

RESCISSIONS

None

EXPIRATION DATE

Continuing

DIRECTIVE

:

ET HANDBOOK NO. 401, 3RD EDITION, CHANGE 2

 

TO

:

ALL STATE WORKFORCE AGENCIES

 

FROM

:

LENITA JACOBS-SIMMONS
Deputy Assistant Secretary

 

SUBJECT

:

ETA 227 Report - Correction

 

  1. Purpose. To transmit a revised version of the ETA-227 Report, Overpayment Detection and Recovery Activities, with corrected reporting instructions.

  2. Background. Change 1 to the 3rd Edition of ET Handbook No. 401 was issued on February 9, 2001. Change 2 revises the report format and instructions pertaining to penalties as they are applied to overpayments.

  3. Report Changes. The following are the changes to the report format. The entire chapter is being reissued to reflect these and other minor edits.

    1. Penalty.  The term "administrative penalty" has been used in previous editions of the handbook. Based upon comments from several States, it has been determined that all penalties applied to overpayments are "administrative," and the definition needed to be revised. Some types of penalties are reportable on the ETA-227. Refer to the following changes in the attachment: the definition for penalty in section E and the instructions in Section F for Line 109 and Line 110 of the report format.

    2. Penalty/Interest Collected.  Some States assess and collect separate fines of fixed dollar amounts or percentages of the overpayments established. Line 320 of Section C of the ETA-227 Report had been added to track the disposition of the penalty/interest collected for overpayments involving federal programs. It has since been determined that this is unnecessary because such information is captured on the ETA-191 Report. Therefore, Line 320 is being deleted from the ETA-227.

  4. Effective Date. The effective date has not changed. The revised reporting instructions will become effective beginning with the fourth quarter of Calendar Year 2001 (October 1, 2001 to December 31, 2001); the report is due in the National Office by February 1, 2002. States are responsible for ensuring that all necessary reprogramming is completed by September 30, 2001.

  5. Office of Management and Budget (OMB) Approval. These reporting requirements have been approved by the OMB under the Paperwork Reduction Act of 1995, OMB Approval No. 1205-0173, expiration date November 30, 2003. Persons are not required to respond to this collection of information unless it displays a current valid OMB control number. Respondents' obligation to reply to this reporting requirement is mandatory under the Social Security Act Section 303(a)(6). Public reporting burden for this collection of information is estimated to average 14 hours per response, including gathering and maintaining the data needed, and completing and reviewing the collection of information. 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 Avenue, NW, Washington, DC 20210 (Paperwork Reduction Project 1205-0173).

  6. Handbook Maintenance 

  7. Action Required. State administrators are requested to ensure that the necessary reprogramming is completed by September 30, 2001, in order to accommodate the transition to the revised report format.

  8. Inquiries. Address all inquiries to the appropriate Regional Office.

  9. Attachment. Pages IV-3-1 - IV-3-16 (7/2001).