DAR File No. 37878

Workforce Services, Employment Development

Rule R986-600

Workforce Investment Act

Notice of Proposed Rule

(Amendment)

DAR File No.: 37878
Filed: 08/01/2013 04:29:02 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The purpose of this amendment is to ensure the rule complies with federal law and regulation and to remove duplications.

Summary of the rule or change:

This is a rewrite of the rules pertaining to the Workforce Investment Act to more closely mirror federal standards and regulations. The agency has also moved some of the sections dealing with basic education from another rule to this rule where they more properly belong. There are no substantive changes in these rules or the way our program is administered. It is anticipated with these changes it will ensure fewer errors.

State statutory or constitutional authorization for this rule:

• Subsection 35A-1-104(4)
• Title 35A, Chapter 5
• Section 35A-1-104

Anticipated cost or savings to:

the state budget:

This applies to federally-funded programs so there are no costs or savings to the state budget.

local governments:

This is a federally-funded program so there are no costs or savings to local government.

small businesses:

There will be no costs to small businesses to comply with these changes because this is a federally-funded program.

persons other than small businesses, businesses, or local governmental entities:

There will be no costs to persons other than small businesses, businesses or local government entities to comply with these changes because there are no costs or fees associated with these proposed changes.

Compliance costs for affected persons:

There will be no costs to affected persons because there are no costs or fees associated with these proposed changes.

Comments by the department head on the fiscal impact the rule may have on businesses:

There are no compliance costs associated with this change. There are no fees associated with this change. There will be no cost to anyone to comply with these changes. There will be no fiscal impact on any business.

Jon Pierpont, Executive Director

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Workforce Services
Employment Development
140 E 300 S
SALT LAKE CITY, UT 84111-2333

Direct questions regarding this rule to:

• Suzan Pixton at the above address, by phone at 801-526-9645, by FAX at 801-526-9211, or by Internet E-mail at spixton@utah.gov

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

09/16/2013

This rule may become effective on:

09/23/2013

Authorized by:

Jon Pierpont, Executive Director

R986. Workforce Services, Employment Development.

R986-600. Workforce Investment Act.

R986-600-602. Workforce Investment Act (WIA).

(1) The goal of WIA is to increase a [customer's]client's occupational skills, employment, retention and earnings; to decrease welfare dependency; and to improve the quality of the workforce and national productivity.

(2) WIA is for [individuals]clients who need assistance finding employment to achieve self-sufficiency.

(3) Services are available for the following groups: adult s, dislocated workers, and youth.

 

R986-600-603. Youth Services.

(1) The goals of WIA youth services are to provide options for improving educational and skill competencies; to provide effective connections to employers; to ensure access to mentoring, training opportunities and support services; to provide incentives for achievement; and to provide opportunities for leadership, citizenship and community service.

(2) WIA youth services are available to low-income youth who are between the ages of 14 and 21 years old and who have one or more barriers including those which interfere with the ability to complete an educational program or to secure and hold employment.

([a]3) Services to youth[s] include eligibility determination, assessment, employment planning[ and referral to community resources delivering youth services]. The Department may provide youth services or the services may be provided under contract as determined by competitive bid.

([b]4) Youth may be referred to appropriate community resources based on need.

(5) Services include educational achievement services, employment services, supportive services, and follow-up services.

([c]6) An incentive [bonus/incentive/stipend] may be paid to provide recognition of achievement to eligible youth.

 

R986-600-604. Adults, Youth, and Dislocated Workers.

The Department offers three levels of service for adults, youth and dislocated workers:

(1) core services[,];

(2) intensive services[,] and

(3) training services.

 

R986-600-605. Core Services.

[(1) There are no eligibility requirements for core services offered by the Department.

(2)] Core services include[:];

([a]1) registration for services;

(2) providing the following informational resources:

([i]a) outreach, intake, and orientation to, and information about, available services, including resource and referral services;

([ii]b) local, regional and national labor market information including job vacancy listings and occupations in demand and the skills necessary to obtain those jobs and occupations.

([iii]c)[ the performance of and program costs for all eligible providers of training and education services.

(iv)] performance measures with respect to the one-stop delivery system;

(3) job development;

(4) rapid response services;

(5) bonding;

([b]6) assessment of skill levels, aptitudes, abilities, and supportive service needs;

([c]7) job search and placement assistance, and where appropriate, career counseling and workshops;

([d]8) follow-up services which will be provided for a minimum of[period of not less than] 12 months after active participation ends for all youth. If requested, follow-up services will also be provided for a minimum of 12 months after the first day of unsubsidized employment to adults and dislocated workers who have been placed in unsubsidized employment and,

([e]9) determining if a client is eligible for, and assistance in, applying for: WIA funded programs, unemployment insurance benefits, financial aid assistance available for training and educational programs not funded under WIA, food stamps, other supportive services such as child care, medical services, and transportation.

 

R986-600-606. Intensive Services.

[(1) Intensive services are available to adults and dislocated workers:

(a) who are unemployed, registered for services with the Department, and who desire employment; or

(b) who are employed, registered for services with the Department, meet the self-sufficiency definition, and need to improve or change their current employment status. Self-sufficiency for WIA is defined as:

(i) declared income from the customer's primary job is less than the WIA income eligibility standards as found in R986-600-617(4) for a family of eight; or

(ii) the customer is at risk of losing his or her current level of income as evidenced by;

(A) a notice of lay-off or closure,

(B) the inability to retain his or her current job due to changes such as the requirement for increased skills,

(C) technological or industry changes, or

(D) the potential future income from the customer's primary job will be less than the WIA income eligibility standards for a family of eight.

(2) Intensive services are available to youth who:

(a) require additional assistance to complete an educational program or to secure and hold employment, and

(b) meet the regional service priority level.

]([3]1) Intensive services for adults, dislocated workers and youth consist of:

(a) an assessment as provided in R986-600-620[,];

(b) development of an employment plan as provided in R986-600-621[.];

[(c) short-term prevocational services, including development of learning skills, communication skills, interviewing skills, punctuality, personal maintenance skills, and professional conduct, to prepare individuals for unsubsidized employment or training,

] ([d]c) case management, career counseling and career planning[, and];

([e]d) basic education;

(e) in depth testing and formal assessment;

(f) supportive services[.];

(g) unpaid internships;

(h) employment internship opportunities; and

(i) follow up services.

([4]2) Additional intensive services available to youth include:

(a) leadership development[,];

(b) mentoring[,];

(c) comprehensive guidance and counseling;[, and]

(d) alternative school; and

([d]e) [ follow-up services]summer youth employment internship opportunities.

 

R986-600-607. Training Services.

[(1) If the client establishes appropriateness, training services are available to adults and dislocated workers:

(a) who are unable to achieve self-sufficiency through intensive services.

(2) Training services include employment related education and work site learning.

(3) Training services are available to youth who:

(a) require additional assistance to complete an educational program or to secure and hold employment, and

(b) meet the regional service priority level.

(4) Training services for youth consist of;

(a) tutoring,

(b) alternative school,

(c) occupational skills training,

(d) paid and unpaid internships, and/or

(e) summer youth employment opportunities.]Training services include employment related education and work site learning.

 

R986-600-608. Eligibility Requirements, General Definition.

(1) Core services are available to all [customers]clients.  There are no eligibility requirements for core services offered by the Department.

(2) [There are different eligibility criteria for low-income youth services (ages 14-21), and adult (18 and over) and dislocated workers.] Eligibility requirements for intensive and training services must be determined before an adult, youth, or dislocated worker can receive [those ]services. There are different eligibility criteria for low-income youth services (ages 14-21), adults (18 and over) and dislocated workers.  If a client is eligible for services in more than one category, the Department or youth contract provider will determine the most appropriate program or programs[placement] for the client.[ The Department may choose to contract out these services for youth.]

(3) A client is required to sign and date the training program agreement for the program in which he or she is enrolled.

 

R986-600-609. Citizenship[, Alienage and Residency]and Employment Authorization Requirements.

A[n individual] client seeking intensive or training services must be a citizen of the United States or be employment eligible in the United States. Employment eligible is defined by the WIA Act, section 188 (a)(5) as citizens and nationals of the US, lawfully admitted permanent resident aliens, refugees, asylees, [and ]parolees and other immigrants authorized by the U.S. Attorney General to work in the US.

 

R986-600-610. Selective Service Registration Requirements.

Male applicants and recipients who are 18 and older must be in compliance with Selective Service registration requirements to receive intensive or training services[, which includes youth services].

 

[R986-600-611. Income Eligibility Requirements.

(1) Applicants for all youth and adult programs must meet the income eligibility requirements in this rule.

(2) Dislocated workers do not need to meet income eligibility requirements.

(3) Up to 5% of the youth clients served do not need to meet the income eligibility requirements but must have barriers as determined by the Department. A list of current, eligible barriers is available at the Department.

 

]R986-600-61[2]1. [Prioritization ]Factors Used for Determining Priority.[Eligibility.]

(1) [For adults and dislocated workers, in addition to meeting the eligibility requirements found in rules R996-600-608 through R996-600-611, the Department will prioritize clients' eligibility based on prioritization factors developed by the Department. Current prioritization factors are available at the Department.]In the event WIA Adult funds are limited, priority will be given to recipients of public assistance and other low income clients for intensive and training services. Other criteria may be applied if funding dictates as determined by the State Workforce Investment Board (SWIB) or the Department.

(2) [When a client is approved for intensive or training services, the Department will estimate the anticipated cost to the Department associated with that services and "obligate" and reserve that amount for accounting purposes. The total amount of money obligated and reserved will determine which prioritization factors are operational at any given time.]In the event WIA Youth funds are limited, priority will be given to clients who have two or more barriers as determined by the SWIB.

(3) [WIA Youth Councils set regional priority levels for services for youth based on the needs of youth in specific regions or sub-region areas.

(4) Because the funding is separate and distinct for each program, the prioritization factors operate independently for each of the two affected programs (adult and youth).

(5)] Veterans and covered persons, as determined by federal law, will receive priority over non-veterans.

 

R986-600-612. Eligibility for Intensive Services.

(1) Intensive services are available to adults who meet self sufficiency requirements. Those services are available to adults who:

(a) are unemployed, receive at least one core service, and are determined by the Department to be in need of more intensive services to obtain employment; or

(b) are employed, receive at least one core service, and are determined by the Department to be in need of more intensive services to obtain employment that leads to self-sufficiency. Self-sufficiency for WIA Adult is defined as 100% of the Lower Living Standard Income Level (LLSIL) for the specified family size.

(2) Intensive services are available to dislocated workers who are:

(a ) unemployed, received at least one core service, and are determined by the Department to be in need of more intensive services to obtain employment; or

(b) employed, received at least one core service, and are determined by the Department to be in need of more intensive services to obtain employment that leads to self-sufficiency. Self-sufficiency for WIA Dislocated Worker is defined as 80% of the client's layoff wage.

 

R986-600-613. [ Categorical ]Income Eligibility.

(1) Dislocated workers do not need to meet income eligibility requirements.

(2) Applicants for youth and adult programs must meet income eligibility requirements.

(3) A client is deemed to have met the income eligibility requirements for youth services, and adult services, if the client;[ is receiving or is a member of a household that has been determined to be eligible for food stamps within the last six months or is currently receiving financial assistance from the Department or is homeless. Categorical income eligibility does not apply to expedited food stamps.]

(a) is receiving, has received, or has been determined eligible to receive food stamps at any time during the six months prior to the application date. This does not apply if the client only received expedited food stamps;

(b) is currently receiving financial assistance from the Department or TANF funds from another state;

(c) is homeless;

(d) is currently receiving SSI; or

(e) is in foster care.

[ (2) In addition, a client is deemed to have met the income eligibility requirements for youth services if the youth is a runaway or a foster child.

] ([3]4) If a client is not eligible under paragraphs (1) [and]or (2) above, the client must meet the low income eligibility guidelines in this rule[ except as provided in rule R986-600-611(3)].

(5) Up to 5% of the youth clients served do not need to meet the income eligibility requirements but must have barriers as determined by the Department. A list of current, eligible barriers is available at the Department.

 

R986-600-614. How to Determine Who Is Included in the Family.

(1) Family size must be determined to establish income eligibility for adult and youth services. Family size is determined by counting the maximum number of family members in the residence during the six months prior to the date of application, not including the current month. Family members included in the income determination:

(a) a husband and wife and dependent children age 21 and under;

(b) parent(s)or legal guardian(s) and dependent children age 21 and under;

(c) a husband and wife, if there are no dependent children, and

(d) two people living in a single residence who are not married but have children in common.

(2) A "family" is generally described as two or more persons related by blood, marriage or decree of court, living in a single residence. "Living in a single residence" includes family members residing elsewhere on a voluntary, temporary basis, such as attending school or visiting relatives. It does not include involuntary temporary residence elsewhere, such as incarceration, or court-ordered placement outside the home.

(3) A client can be considered a "family" of one, if the client is living alone or with a family member and has a disability that substantially limits one or more major life activities.

(4) The income of the parent or guardian is not counted for a client:

(a) who is between 18 and 21 years of age who states he or she has not been reliant on his or her parent or guardian's income for the six months prior to the date of application not including the current month, or

(b) who is age 22 or older living with his or her parents and applying on his or her own behalf.

[Family size must be determined to establish income eligibility for adult and youth services. Family size is determined by counting the maximum number of family members in the residence during the previous six months, not including the current month. Family size must be verified only if the Department is using family income to determine low-income eligibility for adult or youth services.

(1) A customer can be considered a "family" of one, if the customer is:

(a) age 18 or older and has been living on his or her own for the last six months, not including the current month;

(b) emancipated by marriage or court order;

(c) an adult child, age 22 or older, living with his or her parents and applying on his or her own behalf;

(d) in the custody of the state at the time eligibility is determined, or

(e) living alone or with a family and has a verifiable disability that is a substantial barrier to employment.

(2) A 'family' is generally described as two or more persons related by blood, marriage, or decree of court, living in a single residence. A dependent child is a child the parent or guardian claimed as a dependent of the parent or guardian's tax return.

(a) Family members included in the income determination:

(i) A husband and wife and dependent children age 21 and under;

(ii) A parent or legal guardian and dependent children age 21 and under; or

(iii) A husband and wife, if there are no dependent children.

(b) "Living in a single residence" includes family members residing elsewhere on a voluntary, temporary basis, such as attending school or visiting relatives. It does not include involuntary temporary residence elsewhere, such as incarceration, or court-ordered placement outside the home.

(c) Two people living in a single residence but who are not married are not members of the same 'family'. If they have children together, for WIA reporting purposes, each is considered a single parent and the children are considered part of each persons family.

]

R986-600-615. Assets.

Assets are not counted when determining eligibility for WIA services but will be considered in determining whether the [customer]client has a need for WIA funding.

 

R986-600-616. Countable Income.

(1) Countable income is total gross income from all sources with the exceptions listed below under "Excludable Income". If income is not specifically excluded, it is counted. Countable income, for WIA purposes includes:

(a) gross wages and salaries including severance pay and payment of accrued vacation leave;

(b) net receipts from self-employment, including farming;

(c) pensions and retirement income including railroad and military retirement;

(d) strike benefits from union funds;

(e) workers' compensation benefits;

(f) alimony;

(g) any insurance, annuity, or disability, payments other than SSI or veterans disability,

(h) merit-based scholarships, fellowships, and assistantships;

(i) dividends;

(j) interest;

(k) net rental income;

(l) net royalties, including tribal payments from casino royalties;

(m) periodic receipts from estates or trusts;

(n) net gambling or lottery winnings;

(o) tribal payments;

(p) disaster relief employment wages;

(q) on the job training wages reimbursed by the Department;

(r) Social Security Retirement Benefits and Social Security Disability Income which does not include old-age retirement or SSI; and

(s) all training stipends not listed in R986-600-616(2) as excludable income.

(2) Excludable Income. Income that is not counted in determining eligibility:

(a) cash payments under a Federal, state or local public assistance program, including FEP, FEPTP, GA, RRP payment, or EA,

(b) SSI, Old-Age Retirement Benefits, and Survivor's Benefits paid by the Social Security Administration;

(c) payments received from any governmental entity for adoption assistance,

(d) child support;

(e) unemployment compensation;

(f) capital gains;

(g) veterans disability payments other than retirement;

(h) educational financial assistance including Pell grants, work-study and needs-based scholarship assistance;

(i) foster care payments,

(j) tax refunds,

(k) gifts,

(l) loans,

(m) lump-sum inheritances,

(n) one-time insurance payments or compensation for injury,

(o) earned income credit from the IRS,

(p) military service member income, including military pay, military allowances and stipends and military reserve pay;

(q) reparation payments, including German reparation payments, Radiation Exposure Compensation Act payments, and Black Lung Compensation payments;

(r) guardianship subsidies as paid by a governmental entity;

(s) employment internship opportunity wages reimbursed to the employer by the Department;

(t) stipends received from VISTA, Peace Corps, Foster Grandparents Program, Retired Senior Volunteer Program, Youth Works, Americorps, and Job Corp;

(u) non-cash benefits such as employer-paid or union-paid portion of health insurance or other employee fringe benefits, food or housing received in lieu of wages, federal noncash benefits programs such as Medicare, Medicaid, food stamps, school lunches and housing assistance; and

(v) other amounts specifically excluded by federal statute.

[ (1) Countable income is total annual cash receipts before taxes are deducted, from all sources with the exceptions listed below under "Excludable Income". If income is not specifically excluded, it is counted. Countable income, for WIA purposes includes:

(a) money, wages, and salaries before any deductions,

(b) net receipts from self-employment, including farming,

(c) Job Corps payments to participants,

(d) railroad retirement,

(e) strike benefits from union funds,

(f) workers' compensation benefits,

(g) veterans' payments, except disability payments,

(h) training stipends,

(i) alimony,

(j) military family allotments or other regular support from an absent family member or someone not living in the household,

(k) private pensions or government employee pensions, including military retirement pay, except Social Security payments are excluded,

(l) any insurance, annuity, regular disability, and social security payments, other than social security disability (SSI or SSDI) or veterans disability.

(m) college or university scholarships, grants, fellowships, and assistantship (excluding Pell Grants),

(n) dividends,

(o) interest,

(p) net rental income,

(q) net royalties, including tribal payments from casino royalties,

(r) periodic receipts from estates or trusts, and

(s) net gambling or lottery winnings.

(2) Excludable income, which is income that is not counted, is:

(a) cash payments under a Federal, state or local public assistance program, including FEP, FEPTP, GA, WTE, SSI, RRP, or Emergency Assistance,

(b) payments received from any governmental unit for adoption assistance,

(c) child support,

(d) unemployment compensation,

(e) capital gains and assets drawn down as withdrawals from a bank, the sale of property, a house or car,

(f) SSDI, and veterans disability payments,

(g) educational financial assistance received under title IV of the Higher Education Act as amended by section 479(B) 1992 and other needs-based scholarship assistance and Pell grants. This includes some work-study programs,

(h) foster care payments,

(i) tax refunds,

(j) gifts,

(k) loans,

(l) lump-sum inheritances,

(m) one-time insurance payments or compensation for injury,

(n) Earned Income Credit from the IRS,

(o) income received by a veteran while on active military duty in the Armed Forces if the veteran applies for WIA services within six months of discharge,

(p) benefit payments to veterans under 38 U.S.C 4212, part 3,

(q) non-cash benefits such as employer-paid or union-paid portion of health insurance or other employee fringe benefits, food or housing received in lieu of wages, the value of food and fuel produced and consumed on farms, the value of rent from owner-occupied non farm or farm housing, federal noncash benefits programs such as Medicare, Medicaid, food stamps, school lunches and housing assistance, and

(r) other amounts specifically excluded by federal statute.

]

R986-600-617. How to Calculate Income.

(1) To determine if a client meets the income eligibility standards, all income from all sources of all family members during the [previous ]six months prior to the application date is counted.[ That amount is multiplied by two to arrive at an annual income and compared to the income guidelines, which are updated annually.] If necessary, the Department can make a[ best estimate or] year-to-date estimate based on available records.

(2) [Income averaging can be used if complete income records are not available for the six month period.

(3) Allowable business expenses are deducted from self-employment but no other deductions from income are allowed.

(4)] The [client] family is income eligible if the annual income meets the higher of:

(a) the poverty line as determined by the U. S. Department of Human Services, or

(b) 70% of the LLSIL [(lower living standard income level)] as determined by the U. S. Department of Labor and available at the Department of Workforce Services.

 

R986-600-618. Dislocated Worker.

(1) A dislocated worker is a[n individual] client who meets[, or has met within the past 24 months,] one of the following criteria:

(a)(i) has been[terminated or] laid off, [or has received a notice of termination or layoff from employment, including military service,] and

[(ii)(1)](A) is eligible for or has exhausted unemployment compensation entitlement, or

[(ii)(2)](B) has been employed for a duration sufficient to demonstrate attachment to the workforce, but is not eligible for unemployment compensation due to insufficient earnings or having performed services for an employer that were not covered under unemployment compensation law, and

(ii[i]) is unlikely to return to the [individual's]client's previous industry or occupation. 'Unlikely to return' means [that labor market information shows a lack of jobs in either that industry OR occupation, or ]the [customer]client lacks the skills to re-enter the industry or occupation, or [the client] declares that [they]he or she will not return to that industry or occupation.

(b)[(i)] [Has been terminated or laid off, or] has received a notice of [termination or] layoff;[, from employment as a result of any permanent closure of, or any major layoff at, a plant, facility, or enterprise, or

(ii) is employed at a facility at which the employer has made a general announcement that such facility will close within 180 days; or

(iii) for purposes of eligibility to receive available services other than training, intensive, or supportive services, is employed at a facility at which the employer has made a general announcement that such facility will close. Rapid response services are defined by WIA].

(c) Was self-employed (including employment as a farmer, a rancher, or a fisherman) but is unemployed as a result of general economic conditions in the community in which the [individual]client resides or because of natural disasters[.];

(d) Is a displaced homemaker. A WIA displaced homemaker is a[n individual]client who has been providing unpaid services to family members in the home and who:

(i) has been dependent on the income of another family member but is no longer supported by that income; and

(ii) is unemployed or underemployed and is experiencing difficulty in obtaining or upgrading employment[.];

(e) was laid off from military service and

(i) is eligible for or has exhausted unemployment compensation entitlement,

(ii) is unlikely to return to the previous industry or occupation, and

(iii) was discharged from the military service under conditions other than dishonorable; or

(f) is defined by the Department of Veteran Affairs as a covered person who left employment in order to relocate because of an assignment change of the military service member, and

(i) is eligible for or has exhausted unemployment compensation entitlement, or

(ii) has been employed for a duration sufficient to demonstrate attachment to the workforce but is not eligible for unemployment compensation due to insufficient earnings or having performed services not covered for unemployment compensation, and

(iii) is unlikely to return to the client's previous industry or occupations.

(2) The [dislocation]displacement must be no more than 24 months prior to the date of application[ must have occurred within the prior two years].

(3) There are no income or asset [guidelines]requirements for dislocated worker eligibility.[ Training appropriateness and financial need must still be determined before training services can be provided.]

[ (4) The following documentation is acceptable to confirm dislocated worker status:

a. Unemployment Insurance records;

b. An individual layoff letter;

c. Rapid Response Unit analysis or review;

d. Public announcements of layoff;

e. If no other means of verification are available, the employer can provide verification; or

f. Worker self certification, although this is a last resort and requires documentation that other attempts to verify were unsuccessful.

] ([5]4) If the Department is providing services under a National Reserve Discretionary Grant, additional [documentation may be needed.]eligibility requirements must be met.

 

R986-600-620. Participation in Obtaining an Assessment.

(1) When the Department or youth contract provider determines that a client has a need for intensive services, an employment counselor/case worker will be assigned to assess the needs of the client.

[(2) The assessment evaluation is used to develop an employment plan.

(3) Completion of the assessment requires that the client provide information about:

(a) family circumstances including health, needs of the children, support systems, and relationships;

(b) personal needs or potential barriers to employment ;

(c) education;

(d) work history;

(e) skills;

(f) financial resources and needs; and

(g) any other information relevant to the client's ability to become self-sufficient.

]([4]2) The client may be required to participate in testing or completion of other assessment tools and may be referred to another person within the Department, another agency, or to a company or individual under contract with the Department to complete testing, assessment, and evaluation.

 

R986-600-621. Requirements of an Employment Plan.

(1) A client is required to sign and make a good faith effort to participate to the maximum extent possible in a negotiated employment plan.[ The client will be provided with a copy of the employment plan.]

(2) The goal of the employment plan is obtaining [marketable skills and ]employment[ and the plan must contain the soonest possible target date for entry into employment consistent with the needs of the client].

(3) An employment plan consists of activities designed to help a[n individual] client become employed.

(4) [Each activity must be directed toward the goal of employment.

(5)] The employment plan may require that the client:

(a) search for employment.

(b) participate in an educational program to obtain a high school diploma or its equivalent, if the client does not have a high school diploma;

(c) obtain education or training necessary to obtain employment;

(d) obtain medical, mental health, or substance abuse treatment;

(e) resolve transportation and child care needs;

(f) resolve any other barriers identified as preventing or limiting the ability of the client to obtain employment, and/or

(g) participate in rehabilitative services as prescribed by the state Office of Rehabilitation.

([6]5) The client must meet the performance expectations of each activity in the employment plan in order to stay eligible for intensive or training services.

([7]6) The client must cooperate with the Department's efforts to monitor and evaluate the client's activities and progress under the employment plan, which may include providing ongoing information and or documentation relative to their progress and providing the Department with a release of information, if necessary to facilitate the Department's monitoring of compliance.

[ (8) Where available and appropriate, supportive services may be provided as needed for each activity.

] ([9]7) The client agrees, as part of the employment plan, to cooperate with other agencies, or with individuals or companies under contract with the Department, as outlined in the employment plan.

([10]8) An employment plan may, at the discretion of the Department, be amended to reflect new information or changed circumstances.

 

R986-600-622. Additional Requirements of an Employment Plan for Youth.

(1) [The focus of services for youth is for youth aged 14 to 21 years old.

(2)] Employment plans for all youth must reflect intentions to assist with preparing for post-secondary education and/or employment; finding effective connections to the job market and employers, and understanding the links between academic and occupational learning.

([3]2) The goal of[ employment for] the youth program is:

(a) placement in employment or postsecondary education;

(b) attainment of a degree or certificate; and/or

(c) literacy and numeracy gains for out-of-school youth who are basic skill deficient.

 

R986-600-623. [Education and Training and Support]Intensive and Training Services as Part of an Employment Plan.

(1) A client's participation in[ education or] training services beyond that required to obtain a high school diploma or its equivalent is limited per exposure to the lesser of:

(a) 24 months which need not be continuous and which can be waived by a Department supervisor based on individual circumstances, or

(b) the completion of the education and training goals of the employment plan.

(2) Education and training will only be supported [where:]when the client meets appropriateness as provided in R986-600-624.

[(a) the client is unable to achieve self-sufficiency;

(b) the plan must show that the client has the ability to be successful in the education or training and in the market thereafter;

(c) the client is willing to complete the education or training as quickly as is reasonable;

(d) the mental and physical health of the client indicates the education or training could be completed successfully and the client could perform the job once the schooling is completed; and

(e) the specific employment goal that requires the education or training is marketable in the area where the client resides or the client has agreed to relocate for the purpose of employment once the education/training is completed.

] (3) Additional payments and/or services are allowable under certain circumstances based on individual need provided they are necessary and appropriate to enable the client to participate in activities authorized under [this title (WIA)]WIA.

 

R986-600-624. Appropriateness for Training Services.

(1) To be eligible for training services, the client must have:

(a) met the eligibility requirements for intensive services as detailed in this R986-600-12;

(b) met the funding priority requirements for intensive services as listed in R986-600-611;

(c) received at least one intensive service as listed in R986-600-606; and

(d) be deemed by the Department as appropriate for training services. To be deemed appropriate, the client must:

(i) have been determined by the Department to be in need of training services,

(ii) have the skills and qualifications to successfully complete the selected training program,

(iii) select a program of training that is directly linked to employment opportunities in the area in which they plan to work, and

(iv) be unable to obtain grant assistance from other sources to pay the costs of such training or the other grant assistance is pending. If the client's PELL grant is pending when training services are provided, and later the PELL grant is awarded, the client must reimburse the Department for those training costs.

(2) A client who does not meet the requirements listed in subsection (1) of this section will be denied training services by the Department.

 

R986-600-625. Funding.

(1) When a client is approved for intensive or training services, the Department will estimate the anticipated cost to the Department associated with those services and reserve that amount for accounting purposes. This amount may be revised and/or rescinded by the Department at any time without prior notice to the client.

(2) The Department issues an electronic benefit transfer card (card) to each eligible intensive and/or training service client to pay for training, supportive services, and incentives.

(3) The client must prove that all funds received from the Department were spent as intended. Proof may require receipts. If a client is found to have been ineligible for funds, made unauthorized use of Department funds, or cannot prove how those funds were spent, the client will be responsible for repayment of the overpayment.

(4) Amounts remaining on the card after 120 days of inactivity are subject to expungement.

 

R986-600-62[4]6. The Right to Appeal a Denial of Services.

If an applicant or a client who is currently receiving services is denied services the [individual]client or applicant can request a hearing as provided in Rules R986-100-123 through R986-100-135.[  If the client is currently receiving services under WIA and requests a hearing within 10 days of the denial, services will continue pending the hearing as provided in Rule R986-100-134.]

 

R986-600-651. Definitions.

(1) ["State Council" means the]The State Council on Workforce Services is referred to in these rules as the State Workforce Investment Board (SWIB).

(2) "Eligible Provider" means a n occupational skills training provider eligible to receive funds for training adults and dislocated workers authorized under WIA and approved by the [State Council]SWIB. Basic education providers that are eligible to receive funds are approved by the Department.

[(3) "Regional Council" means any of the Regional Councils on Workforce Services.

]

R986-600-652. Determining Eligibility for Training Providers.

(1) Training providers are automatically eligible if they complete an application and are either:

(a) a postsecondary educational institution that:

(i) is eligible to receive federal funds under Title IV of the Higher Education Act of 1965 (20 U.S.C. 1070 et seq.), and

(ii) provides a program that leads to an associate degree, baccalaureate degree, or certificate; or

(b) is an entity that provides programs under the "National Apprenticeship Act'', 50 Stat. 664, chapter 663; 29 U.S.C. 50 et seq.

(2) All other training providers must submit the following information:

(a) all names under which the provider operates or is known, the mailing address, physical address, federal tax identification number, telephone number, and email address (if available) of the training facility and the number of years the provider has been in business as a school;

(b) a copy of the provider's student grievance procedure;

(c) the name of each program for which approval is requested;

(d) the percentage of all participants who complete each program, if available;

(e) the percentage of all participants in each program who obtained unsubsidized employment, if available;

(f) average placement wage of all participants in each program, if available;

(g) if the purpose of an offered program of study is to prepare students for entry into fields of employment which require licensure by any licensing agency or to prepare students for entry into fields of employment for which it would be impracticable to have reasonable expectations of employment without accreditation and/or certification by any trade and/or industry association and/or accrediting and/or certifying body, the provider must provide to the Department:

(i) information regarding the type of license, accreditation and/or certification that students completing the program of study must obtain in order to have a reasonable expectation of employment;

(ii) the name of the agency, trade and/or industry association and/or accrediting and/or certifying body;

(iii) evidence that the curriculum for the offered program of study has been reviewed by the appropriate entity identified in subparagraph (2)(g)(ii) of this section; and

(iv) evidence that the instructors teaching students enrolled in the program of study are licensed by the appropriate agency identified in subparagraph (2)(g)(ii) of this section, or have earned the accreditation and/or certification from the appropriate entity from subparagraph (2)(g)(ii) of this section to teach and/or practice in the field for which the students are being prepared;

(h) program costs including tuition and fees;[ and]

(i) documentation showing the provider has registered with the Utah Division of Consumer Protection, if required by UCA Title 13 Chapter 34. Governmental agencies are exempt and do not need to provide additional documentation but all other providers [which]that are exempt from registration with the Utah Division of Consumer Protection must also submit [the following;

(i) ]documentation of exempt status with the Utah Division of Consumer Protection;

[(ii) the self-administered Department facilities accessibility checklist; and

(iii) documentation of financial stability prepared by a Certified Public Accountant.

](j) a copy of the provder's refund policy; and

([j]k) any other information, documentation or verification requested by the Department.

(3) Applications from providers covered under subsection 2 of this section must be sent to the Department. The Department recommends approval decisions to the SWIB which[will forward the application to the Regional Council in the region in which the provider does business. The Regional Council recommendation to the State Council that the application be approved or denied. The State Council] takes the final action on each application.

(4) Providers contracting with individuals to conduct the training will only be approved if the individual conducting the training is under contract as an independent contractor of the provider and being paid by 1099.

([4]5) All providers must be in business as a school for a minimum of one year before applying to become a training provider.

(6) All providers must agree to abide by the terms of the application filed with the Department.

([5]7) The Department will notify a provider in writing or by email when a final decision has been made concerning the provider's eligibility.

([6]8) A list of eligible providers, including the provider's program performance, if available, and cost information will be published on the Department's Internet site.

([7]9) Once a provider has been approved, the Department may establish a review date for that provider and notify the provider by email of the review date. The Department will determine at the time of the review, if the provider is still eligible for approved provider status and notify the provider of that determination. At the time of review, the provider is required to provide any and all information requested by the Department which the Department has determined is necessary to allow the provider to continue to be an approved provider. This may include completing necessary forms, providing documentation and verification, and returning the Department's telephone calls. The requests for information must be completed within the time frame specified by the Department. If the Department determines as a result of the review that the provider is no longer eligible for approved provider status, the provider will be removed from the approved provider list.

([8]10) Providers must retain participant program records for three years from the date the participant completes the program.

([9]11) A provider who is not on the Department's approved provider list is not eligible for receipt of WIA funds. A provider will be removed from the eligible provider list if the provider:

(a) does not meet the performance levels established by the Department;

(b) has committed fraud or violated applicable state or federal law;

(c) intentionally supplies inaccurate student or program performance information;

(d) does not provide services in a professional and timely manner, as determined by the Department; or

(e) has lost approval, accreditation, licensing, or certification from any of the following:

(i) Utah Division of Consumer Protection,

(ii) USOE,

(iii) Northwest Association of Accredited Schools, or

(iv) any other required approval, accrediting, licensing, or certification body.

([d]f) fails to complete the review process.

([10]12) Some providers who have been removed from the eligible provider list may be eligible to be placed back on the list as follows:

(a) a provider who was removed for failure to meet performance levels may reapply for approval if the provider can prove it can meet performance levels;

(b) there is a lifetime ban for a provider who has committed fraud as a provider;

(c) providers removed for other violations of state or federal law will be suspended:

(i) until the provider can prove it is no longer in violation of the law for minor violations;

(ii) for a period of two years for serious violations;

(iii) for the lifetime of the provider for egregious violations. The seriousness of the violation will be determined by the Department; or

(iv) a provider removed for supplying inaccurate student or program performance information will be suspended for two years.

 

R986-600-654. Basic Education Training Provider.

(1) Basic education funds can only be provided to training providers approved by the Department.

(2) This section applies to basic education providers receiving funds from the Department including TANF funds under R986-200.

 

R986-600-655. Types of Basic Education Training Providers and Approval Requirements.

(1) Public schools governed by the Utah State Office of Education (USOE) must complete and submit Application "A" to the Department.

(2) Individuals offering youth tutoring personally, and not as an employee of another business or school, must be over 18 years of age, submit Application "B" and provide all of the following;

(a) a current BCI background check results for Utah, from the Utah Department of Public Safety, paid for by the individual. The BCI report cannot contain:

(i) any matters involving an alleged sexual offense;

(ii) any matters involving an alleged felony or class A misdemeanor drug offense; or

(iii) any matters involving an alleged offense against the person under Utah State Code Title 76 Chapter 5, Offenses Against the Person.

(b) a resume with tutoring-related work history or subject matter knowledge, and

(c) an approved grievance procedure for clients to use in making complaints.

(3) All other providers must submit Application "C" and;

(a) have been in business as a school in Utah for at least one year;

(b) meet all state and local licensing requirements;

(c) submit a current Utah Business License showing at least one year in business, and

(d) submit an approved grievance procedure for clients to use in making complaints.

(e) ESL training providers must also submit documentation of registration as a Postsecondary Proprietary School with the Utah Division of Consumer Protection or show an exemption from such registration, and

(f) Providers offering high school credit must also provide documentation of accreditation through Utah State Office of Education and Northwest Association of Accredited Schools.

(4) Training providers submitting Application "B" or "C" must provide the following information for each training program for which the provider is seeking approval:

(a) program completion rates for all individuals enrolled if available;

(b) the type of certification students completing the program will obtain if available;

(c) the percentage rate of certification attained by program graduates, if available; and

(d) program costs including tuition, fees and refund policy.

(5) A training provider approved under R986-600-652 can be approved for its basic education curriculum upon submission and approval of the information required in subsection (3) and (4) of this section. However, public schools governed by Title IV of the Higher Education Act of 1965 (20 USCA 1070 et seq.) or the Utah State Office of Education (USOE) approved as providers under R986-600-652 do not need to submit the information required in subsection (3) or (4) of this section.

 

R986-600-65[5]6. The Right to a Hearing and How to Request a Hearing.

(1) Training providers will be notified in writing, which may be by email of a decision to deny an application for approval as a basic education training provider or a decision to revoke prior approval. The notice will inform the provider of its right to file a written appeal, where the appeal should be sent, and the deadline for filing an appeal.[A provider may request a hearing to appeal a decision to deny eligibility or to remove the provider from the eligible provider list.]

(2) If the [Council]SWIB made the decision being appealed, the hearing request must be made in writing to the [Council]SWIB, which will conduct the hearing at the next regularly scheduled meeting. The [Council's]SWIB's decision on the provider's eligibility will be final.

(3) If the Department made the determination to deny eligibility or to remove the provider, the written hearing request must be made to the Department and a hearing will be held in accordance with rule R986-100-124 through R986-100-132. Any appeal of the decision of the ALJ must be made to the [Council]SWIB. The [Council's] SWIB's decision will be final.

 

R986-600-65[6]7. Monitoring for Compliance of Equal Opportunity and Nondiscrimination.

(1) The Department monitors service providers for compliance with the equal opportunity and nondiscrimination requirements of WIA. This includes compliance with all applicable laws, regulations, contract provisions, corrective actions, and remedial actions.

(2) Each service provider's compliance will be reviewed annually. The review can be either an on-site review or a data review.

 

R986-600-65[7]8. Noncompliance.

(1) In the event the Department identifies specific instances of noncompliance with federal discrimination laws, the Department will;

(a) notify the service provider in writing of the finding(s) of noncompliance and the corrective action required to ensure compliance;

(b) establish a corrective action plan;

(c) notify the provider of the time lines for the completion of the plan; and

(d) ensure compliance with the corrective action plan.

(2) For training providers, the corrective action plan will provide that the training provider agree to stop all prohibited practices in order to remain eligible for WIA funding.

 

R986-600-65[8]9. Sanctions for Noncompliance and Right to Appeal.

(1) The Department may impose sanctions against a provider for failure to comply with federal nondiscrimination laws or required corrective actions.

(2) If the Department finds that a provider has not taken the required corrective action in the specified time limits the Department will issue a notice of final action informing the service provider of the Department's intent to;

(a) discontinue referral of participants to the provider,

(b) cancel the contract with the provider,

(c) make other changes deemed necessary to secure compliance, and/or

(d) refer the matter to another governmental entity.

(3) The service provider may appeal the decision of the Department by filing an appeal in writing within 30 days of the date of the notice of final action to: The Director, Civil Rights Center, US Department of Labor, 200 Constitution Ave NW, Room N4123, Washington DC, 20210.

 

KEY: Workforce Investment Act

Date of Enactment or Last Substantive Amendment: [January 26, 2011]2013

Notice of Continuation: September 8, 2010

Authorizing, and Implemented or Interpreted Law: 35A-5