Law and Regulation Details

USA Unemployment Insurance Data

Question 1-How is confidential data defined?

Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.2
Relevant Subsections:
(b), (j)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.2 - WHAT DEFINITIONS APPLY TO THIS PART?...(b) Confidential UC information and confidential information mean any UC information, as defined in paragraph (j) of this section, required to be kept confidential under 603.4. ... (j) UC information and State UC information means information in the records of a State or State UC agency that pertains to the administration of the State UC law. This term includes those State wage reports under the IEVS (Section 1137 of the of the Social Security Act (SSA)) that are obtained by the State UC agency for determining UC monetary eligibility or are downloaded to the State UC agency's files as a result of a crossmatch but does not otherwise include those wage reports. It does not include information in a State's Directory of New Hires, but does include any such information that has been disclosed to the State UC agency for use in the UC program. It also does not include the personnel or fiscal information of a State UC agency.

Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.2; §603.4
Relevant Subsections:
(a)-(b), (j)-(k); (b)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.2 WHAT DEFINITIONS APPLY TO THIS PART?...(a)(1) Claim information means information about: (i) Whether an individual is receiving, has received, or has applied for UC; (ii)The amount of compensation the individual is receiving or is entitled to receive; and(iii) The individual's current (or most recent) home address...(b) Confidential UC information and confidential information mean any UC information, as defined in paragraph (j) of this section, required to be kept confidential under §603.4...(j)UC information and State UC information means information in the records of a State or State UC agency that pertains to the administration of the State UC law...It does not include information in a State's Directory of New Hires, but does include any such information that has been disclosed to the State UC agency for use in the UC program...(k)Wage information means information in the records of a State UC agency (and, for purposes of §603.23 (IEVS)), information reported under provisions of State law which fulfill the requirements of Section 1137, SSA)about the—(1) Wages paid to an individual, (2) Social security account number (or numbers, if more than one) of such individual, and (3) Name, address,State, and the Federal employer identification number of the employer who paid such wages to such individual...§603.4 WHAT IS THE CONFIDENTIALITY REQUIREMENT OF FEDERAL UC LAW?...(b) Interpretation.The Department of Labor interprets Section 303(a)(1), SSA, to mean that“methods of administration” that are reasonably calculated to insure the full payment of UC when due must include provision for maintaining the confidentiality of any UC information which reveals the name or any identifying particular about any individual or any past or present employer or employing unit, or which could foreseeably be combined with other publicly available information to reveal any such particulars, and must include provision for barring the disclosure of any such information, except as provided in this part.
Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.2; §603.4
Relevant Subsections:
(a)-(b), (j)-(k); (b)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.2   WHAT DEFINITIONS APPLY TO THIS PART? ... (a)(1) Claim information means information about: (i) Whether an individual is receiving, has received, or has applied for UC; (ii) The amount of compensation the individual is receiving or is entitled to receive; and (iii) The individual's current (or most recent) home address ... (2) ... (ii) Any other information contained in the records of the State UC agency that is needed by the requesting agency to verify eligibility for, and the amount of, benefits. (b) Confidential UC information and confidential information mean any UC information, as defined in paragraph (j) of this section, required to be kept confidential under §603.4 ... (j) UC information and State UC information means information in the records of a State or State UC agency that pertains to the administration of the State UC law ... (k) Wage information means information in the records of a State UC agency ... information reported under provisions of State law which fulfill the requirements of Section 1137, SSA) about the—(1) Wages paid to an individual, (2) Social security account number (or numbers, if more than one) of such individual, and(3) Name, address, State, and the Federal employer identification number of the employer who paid such wages to such individual. §603.4 WHAT IS THE CONFIDENTIALITY REQUIREMENT OF FEDERAL UC LAW? ... (b) INTERPRETATION. The Department of Labor interprets Section 303(a)(1), SSA, to mean that “methods of administration” that are reasonably calculated to insure the full payment of UC when due must include provision for maintaining the confidentiality of any UC information which reveals the name or any identifying particular about any individual or any past or present employer or employing unit, or which could foreseeably be combined with other publicly available information to reveal any such particulars, and must include provision for barring the disclosure of any such information, except as provided in this part.
Date Reviewed:
7/24/2017

Question 2-Who is authorized to disclose data?

Detail Level:
Broad Mention
Citation:
20 CFR § 603.1
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.1 - WHAT ARE THE PURPOSE AND SCOPE OF THIS part? The purpose of this part is to implement the requirements of Federal UC law concerning confidentiality and disclosure of UC information. This part applies to States and State UC agencies, as defined in §603.2(f) and (g)...
Date Reviewed:
7/24/2017
Detail Level:
Broad Mention
Citation:
20 CFR § 603.1
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.1 - WHAT ARE THE PURPOSE AND SCOPE OF THIS PART? The purpose of this part is to implement the requirements of Federal UC law concerning confidentiality and disclosure of UC information. This part applies to States and State UC agencies, as defined in §603.2(f) and (g)...

Date Reviewed:
7/24/2017
Detail Level:
Broad Mention
Citation:
20 CFR § 603.6
Relevant Subsections:
(2)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.6 WHAT DISCLOSURES ARE REQUIRED BY THIS SUBPART? ...(2). Section 303(c)(1), SSA, requires each State to make its UC records available to the Railroad Retirement Board, and to furnish such copies of its UC records to the Railroad Retirement Board as the Board deems necessary for its purposes. ... 

Date Reviewed:
7/24/2017

Question 3-For what purposes may data be disclosed?

Detail Level:
Broad Mention
Citation:
20 CFR § 603.5
Relevant Subsections:
(e)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.5 -WHAT ARE THE EXCEPTIONS TO THE CONFIDENTIALITY REQUIREMENT? The following are exceptions to the confidentiality requirement. Disclosure of confidential UC information is permissible under the exceptions in paragraphs (a)through (g) of this section only if authorized by State law and if such disclosure does not interfere with the efficient administration of the State UC law...(e) Public official. Disclosure of confidential UC information to a public official for use in the performance of his or her official duties is permissible. “Performance of official duties” means administration or enforcement of law or the execution of the official responsibilities of a Federal, State, or local elected official. Administration of law includes research related to the law administered by the public official.
Date Reviewed:
7/24/2017
Detail Level:
Broad Mention
Citation:
20 CFR § 603.5
Relevant Subsections:
(e), (g)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.5 - WHAT ARE THE EXCEPTIONS TO THE CONFIDENTIALITY REQUIREMENT? 
... Disclosure of confidential UC information is permissible under the exceptions in paragraphs (a) through (g) of this section only if authorized by State law and if such disclosure does not interfere with the efficient administration of the State UC law ... (e) PUBLIC OFFICIAL. Disclosure of confidential UC information to a public official for use in the performance of his or her official duties is permissible. “Performance of official duties” means administration or enforcement of law or the execution of the official responsibilities of a Federal, State, or local elected official. Administration of law includes research related to the law administered by the public official ... (g) Bureau of Labor Statistics. The confidentiality requirement does not apply to information collected exclusively for statistical purposes under a cooperative agreement with the Bureau of Labor Statistics (BLS). Further, this part does not restrict or impose any condition on the transfer of any other information to the BLS under an agreement, or the BLS's disclosure or use of such information.

Date Reviewed:
7/24/2017
Detail Level:
Broad Mention
Citation:
20 CFR §603.5, §603.6
Relevant Subsections:
(c),(e), (g) - (i); (a)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, § 603.5 - WHAT ARE THE EXCEPTIONS TO THE CONFIDENTIALITY REQUIREMENT?...(c) INDIVIDUAL OR EMPLOYER. Disclosure for non-UC purposes, of confidential UC information about an individual to that individual, or of confidential UC information about an employer to that employer, is permissible. ... (e) PUBLIC OFFICIAL. Disclosure of confidential UC information to a public official for use in the performance of his or her official duties is permissible. “Performance of official duties” means administration or enforcement of law or the execution of the official responsibilities of a Federal, State, or local elected official. Administration of law includes research related to the law administered by the public official. Execution of official responsibilities does not include solicitation of contributions or expenditures to or on behalf of a candidate for public or political office or a political party. (g) BUREAU OF LABOR STATISTICS. This confidentiality requirement does not apply to information collected exclusively for statistical purposes under a cooperative agreement with the Bureau of Labor Statistics (BLS). ... (h) COURT ORDER; OFFICIAL WITH SUBPOENA AUTHORITY. Disclosure of confidential UC information in response to a court order or to an official with subpoena authority is permissible as specified in §603.7(b). (i) UC PROGRAM OVERSIGHT AND AUDITS. The confidentiality requirement does not apply to any disclosure to a federal official for purposes of UC program oversight and audits, including disclosures under 20 CFR part 601 and 29 CFR parts 96 and 97. §603.6 WHAT DISCLOSURES ARE REQUIRED BY THIS SUBPART? (a) The confidentiality requirement of 303(a)(1), SSA,and §603.4 are not applicable to this paragraph (a) and the Department of Labor interprets Section 303(a)(1), SSA, as requiring disclosure of all information necessary for the proper administration of the UC program. this includes disclosures of to claimants, employers, the Internal Revenue Service (for purposes of UC tax administration), and the U.S. Citizenship and Immigration Services (for purposes of verifying a claimant's immigration status)...
Date Reviewed:
7/24/2017

Question 4-To which parties may data be disclosed?

Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.5
Relevant Subsections:
(d)–(g)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.5  WHAT ARE THE EXCEPTIONS TO THE CONFIDENTIALITY REQUIREMENT? The following are exceptions to the confidentiality requirement. Disclosure of confidential UC information is permissible under the exceptions in paragraphs (a) through (g) of this section only if authorized by State law and if such disclosure does not interfere with the efficient administration of the State UC law. Disclosure of confidential UC information is permissible under the exceptions in paragraphs (h) and (i) of this section without such restrictions ... (d) INFORMED CONSENT. Disclosure of confidential UC information on the basis of informed consent is permissible in the following circumstances ... (2) Third party (other than an agent) or disclosure made on an ongoing basis—to a third party that is not acting as an agent or that receives confidential information following an informed consent disclosure on an ongoing basis (even if such entity is an agent), but only if that entity obtains a written release from the individual or employer to whom the information pertains ... (ii) The purpose specified in the release must be limited to ... (B) Carrying out administration or evaluation of a public program to which the release pertains ... (e) PUBLIC OFFICIAL. Disclosure of confidential UC information to a public official for use in the performance of his or her official duties is permissible. “Performance of official duties” means administration or enforcement of law or the execution of the official responsibilities of a Federal, State, or local elected official. Administration of law includes research related to the law administered by the public official. Execution of official responsibilities does not include solicitation of contributions or expenditures to or on behalf of a candidate for public or political office or a political party ... (f) AGENT OR CONTRACTOR OF PUBLIC OFFICIAL. Disclosure of confidential UC information to an agent or contractor of a public official to whom disclosure is permissible under paragraph (e) of this section ... (g) BUREAU OF LABOR STATISTICS. The confidentiality requirement does not apply to information collected exclusively for statistical purposes under a cooperative agreement with the Bureau of Labor Statistics (BLS). Further, this part does not restrict or impose any condition on the transfer of any other information to the BLS under an agreement, or the BLS's disclosure or use of such information.

Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.5
Relevant Subsections:
(e)-(g)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.5 - WHAT ARE THE EXCEPTIONS TO THE CONFIDENTIALITY REQUIREMENT? The following are exceptions to the confidentiality requirement. Disclosure of confidential UC information is permissible under the exceptions in paragraphs (a)through (g) of this section only if authorized by State law and if such disclosure does not interfere with the efficient administration of the State UC law. Disclosure of confidential UC information is permissible under the exceptions in paragraphs (h) and (i) of this section without such restrictions...(e) Public official.Disclosure of confidential UC information to a public official for use in the performance of his or her official duties is permissible... Administration of law includes research related to the law administered by the public official. Execution of official responsibilities does not include solicitation of contributions or expend...(f) Agent or contractor of public official. Disclosure of confidential UC information to an agent or contractor of a public official to whom disclosure is permissible under paragraph (e) of this section. (g) Bureau of Labor Statistics. The confidentiality requirement does not apply to information collected exclusively for statistical purposes under a cooperative agreement with the Bureau of Labor Statistics(BLS).
Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.5, §603.6; §603.9
Relevant Subsections:
(c)-(d)(1)-(2)(e)-(i); (a),(2); (c)(1)(i)-vi), (viii)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.5 - WHAT ARE THE EXCEPTIONS TO THE CONFIDENTIALITY REQUIREMENT? ...(c)INDIVIDUAL OR EMPLOYER. Disclosure for non-UC purposes, of confidential UC information about an individual to that individual, or of confidential UC information about an employer to that employer is permissible. ... (1) AGENT - to one who acts or in the place of an individual or an employer by the authority of that individual or employer if- .. (2) Third party (other than an agent) or disclosure made on an ongoing basis- to a third party that is not acting as an agent or that receives confidential information following an informed consent disclosure on an ongoing basis (even if such entity is an agent), ... (e) PUBLIC OFFICIAL. Disclosure of confidential UC information to a public official for use in the performance of his or her official duties is permissible. ...(f) AGENT OR CONTRACTOR OF PUBLIC OFFICIAL. Disclosure of confidential UC information to an agent or contractor of a public official to whom disclosure is permissible under paragraph (e) of this section. (g) BUREAU OF LABOR STATISTICS. The confidentiality requirement does not apply to information collected exclusively for statistical purposes under a cooperative agreement with the Bureau of Labor Statistics (BLS). Further, this part does not restrict or impose any condition on the transfer of any other information to the BLS under an agreement, or the BLS's disclosure or use of such information. (h) COURT ORDER; official with subpoena authority. Disclosure of confidential UC information in response to a court order or to an official with subpoena authority is permissible as specified in §603.7(b). (i) UC PROGRAM OVERSIGHT AND AUDITS.The confidentiality requirement does not apply to any disclosure to a Federal official for purposes of UC program oversight and audits, including disclosures under 20 CFR part 601 and 29 CFR parts 96 and 97. §603.6 - WHAT DISCLOSURES ARE REQUIRED BY THIS SUBPART? (a) ... This includes disclosures to claimants, employers, the Internal Revenue Service (for purposes of UC Tax administration, and the U.S. Citizenship and Immigration Services (for purposes of verifying a claimant's immigration status). (2) Section 303(c)(1), SSA, requires each State to make its UC records available to the Railroad Retirement Board, and to furnish such copies of its UC records to the Railroad Retirement Board as the Board deems necessary for its purposes. §603.9 - WHAT SAFEGUARDS AND SECURITY REQUIREMENTS APPLY TO DISCLOSED INFORMATION. (c) REDISCLOSURE OF CONFIDENTIAL UC INFORMATION.  (1) A State or State UC agency may authorize any recipient of confidential UC information under paragraph (a) of this section to redisclose information only as follows: (i) To the individual or employer who is the subject of the information; (ii) To an attorney or other duly authorized agent representing the individual or employer; (iii) In any civil or criminal proceedings for or on behalf of a recipient agency or entity; (iv) In response to a subpoena only as provided in §603.7; (v) To an agent or contractor of a public official only if the person redisclosing is a public official, if the redisclosure is authorized by the State law, and if the public official retains responsibility for the uses of the confidential UC information by the agent or contractor; (vi) From one public official to another if the redisclosure is authorized by the State law; ... ; or (viii) When specifically authorized by a written release that meets the requirements of §603.5(d) (to a third party with informed consent). ...
Date Reviewed:
7/24/2017

Question 5-What specific data elements may be disclosed?

Detail Level:
Not Addressed
Date Reviewed:
6/27/2016
Detail Level:
Not Addressed
Date Reviewed:
8/19/2016
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.6
Relevant Subsections:
(a)-(b)(1)(i)-(v)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.6 WHAT DISCLOSURES ARE REQUIRED BY THIS SUBPART? (a) The confidentiality requirement of 303(a)(1), SSA, and §603.4 are not applicable to this paragraph (a) and the Department of Labor interprets Section 303(a)(1), SSA, as requiring disclosure of all information necessary for the proper administration of the UC program. ... (b) In addition to Section 303(f), SSA (concerning an IEVS), which is addressed in subpart C, the following provisions of Federal UC law also specifically require disclosure of State UC information and State-held information pertaining to the Federal UC and benefit programs of Unemployment Compensation for Federal Employees (UCFE), Unemployment Compensation for Ex-Servicemembers (UCX), Trade Adjustment Assistance (TAA) (except for confidential business information collected by States), Disaster Unemployment Assistance (DUA), and any Federal UC benefit extension program: (1) Section 303(a)(7), SSA, requires State law to provide for making available, upon request, to any agency of the United States charged with the administration of public works or assistance through public employment, disclosure of the following information with respect to each recipient of UC— (i) Name; (ii) Address; (iii) Ordinary occupation; (iv) Employment status; and (v) A statement of such recipient's rights to further compensation under the State law. ...

Date Reviewed:
7/24/2017

Question 6-What are the content requirements for data sharing agreements?

Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.10
Relevant Subsections:
(a)-(b)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.10 - WHAT ARE THE REQUIREMENTS FOR AGREEMENTS? (a) Requirements. (1) For disclosures of confidential UC information...a State or State UC agency must enter into a written, enforceable agreement with any agency or entity requesting disclosure(s) of such information. The agreement must be terminable if the State or State UC agency determines that the safeguards in the agreement are not adhered to. (2) For disclosures referred to in §603.5(f) (to an agent or contractor of a public official), the State or State UC agency must enter into a written,enforceable agreement with the public official on whose behalf the agent or contractor will obtain information. The agreement must hold the public official responsible for ensuring that the agent or contractor complies with the safeguards of §603.9. The agreement must be terminable if the State or State UC agency determines that the safeguards in the agreement are not adhered to. (b) Contents of agreement—(1) In general. Any agreement required by paragraph (a) of this section must include, but need not be limited to, the following terms and conditions:(i) A description of the specific information to be furnished and the purposes for which the information is sought; (ii) A statement that those who request or receive information under the agreement will be limited to those with a need to access it for purposes listed in the agreement; (iii) The methods and timing of requests for information and responses to those requests, including the format to be used; (iv) Provision for paying the State or State UC agency for any costs of furnishing information, as required by §603.8 (on costs); (v) Provision for safeguarding the information disclosed, as required by §603.9 (on safeguards); and (vi) Provision for on-site inspections of the agency,entity, or contractor, to assure that the requirements of the State's law and the agreement or contract required by this section are being met. (2) In the case of disclosures under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis),the agreement required by paragraph (a) of this section must assure that the information will be accessed by only those entities with authorization under the individual's or employer's release, and that it may be used only for the specific purposes authorized in that release.
Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.10
Relevant Subsections:
(b)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.10 - WHAT ARE THE REQUIREMENTS FOR AGREEMENTS? ... (b) CONTENTS OF AGREEMENT—(1) IN GENERAL. Any agreement required by paragraph (a) of this section must include, but need not be limited to, the following terms and conditions: (i) A description of the specific information to be furnished and the purposes for which the information is sought; (ii) A statement that those who request or receive information under the agreement will be limited to those with a need to access it for purposes listed in the agreement; (iii) The methods and timing of requests for information and responses to those requests, including the format to be used; (iv) Provision for paying the State or State UC agency for any costs of furnishing information, as required by §603.8 (on costs); (v) Provision for safeguarding the information disclosed, as required by §603.9 (on safeguards); and (vi) Provision for on-site inspections of the agency, entity, or contractor, to assure that the requirements of the State's law and the agreement or contract required by this section are being met.

Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.10
Relevant Subsections:
(b)(1)(i)-(v) - (2)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.10 - WHAT ARE THE REQUIREMENTS FOR AGREEMENTS?
(b) Contents of agreement—(1) In general. Any agreement required by paragraph (a) of this section must include, but need not be limited to, the following terms and conditions: (i) A description of the specific information to be furnished and the purposes for which the information is sought; (ii) A statement that those who request or receive information under the agreement will be limited to those with a need to access it for purposes listed in the agreement; (iii) The methods and timing of requests for information and responses to those requests, including the format to be used; (iv) Provision for paying the State or State UC agency for any costs of furnishing information, as required by §603.8 (on costs); (v) Provision for safeguarding the information disclosed, as required by §603.9 (on safeguards); and (vi) Provision for on-site inspections of the agency, entity, or contractor, to assure that the requirements of the State's law and the agreement or contract required by this section are being met. (2) In the case of disclosures under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis), the agreement required by paragraph (a) of this section must assure that the information will be accessed by only those entities with authorization under the individual's or employer's release, and that it may be used only for the specific purposes authorized in that release.
Date Reviewed:
7/24/2017

Question 7-What safeguards are required for data disclosure?

Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.9
Relevant Subsections:
(a) – (b)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.9 - WHAT SAFEGUARDS AND SECURITY REQUIREMENTS APPLY TO DISCLOSED INFORMATION? (a) IN GENERAL. For disclosures of confidential UC information under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis); §603.5(e) (to a public official), except as provided in paragraph (d) of this section; §603.5(f) (to an agent or contractor of a public official); §603.6(b)(1) through (4), (6), and (7)(i) (as required by Federal UC law); and §603.22 (to a requesting agency for purposes of an IEVS), a State or State UC agency must require the recipient to safeguard the information disclosed against unauthorized access or redisclosure, as provided in paragraphs (b) and (c) of this section, and must subject the recipient to penalties provided by the State law for unauthorized disclosure of confidential UC information. (b) Safeguards to be required of recipients. (1) The State or State UC agency must: (i) Require the recipient to use the disclosed information only for purposes authorized by law and consistent with an agreement that meets the requirements of §603.10; (ii) Require the recipient to store the disclosed information in a place physically secure from access by unauthorized persons; (iii) Require the recipient to store and process disclosed information maintained in electronic format...in such a way that unauthorized persons cannot obtain the information by any means; (iv) Require the recipient to undertake precautions to ensure that only authorized personnel are given access to disclosed information stored in computer systems; (v) Require each recipient agency or entity to: (A) Instruct all personnel having access to the disclosed information about confidentiality requirements, the requirements of this subpart B, and the sanctions specified in the State law for unauthorized disclosure of information, and (B) Sign an acknowledgment that all personnel having access to the disclosed information have been instructed in accordance with paragraph (b)(1)(v)(A) of this section and will adhere to the State's or State UC agency's confidentiality requirements and procedures which are consistent with this subpart B and the agreement required by §603.10, and agreeing to report any infraction of these rules to the State UC agency fully and promptly, (vi) Require the recipient to dispose of information disclosed or obtained, and any copies thereof made by the recipient agency, entity, or contractor, after the purpose for which the information is disclosed is served, except for disclosed information possessed by any court. Disposal means return of the information to the disclosing State or State UC agency or destruction of the information, as directed by the State or State UC agency. Disposal includes deletion of personal identifiers by the State or State UC agency in lieu of destruction. In any case, the information disclosed must not be retained with personal identifiers for longer than such period of time as the State or State UC agency deems appropriate on a case-by-case basis; and (vii) Maintain a system sufficient to allow an audit of compliance with the requirements of this part. (2) In the case of disclosures made under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis), the State or State UC agency must also— (i) Periodically audit a sample of transactions accessing information disclosed under that section to assure that the entity receiving disclosed information has on file a written release authorizing each access. The audit must ensure that the information is not being used for any unauthorized purpose; (ii) Ensure that all employees of entities receiving access to information disclosed under §603.5(d)(2) are subject to the same confidentiality requirements, and State criminal penalties for violation of those requirements, as are employees of the State UC agency.

Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.9
Relevant Subsections:
(a)-(d)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.9 - WHAT SAFEGUARDS AND SECURITY REQUIREMENTS APPLY TO DISCLOSED INFORMATION? (a)In general...a State or State UC agency mus trequire the recipient to safeguard the information disclosed against unauthorized access or redisclosure, as provided in paragraphs (b) and(c) of this section, and must subject the recipient to penalties provided by the State law for unauthorized disclosure of confidential UC information. (b) Safeguards to be required of recipients. (1) The State or State UC agency must: (i) Require the recipient to use the disclosed information only for purposes authorized bylaw and consistent with an agreement that meets the requirements of §603.10; (ii)Require the recipient to store the disclosed information in a place physically secure from access by unauthorized persons; (iii) Require the recipient to store and process disclosed information maintained in electronic format,such as magnetic tapes or discs, in such a way that unauthorized persons cannot obtain the information by any means; (iv)Require the recipient to undertake precautions to ensure that only authorized personnel are given access to disclosed information stored in computer systems; (v) Require each recipient agency or entity to: (A) Instruct all personnel having access to the disclosed information about confidentiality requirements, the requirements of this subpart B, and the sanctions specified in the State law for unauthorized disclosure of information, and (B) Sign an acknowledgment that all personnel having access to the disclosed information have been instructed in accordance with paragraph (b)(1)(v)(A) of this section and will adhere to the State's or State UC agency's confidentiality requirements and procedures which are consistent with this subpart B and the agreement required by §603.10, and agreeing to report any infraction of these rules to the State UC agency fully and promptly, (vi)Require the recipient to dispose of information disclosed or obtained, and any copies thereof made by the recipient agency, entity, or contractor, after the purpose for which the information is disclosed is served...Disposal means return of the information to the disclosing State or State UC agency or destruction of the information, as directed by the State or State UC agency. Disposal includes deletion of personal identifiers by the State or State UC agency in lieu of destruction. In any case, the information disclosed must not be retained with personal identifiers for longer than such period of time as the State or State UC agency deems appropriate on a case-by-case basis; and (vii) Maintain a system sufficient to allow an audit of compliance with the requirements of this part. (2)In the case of disclosures made under§603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis), the State or State UC agency must also—(i) Periodically audit a sample of transactions accessing information disclosed under that section to assure that the entity receiving disclosed information has on file a written release authorizing each access. The audit must ensure that the information is not being used for any unauthorized purpose; (ii) Ensure that all employees of entities receiving access to information disclosed under §603.5(d)(2) are subject to the same confidentiality requirements, and State criminal penalties for violation of those requirements, as are employees of the State UC agency. (c) Redisclosure of confidential UC information. (1) A State or State UC agency may authorize any recipient of confidential UC information under paragraph (a) of this section to redisclose information only as follows:...(v) To an agent or contractor of a public official only if the person redisclosing is a public official, if the redisclosure is authorized by the State law, and if the public official retains responsibility for the uses of the confidential UC information by the agent or contractor; (vi) From one public official to another if the redisclosure is authorized by the State law;...(2) Information redisclosed underparagraphs (c)(1)(v) and (vi) of this section must be subject to the safeguards in paragraph (b) of this section. (d) The requirements of this section do not apply to disclosures of UC information to a Federal agency which the Department has determined, by notice published in the Federal Register, to have in place safeguards adequate to satisfy the confidentiality requirement of Section 303(a)(1), SSA.
Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.9; §603.10
Relevant Subsections:
(b)(i)-(vii),(c)(1)(i)-(vi),(viii); (a)(1)-(2), (b)((i)-(vi), (2).
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.9 WHAT SAFEGUARDS AND SECURITY REQUIREMENTS APPLY TO DISCLOSED INFORMATION? (b) SAFEGUARDS TO BE REQUIRED OF RECIPIENTS. (1) The State or State UC agency must: (i) Require the recipient to use the disclosed information only for purposes authorized by law and consistent with an agreement that meets the requirements of §603.10 ii) Require the recipient to store the disclosed information in a place physically secure from access by unauthorized persons; (iii) Require the recipient to store and process disclosed information maintained in electronic format, such as magnetic tapes or discs, in such a way that unauthorized persons cannot obtain the information by any means; (iv) Require the recipient to undertake precautions to ensure that only authorized personnel are given access to disclosed information stored in computer systems;(v) Require each recipient agency or entity to: (A) Instruct all personnel having access to the disclosed information about confidentiality requirements, the requirements of this subpart B, and the sanctions specified in the State law for unauthorized disclosure of information, and (B) Sign an acknowledgment that all personnel having access to the disclosed information have been instructed in accordance with paragraph (b)(1)(v)(A) of this section and will adhere to the State's or State UC agency's confidentiality requirements and procedures which are consistent with this subpart B and the agreement required by §603.10, and agreeing to report any infraction of these rules to the State UC agency fully and promptly, (vi) Require the recipient to dispose of information disclosed or obtained, and any copies thereof made by the recipient agency, entity, or contractor, after the purpose for which the information is disclosed is served, except for disclosed information possessed by any court. Disposal means return of the information to the disclosing State or State UC agency or destruction of the information, as directed by the State or State UC agency. Disposal includes deletion of personal identifiers by the State or State UC agency in lieu of destruction. In any case, the information disclosed must not be retained with personal identifiers for longer than such period of time as the State or State UC agency deems appropriate on a case-by-case basis; and (vii) Maintain a system sufficient to allow an audit of compliance with the requirements of this part. (2) In the case of disclosures made under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis), the State or State UC agency must also—(i) Periodically audit a sample of transactions accessing information disclosed under that section to assure that the entity receiving disclosed information has on file a written release authorizing each access. The audit must ensure that the information is not being used for any unauthorized purpose; (ii) Ensure that all employees of entities receiving access to information disclosed under §603.5(d)(2) are subject to the same confidentiality requirements, and State criminal penalties for violation of those requirements, as are employees of the State UC agency. (c) REDISCLOSURE OF CONFIDENTIAL UC INFORMATION.  (1) A State or State UC agency may authorize any recipient of confidential UC information under paragraph (a) of this section to redisclose information only as follows: (i) To the individual or employer who is the subject of the information; (ii) To an attorney or other duly authorized agent representing the individual or employer; (iii) In any civil or criminal proceedings for or on behalf of a recipient agency or entity; (iv) In response to a subpoena only as provided in §603.7; (v) To an agent or contractor of a public official only if the person redisclosing is a public official, if the redisclosure is authorized by the State law, and if the public official retains responsibility for the uses of the confidential UC information by the agent or contractor; (vi) From one public official to another if the redisclosure is authorized by the State law; ... (viii) When specifically authorized by a written release that meets the requirements of §603.5(d) (to a third party with informed consent. (2) Information redisclosed under paragraphs (c)(1)(v) and (vi) of this section must be subject to the safeguards in paragraph (b) of this section.

§603.10 WHAT ARE THE REQUIREMENTS FOR AGREEMENTS?
(a) Requirements. (1) For disclosures of confidential UC information under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis); §603.5(e) (to a public official), except as provided in paragraph (d) of this section; §603.5(f) (to an agent or contractor of a public official); §603.6(b)(1) through (4), (6), and (7)(i) (as required by Federal UC law); and §603.22 (to a requesting agency for purposes of an IEVS), a State or State UC agency must enter into a written, enforceable agreement with any agency or entity requesting disclosure(s) of such information. The agreement must be terminable if the State or State UC agency determines that the safeguards in the agreement are not adhered to. (2) For disclosures referred to in §603.5(f) (to an agent or contractor of a public official), the State or State UC agency must enter into a written, enforceable agreement with the public official on whose behalf the agent or contractor will obtain information. The agreement must hold the public official responsible for ensuring that the agent or contractor complies with the safeguards of §603.9. The agreement must be terminable if the State or State UC agency determines that the safeguards in the agreement are not adhered to.(b) Contents of agreement—(1) In general. Any agreement required by paragraph (a) of this section must include, but need not be limited to, the following terms and conditions:(i) A description of the specific information to be furnished and the purposes for which the information is sought; (ii) A statement that those who request or receive information under the agreement will be limited to those with a need to access it for purposes listed in the agreement;
(iii) The methods and timing of requests for information and responses to those requests, including the format to be used;(iv) Provision for paying the state or State UC agency for any costs of furnishing information, as required by §603.8 (on costs); (v) Provision for safeguarding the information disclosed, as required by §603.9 (on safeguards); and(vi) Provision for on-site inspections of the agency, entity, or contractor, to assure that the requirements of the State's law and the agreement or contract required by this section are being met.(2) In the case of disclosures under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis), the agreement required by paragraph (a) of this section must assure that the information will be accessed by only those entities with authorization under the individual's or employer's release, and that it may be used only for the specific purposes authorized in that release.

Date Reviewed:
7/24/2017

Question 8-What are the payment provisions for data disclosure?

Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.8
Relevant Subsections:
(a) – (e)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.8 - WHAT ARE THE REQUIREMENTS FOR PAYMENT OF COSTS AND PROGRAM INCOME?  (a) IN GENERAL. Except as provided in paragraph (b) of this section, grant funds must not be used to pay any of the costs of making any disclosure of UC information ... (b) USE OF GRANT FUNDS PERMITTED. Grant funds paid to a State under Section 302(a), SSA, may be used to pay the costs of only those disclosures necessary for proper administration of the UC program ... (c) CALCULATION OF COSTS. The costs to a State or State UC agency of processing and handling a request for disclosure of information must be calculated in accordance with the cost principles and administrative requirements of 29 CFR part 97 and Office of Management and Budget Circular No. A-87 (Revised). For the purpose of calculating such costs, any initial start-up costs incurred by the State UC agency in preparation for making the requested disclosure(s), such as computer reprogramming necessary to respond to the request, and the costs of implementing safeguards and agreements required by §§603.9 and 603.10, must be charged to and paid by the recipient ... Postage or other delivery costs incurred in making any disclosure are part of the costs of making the disclosure ... (d) PAYMENT OF COSTS. The costs to a State or State UC agency of making a disclosure of UC information, calculated in accordance with paragraph (c) of this section, must be paid by the recipient of the information or another source paying on behalf of the recipient, either in advance or by way of reimbursement. If the recipient is not a public official, such costs, except for good reason must be paid in advance...Payment or reimbursement of costs must include any initial start-up costs associated with making the disclosure. (e) PROGRAM INCOME. Costs paid as required by this section, and any funds generated by the disclosure of UC information under this part, are program income and may be used only as permitted by 29 CFR 97.25(g) (on program income). Such income may not be used to benefit a State's general fund or other program.

Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.8
Relevant Subsections:
(a)-(e)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.8 - WHAT ARE THE REQUIREMENTS FOR PAYMENT OF COSTS AND PROGRAM INCOME? (a)In general. Except as provided in paragraph (b) of this section, grant funds must not be used to pay any of the costs of making any disclosure of UC information...(b) Use of grant funds permitted...grant funds may be used to pay costs associated with any disclosure of UC information if not more than an incidental amount of staff time and no more than nominal processing costs are involved in making the disclosure. (c) Calculation of costs.The costs to a State or State UC agency of processing and handling a request for disclosure of information must be calculated in accordance with the cost principles and administrative requirements of 29 CFR part 97 and Office of Management and Budget Circular No. A-87 (Revised)...any initial start-up costs incurred by the State UC agency in preparation for making the requested disclosure(s), such as computer reprogramming necessary to respond to the request, and the costs of implementing safeguards and agreements required by §§603.9 and 603.10, must be charged to and paid by the recipient...the Secretary of HHS has the authority to determine what constitutes a reasonable amount for the reimbursement...(d) Payment of costs. The costs to a State or State UC agency of making a disclosure of UC information, calculated in accordance with paragraph(c) of this section, must be paid by the recipient of the information or another source paying on behalf of the recipient, either in advance or by way of reimbursement. If the recipient is not a public official, such costs, except for good reason must be paid in advance. For the purposes of this paragraph (d), payment in advance means full payment of all costs before or at the time the disclosed information is given in hand or sent to the recipient.The requirement of payment of costs in this paragraph is met when a State UC agency has in place a reciprocal cost agreement or arrangement with the recipient. As used in this section, reciprocal means that the relative benefits received by each are approximately equal. Payment or reimbursement of costs must include any initial start-up costs associated with making the disclosure. (e) Program income. Costs paid as required by this section, and any funds generated by the disclosure of UC information under this part, are program income and may be used only as permitted by 29 CFR 97.25(g) (on program income). Such income may not be used to benefit a State's general fund or other program.
Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.8
Relevant Subsections:
(b)-(d)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.8 - WHAT ARE THE REQUIREMENTS FOR PAYMENT OF COSTS AND PROGRAM INCOME? ... (b) USE OF GRANT FUNDS PERMITTED. Grant funds paid to a State under Section 302(a), SSA, may be used to pay the costs of only those disclosures necessary for proper administration of the UC program. ... In addition, grant funds may be used to pay costs of disclosures under §603.5(i) (for UC Program Oversight and Audits) and §603.6(a) (for the proper administration of the UC program). Grant funds may also be used to pay costs associated with disclosures under §603.7(b)(1) (concerning court-ordered compliance with subpoenas) if a court has denied recovery of costs, or to pay costs associated with disclosures under §603.7(b)(2) (to officials with subpoena authority) if the State UC agency has attempted but not been successful in obtaining reimbursement of costs. Finally, grant funds may be used to pay costs associated with any disclosure of UC information if not more than an incidental amount of staff time and no more than nominal processing costs are involved in making the disclosure. (c) CALCULATION OF COSTS. ...  For the purpose of calculating such costs, any initial start-up costs incurred by the State UC agency in preparation for making the requested disclosure(s), such as computer reprogramming necessary to respond to the request, and the costs of implementing safeguards and agreements required by §§603.9 and 603.10, must be charged to and paid by the recipient. ... (d) PAYMENT OF COSTS. The costs to a State or State UC agency of making a disclosure of UC information, calculated in accordance with paragraph (c) of this section, must be paid by the recipient of the information or another source paying on behalf of the recipient, either in advance or by way of reimbursement.
Date Reviewed:
7/24/2017

Question 9-What are the penalties for violating disclosure rules?

Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.4; §603.10; §603.12
Relevant Subsections:
(c); (c)-(d); (b)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.4 - WHAT IS THE CONFIDENTIALITY REQUIREMENT OF FEDERAL UC LAW? ...(c) Application. Each State law must contain provisions that are interpreted and applied consistently with the interpretation in paragraph (b)of this section and with this subpart, and must provide penalties for any disclosure of confidential UC information that is inconsistent with any provision of this subpart...§603.10 - WHAT ARE THE REQUIREMENTS FOR AGREEMENTS?...(c)Breach of agreement—(1) In general. If an agency, entity, or contractor, or any official, employee, or agent thereof,fails to comply with any provision of an agreement required by this section, including timely payment of the State's or State UC agency's costs billed to the agency, entity, or contractor, the agreement must be suspended, and further disclosure of information (including any disclosure being processed) to such agency, entity,or contractor is prohibited, until the State or State UC agency is satisfied that corrective action has been taken and there will be no further breach. In the absence of prompt and satisfactory corrective action, the agreement must be canceled, and the agency, entity, or contractor must be required to surrender to the State or State UC agency all confidential UC information (and copies thereof) obtained under the agreement which has not previously been returned to the State or State UC agency, and any other information relevant to the agreement. (2) Enforcement.In addition to the actions required to be taken by paragraph (c)(1) of this section, the State or State UC agency must undertake any other action under the agreement, or under any law of the State or of the United States, to enforce the agreement and secure satisfactory corrective action or surrender of the information, and must take other remedial actions permitted under State or Federal law to effect adherence to the requirements of this subpart B, including seeking damages, penalties, and restitution as permitted under such law for any charges to granted funds and all costs incurred by the State or the State UC agency in pursuing the breach of the agreement and enforcement as required by this paragraph (c). (d)The requirements of this section do not apply to disclosures of UC information to a Federal agency which the Department has determined, by notice published in the Federal Register, to have in place safeguards adequate to satisfy the confidentiality requirement of Section 303(a)(1), SSA, and an appropriate method of paying or reimbursing the State UC agency (which may involve a reciprocal cost arrangement) for costs involved in such disclosures. These determinations will be published in the Federal Register...§603.12 - HOW ARE THE REQUIREMENTS OF THIS PART ENFORCED?...(b) Conformity and substantial compliance. Whenever the Secretary of Labor, after reasonable notice and opportunity for a hearing to the State UC agency of a State, finds that the State law fails to conform,or that the State or State UC agency fails to comply substantially, with: (1)The requirements of Title III, SSA, implemented in subparts B and C of this part, the Secretary of Labor shall notify the Governor of the State and such State UC agency that further payments for the administration of the State UC law will not be made to the State until the Secretary of Labor is satisfied that there is no longer any such failure.Until the Secretary of Labor is so satisfied, the Department of Labor shall make no further payments to such State.
Date Reviewed:
7/24/2017
Detail Level:
Detailed Explanation
Citation:
20 CFR § 603.4; §603.10; §603.12
Relevant Subsections:
(c); (c); (b)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.4 - WHAT IS THE CONFIDENTIALITY REQUIREMENT OF FEDERAL UC LAW? ... (c) APPLICATION. Each State law must contain provisions that are interpreted and applied consistently with the interpretation in paragraph (b) of this section and with this subpart, and must provide penalties for any disclosure of confidential UC information that is inconsistent with any provision of this subpart. §603.10 - WHAT ARE THE REQUIREMENTS FOR AGREEMENTS? ... (c) BREACH OF AGREEMENT—(1) IN GENERAL. If an agency, entity, or contractor, or any official, employee, or agent thereof, fails to comply with any provision of an agreement required by this section, including timely payment of the State's or State UC agency's costs billed to the agency, entity, or contractor, the agreement must be suspended, and further disclosure of information (including any disclosure being processed) to such agency, entity, or contractor is prohibited, until the State or State UC agency is satisfied that corrective action has been taken and there will be no further breach. In the absence of prompt and satisfactory corrective action, the agreement must be canceled, and the agency, entity, or contractor must be required to surrender to the State or State UC agency all confidential UC information (and copies thereof) obtained under the agreement which has not previously been returned to the State or State UC agency, and any other information relevant to the agreement. (2) ENFORCEMENT. In addition to the actions required to be taken by paragraph (c)(1) of this section, the State or State UC agency must undertake any other action under the agreement, or under any law of the State or of the United States, to enforce the agreement and secure satisfactory corrective action or surrender of the information, and must take other remedial actions permitted under State or Federal law to effect adherence to the requirements of this subpart B, including seeking damages, penalties, and restitution as permitted under such law for any charges to granted funds and all costs incurred by the State or the State UC agency in pursuing the breach of the agreement and enforcement as required by this paragraph (c). §603.12 - HOW ARE THE REQUIREMENTS OF THIS PART ENFORCED? ... (b) CONFORMITY AND SUBSTANTIAL COMPLIANCE. Whenever the Secretary of Labor, after reasonable notice and opportunity for a hearing to the State UC agency of a State, finds that the State law fails to conform, or that the State or State UC agency fails to comply substantially, with: (1) The requirements of Title III, SSA, implemented in subparts B and C of this part, the Secretary of Labor shall notify the Governor of the State and such State UC agency that further payments for the administration of the State UC law will not be made to the State until the Secretary of Labor is satisfied that there is no longer any such failure. Until the Secretary of Labor is so satisfied, the Department of Labor shall make no further payments to such State.
Date Reviewed:
7/24/2017
Detail Level:
Broad Mention
Citation:
20 CFR § 603.9; §603.10
Relevant Subsections:
(a); (2)-2(c)
Relevant Language:
TITLE 20 - EMPLOYEES' BENEFITS, CHAPTER V - EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR, PART 603 - FEDERAL-STATE UNEMPLOYMENT COMPENSATION PROGRAM, CONFIDENTIALITY AND DISCLOSURE OF STATE UC INFORMATION, SUBPART A - IN GENERAL, §603.9 - WHAT SAFEGUARDS AND SECURITY REQUIREMENTS APPLY TO DISCLOSED INFORMATION? (a) In general. For disclosures of confidential UC information under §603.5(d)(2) (to a third party (other than an agent) or disclosures made on an ongoing basis); §603.5(e) (to a public official), except as provided in paragraph (d) of this section; §603.5(f) (to an agent or contractor of a public official); §603.6(b)(1) through (4), (6), and (7)(i) (as required by Federal UC law); and §603.22 (to a requesting agency for purposes of an IEVS), a State or State UC agency must require the recipient to safeguard the information disclosed against unauthorized access or redisclosure, as provided in paragraphs (b) and (c) of this section, and must subject the recipient to penalties provided by the State law for unauthorized disclosure of confidential UC information. §603.10 - WHAT ARE THE REQUIREMENTS FOR AGREEMENTS?
(2)ENFORCEMENT.  In addition to the actions required to be taken by paragraph (c)(1) of this section, the State or State UC agency must undertake any other action under the agreement, or under any law of the State or of the United States, to enforce the agreement and secure satisfactory corrective action or surrender of the information, and must take other remedial actions permitted under State or Federal law to effect adherence to the requirements of this subpart B, including seeking damages, penalties, and restitution as permitted under such law for any charges to granted funds and all costs incurred by the State or the State UC agency in pursuing the breach of the agreement and enforcement as required by this paragraph (c). (c) BREACH OF AGREEMENT - (1) In general. If an agency, entity, or contractor, or any official, employee, or agent thereof, fails to comply with any provision of an agreement required by this section, including timely payment of the State's or State UC agency's costs billed to the agency, entity, or contractor, the agreement must be suspended, and further disclosure of information (including any disclosure being processed) to such agency, entity, or contractor is prohibited, until the State or State UC agency is satisfied that corrective action has been taken and there will be no further breach. In the absence of prompt and satisfactory corrective action, the agreement must be canceled, and the agency, entity, or contractor must be required to surrender to the State or State UC agency all confidential UC information (and copies thereof) obtained under the agreement which has not previously been returned to the State or State UC agency, and any other information relevant to the agreement.
Date Reviewed:
7/24/2017