DAR File No. 41336

Workforce Services, Employment Development

Rule R986-600

Workforce Investment Act

Notice of Proposed Rule

(Amendment)

DAR File No.: 41336
Filed: 03/01/2017 04:36:29 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The reason for the change is to conform to new federal law.

Summary of the rule or change:

Congress passed the Workforce Innovation and Opportunity Act with an effective date of 07/01/2015. The final regulations became effective 10/18/2016. These proposed changes are made to comply with the new requirements of federal regulation.

Statutory or constitutional authorization for this rule:

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

Anticipated cost or savings to:

the state budget:

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

local governments:

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

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 are no compliance costs for this change to anyone, including persons affected by this change because this is a federally-funded program.

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 Office 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 [email protected]

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:

04/14/2017

This rule may become effective on:

04/21/2017

Authorized by:

Jon Pierpont, Executive Director

R986. Workforce Services, Employment Development.

R986-600. Workforce Innovation and Opportunity [ Investment ] Act.

R986-600-601. Authority for Workforce Innovation and Opportunity [ Investment ] Act ( WIOA [ WIA ]) and Other Applicable Rules.

(1) The Department provides services to eligible clients under the authority granted in the Workforce Innovation and Opportunity [Investment ] Act, ( WIOA[WIA]) 20 CFR 610 allowing states to select a one-stop operator through a sole source selection. [ 29 USC 2801 et seq. ] Funding is provided by the federal government through the WIOA[WIA]. Utah is required to file a State Plan to obtain the funding. A copy of the State Plan is available at Department administrative offices and on the Internet. The regulations contained in 20 CFR 603, 20 CFR 651 through 20 CFR 652, 20 CFR 676 through 20 CFR 678 (2016) [20 CFR 652, 20 CFR 660 through 20 CFR 671 and 29 CFR 37 (2000) ] are also applicable.

(2) The provisions of Rule R986-100 apply to WIOA[WIA] unless expressly noted otherwise in these rules even though R986-100 refers to public assistance and WIOA[WIA] funding does not meet the technical definition of public assistance. The residency requirements of R986-100-106 and the additional penalty under R986-100-118 do not apply.[ Although a WIA applicant must complete an application as provided in R986-100-111, not all of the information requested in that rule is necessary for WIA applicants.]

 

R986-600-602. Workforce Innovation and Opportunity [Investment ] Act[ (WIA)].

(1) The goal of WIOA[WIA] is to increase a client's occupational skills, employment, retention and earnings; to decrease welfare dependency; support alignment of education and economic development; increase prosperity of clients, employers and community; and to improve the quality of the workforce and national productivity.

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

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

 

R986-600-603. Youth Services.

(1) The goals of WIOA[WIA] youth services are to reconnect out-of-school youth to education and employment, 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) WIOA[WIA] youth services [are]may be 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) in School Youth, age 14 through 21, who are low income and who have one or more barriers including those that interfere with the ability to complete an educational program or to secure and hold employment,

(b) out of School Youth, age 16 through 24 and who have one or more barriers including: school dropout, attendance issues, offender, homeless, runaway, foster care, aged out of foster care, pregnant or parenting, or disabled, and

(c) out of School Youth, age 16 through 24, who are low income and who have one or more barriers including: Native American, child of incarcerated parent(s), substance abuse issues, victim of domestic violence, or refugee.

[ (3) Services to youth include eligibility determination, assessment, employment planning. The Department may provide youth services or the services may be provided under contract as determined by competitive bid.

(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. ]

(3[6]) An incentive may be paid to provide recognition of achievement to eligible youth.

 

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

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

(1) basic career[core] services;

(2) individualized career[intensive] services; [ and]

(3) training services[.]; and

(4) follow-up services that, if requested, may be provided after receiving individualized or training services for a minimum of 12 months for all youth; or for a maximum of 12 months following the adult's or dislocated worker's first date of unsubsidized employment.

 

R986-600-605. Basic Career[Core] Services.

Basic career[Core] services include[;]:

(1) registration for services;

(2) providing the following informational resources:

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

(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[.];

(c) performance measures with respect to the one-stop delivery system[;]and

(d) performance information and program cost for eligible training providers and programs.

(3) job development;

(4) rapid response services;

(5) bonding;

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

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

(8) Referral to and coordination of activities with other programs and services within the one-stop delivery system and other community programs, and

[ (8) follow-up services which will be provided for a minimum of 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, ]

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

 

R986-600-606. Individualized Career[Intensive] Services.

[ (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) case management, career counseling and career planning;

(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.

(2) Additional intensive services available to youth include:

(a) leadership development;

(b) mentoring;

(c) comprehensive guidance and counseling;

(d) alternative school; and

(e) summer youth employment internship opportunities.]

(1) Individualized career services available to clients consist of:

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

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

(c) case management, career counseling and career planning;

(d) in depth testing and formal assessment;

(e) workforce preparation activities and prevocational services; and

(f) financial literacy services.

(2) The following individualized career services may be available to eligible adults, dislocated workers and youth:

(a) English language acquisition;

(b) out-of-area job search and relocation assistance;

(c) supportive services;

(d) unpaid internships; and

(e) employment internship opportunities.

(3) Additional individualized career services available to youth include:

(a) leadership development;

(b) mentoring;

(c) comprehensive guidance and counseling;

(d) entrepreneurial skills training;

(e) alternative school; and

(f) summer youth employment internship opportunities.

 

R986-600-607. Training Services.

Training services include basic education, employment related education and work site learning.

 

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

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

(2) Eligibility requirements for individualized career services,[ intensive and training services must ] may be determined before an adult, youth, or dislocated worker can receive 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 for the client.]

(3) Eligibility requirements for training and follow-up services must be determined before an adult, youth or dislocated worker can receive services.

(4[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 and Employment Authorization Requirements.

A client seeking individualized career[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 WIOA[WIA] Act, section 188 (a)(5) as citizens and nationals of the US, lawfully admitted permanent resident aliens, refugees, asylees, 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 individualized career[intensive] or training services.

 

R986-600-611. Factors Used for Determining Priority.

(1) [In the event WIA Adult funds are limited, ] P[p]riority will be given to recipients of public assistance,[ and ]other low income clients and individuals who are basic skills deficient for WIOA Adult individualized career[intensive] and training services. Other criteria may be applied if funding is limited[dictates] as determined by the Governor's State Workforce [Investment]Development Board (SWDB[SWIB])[ or the Department ].

(2) In the event WIOA[WIA] Youth funds are limited, priority will be given to clients who have two or more barriers as determined by the SWDB[SWIB].

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

 

R986-600-612. Eligibility for Individualized Career[Intensive] Services.

(1) Individualized career[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 individualized career[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 individualized career[intensive] services to obtain employment that leads to self-sufficiency. Self-sufficiency for WIOA[WIA] Adult is defined as 100% of the Lower Living Standard Income Level (LLSIL) for the specified family size.

(2) Individualized career[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 individualized career[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 individualized career[intensive] services to obtain employment that leads to self-sufficiency. Self-sufficiency for WIOA[WIA] Dislocated Worker is defined as 80% of the client's layoff wage.

 

R986-600-613. 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;

(a) [ is ]receiving, has received, or has been determined eligible to receive food stamps (SNAP) 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[.]; or

(f) basic skills deficient.

(4) If a client is not eligible under paragraphs (1) or (2) above, the client must meet the low income eligibility guidelines in this rule.

(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 a single[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.

(e) dependent is defined as the client's statement that the child is claimable as an IRS dependent.

[ (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. ]

(2[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.

(3[4]) The income of the parent or guardian is not counted for a client who is over the age of 19 and the parents cannot claim him or her as an IRS dependent.[:]

[ (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. ]

 

R986-600-615. Assets.

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

 

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 six months prior to the application date is counted. If necessary, the Department can make a year-to-date estimate based on available records.

(2) The 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 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 client who meets one of the following criteria:

(a)(i) has been laid off through no fault of his or her own , and

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

(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) is unlikely to return to the client's previous industry or occupation. 'Unlikely to return' means the client lacks the skills to re-enter the industry or occupation, or declares that he or she will not return to that industry or occupation.

(b) has received a notice of layoff;.

(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 client resides or because of natural disasters;

(d) Is a displaced homemaker. A WIOA[WIA] displaced homemaker is a 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 displacement must be no more than 24 months prior to the date of application.

(3) There are no income or asset requirements for dislocated worker eligibility.

(4) If the Department is providing services under a National Reserve Discretionary Grant, additional eligibility requirements must be met.

 

R986-600-619. Participation Requirements.

Payment of any and all financial assistance, individualized career[intensive] and/or training services is contingent upon the client participating, to the maximum extent possible, in assessment and evaluation, and the completion of a negotiated employment plan.

 

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

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

(2) When the Department determines a client has a need for training services an employment counselor will be assigned to assess the needs of the client.

([2]3) 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.

(2) The goal of the employment plan is obtaining employment.

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

(4) 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.

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

(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.

(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.

(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) 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.

(2) The goal of the youth program is to reconnect out-of-school youth to education and employment and assist in-school youth with completing education through:

(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. Individualized Career[Intensive] and Training Services as Part of an Employment Plan.

(1) A client's participation in 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 when the client meets appropriateness as provided in R986-600-624.

(3) Additional payments and/or services [are] may be allow[able]ed under certain circumstances based on individual need provided they are necessary and appropriate to enable the client to participate in activities authorized under WIOA[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;

] ( a [ b ]) have met the funding priority requirements for individualized career[intensive] services as listed in R986-600-611; and

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

] (b[d]) be deemed appropriate for training services 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 individualized career[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 individualized career[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 30[120] days of inactivity are subject to expungement.

 

R986-600-626. The Right to Appeal a Denial of Services.

If an applicant or a client who is currently receiving services is denied services the client or applicant can request a hearing as provided in Rules R986-100-123 through R986-100-135.

 

[ R986-600-651. Definitions.

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

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

 

R986-600-652. [ Determining]Initial Eligibility Requirements for Training Providers and Programs .

(1) Training providers must apply for a specific program/s, and be found eligible, to be included on the Utah Eligible Training Provider List (ETPL).

(2) The following training providers can apply to be included in the ETPL;

(a) post-secondary institutions,

(b) registered apprenticeship programs,

(c) other public or private providers of training services, or

(d) providers of adult education and literacy activities including English as a Second Language.

(3) Training provider requirements.

(a) All training providers seeking initial eligibility must have been in business as a training provider and have provided training to students for at least two years.

(b) Training providers, with the exception of government entities and basic education providers, must be registered with the Utah Division of Consumer Protection as a Post-Secondary Proprietary School. The only acceptable reasons for exemption from registration as a post-secondary proprietary school are for those schools governed by an accrediting body which oversees program instruction.

(4) Training providers must apply for eligibility for each training program they wish to have included on the ETPL.

(5) Training programs are defined as one or more courses or classes, or a structured regimen that leads to;

(a) an industry recognized post-secondary credential,

(b) employment,

(c) high school diploma or GED, or

(d) a measurable skill gain toward credential or employment.

(6) Training programs can be delivered in-person, online or in a blended approach.

(a) Online training is only eligible if it;

(i) is part of a curriculum where lessons are assigned, completed and returned,

(ii) requires students to interact with instructors, and

(iii) requires students to take periodic tests.

(b) Self-directed online training that is not instructor-led is not eligible.

(7) Training programs must submit performance data. that include data from at least one training class that has completed and/or graduated from the program and the students have been tracked for at least 3 months after completing the program. If a training program has not operated for at least three months after the first class has graduated, the provider must submit letters verifying the need for trained employees from at least three local businesses that hire employees that need the type of training offered.

(8) Out of state training providers that do not have a training location in Utah may apply to be on the Utah ETPL only if they maintain provider and program eligibility on the ETPL in the state where their main or corporate office is located.

(9) Utah may enter into reciprocal agreements with other states to utilize the ETPL from those states. The agreement allows Utah clients to select a training program from another state's ETPL.

(10) The Department will not pay for training costs that are incurred prior to the training program being found eligible.

(11) when applying and while on the ETPL, training providers must agree to abide by the Training Provider Terms and Conditions Agreement which is provided as part of the application process.

[ (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;

(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 that are exempt from registration with the Utah Division of Consumer Protection must also submit documentation of exempt status with the Utah Division of Consumer Protection;

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

(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 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.

(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.

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

(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.

(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.

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

(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.

(f) fails to complete the review process.

(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. ]

 

R986-600-653. Applying for Initial Training Provider and Program Eligibility [Distance Learning Providers].

(1) Training providers must submit the following information for each program for which they are seeking eligibility:

(a) training provider contact information,

(b) training program description and requirements,

(c) connection with in-demand industry sectors and occupations,

(d) license or accreditation, if applicable,

(e) equal opportunity grievance procedure,

(f) aggregate performance data for every graduating class in the last full school year for every student, and

(g) any other information, documentation and/or verification requested by the Department.

(2) The training provider will be notified once an eligibility decision is made. If an application is denied, the notification will include information on the appeals process as described in R986-600-659.

[ (1) Distance learning is training that is made possible due to advances in computer technology. Using an online computer connection, distance learning can establish a setting for students and instructors where lessons are assigned, completed, and returned, and discussions can be held online.

(2) Distance learning can only be approved when it is a part of a curriculum that:

(a) leads to the completion of a training program;

(b) requires students to interact with instructors;

(c) requires students to take periodic tests. ]

 

R986-600-654. Registered Apprenticeships[Basic Education Training Provider].

(1) All U.S. Department of Labor (DOL) Registered Apprenticeships located in Utah are eligible to be included on the ETPL. In order to provide funding for classroom training, the registered apprenticeship sponsor must be listed on the ETPL.

(2) Registered apprenticeship program sponsors must request to be included on the list verbally, through email or hard copy.

(3) Registered apprenticeship sponsors must submit information on the sponsor, program and training provider. Registered apprenticeship sponsors are not required to submit performance standards.

(4) Any registered apprenticeship will be removed from the ETPL if it loses its registration voluntarily or involuntarily.

(5) If a registered apprenticeship program sponsor is determined to have provided inaccurate information or to have substantially violated any provision of WIOA, they will be removed from the ETPL.

[ (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. Informed Client Choice [ Types of Basic Education Training Providers and Approval Requirements].

The ETPL contains information for a client to make an informed choice based on performance data, the connections the training has with in-demand occupations, and cost.

[ (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. ]

 

R986-600-656. Continued Eligibility Requirements for Training Providers and Programs[The Right to a Hearing and How to Request a Hearing].

(1) Training programs receive initial eligibility for up to one year. To remain on the ETPL, the training provider must complete an application for continued eligibility and submit it before the expiration of the last month of eligibility.

(2) Training providers must renew eligibility annually or more often as instructed by the Department.

(3) If a training provider already on the list adds a new program, it must apply for approval of that program. The renewal date for the new program will be coordinated with the provider's other program or programs so all programs for that provider renew at the same time.

(4) If any of the information provided in R986-600-653 changes, the provider must notify the Department.

[ (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.

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

 

R986-600-657. Applying for Continued Eligibility Training Provider and Program Eligibility[Monitoring for Compliance of Equal Opportunity and Nondiscrimination].

(1) Training providers must certify that all the information previously provided for each program for which they are seeking continued eligibility is current and correct.

(2) As part of continued eligibility the provider must submit performance data by program for the last school year for every WIOA student enrolled in the program.

(3) The Department will also consider the provider's past compliance with the Training Provider Terms and Conditions Agreement when determining continued eligibility.

(4) Programs that do not meet the minimum standards or provide the required information by the renewal date will be removed from the ETPL. If a provider is unable to complete the renewal requirements, an extension may be granted if the delay is due to exceptional circumstances or circumstances that are beyond the provider's control. The request for an extension must be submitted 30 days before the renewal deadline or as soon as possible.

(5) Training provider will be notified of the decision on continued eligibility. If an application is denied, the notification will include information on the appeals process as described in R986-600-659

[ (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. ]

 

R986-600-658. Training Provider Terms and Conditions, Noncompliance.

(1) Training providers must agree to comply with the Training Provider Terms and Conditions Agreement. If a training provider does not follow the Terms and Conditions Agreement, the provider and all of its programs will be removed from the ETPL.

(2) If a training provider reports false or inaccurate information during the initial or continued eligibility process or substantially violates a provision of Title I of WIOA or its implementing regulations, including Equal Opportunity (EO) regulations, the training provider and all of its programs will be removed from the ETPL. The Department may also do an onsite visit to ensure compliance with WIOA and EO regulations.

(3) If a provider has been removed from the ETPL the Department will not pay for any additional training costs for any current or future clients until the training provider is eligible to reapply for ETPL initial eligibility.

(4) If a training provider has been removed from the ETPL, they will be notified if they will be eligible to reapply for initial eligibility and when they can submit a new application.

[ (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. ]

 

R986-600-659. [ Sanctions for Noncompliance and ] Training Provider Right to Appeal.

(1) If a Training Provider or Program is denied eligibility; or the training provider and/or program has been removed from the ETPL due to non-compliance, they have the right to appeal the decision.

(3) Training providers must provide a written appeal to the Department within 30 days from the decision date.

(4) The SWDB will review the appeal and make a final decision.

(5) EO findings are reviewed by the Department executive director for a final decision.

(6) Training providers will be notified of the final decision.

[ (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 Innovation and Opportunity [ Investment ] Act

Date of Enactment or Last Substantive Amendment: [ October 7, 2013 ] 2017

Notice of Continuation: September 3, 2015

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