Utah Administrative Code

The Utah Administrative Code is the body of all effective administrative rules as compiled and organized by the Division of Administrative Rules (see Subsection 63G-3-102(5); see also Sections 63G-3-701 and 702).

NOTE: For a list of rules that have been made effective since April 1, 2019, please see the codification segue page.

NOTE TO RULEFILING AGENCIES: Use the RTF version for submitting rule changes.


R986. Workforce Services, Employment Development.

Rule R986-600. Workforce Innovation and Opportunity Act.

As in effect on April 1, 2019

Table of Contents

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

(1) The Department provides services to eligible clients under the authority granted in the Workforce Innovation and Opportunity Act, (WIOA) 20 CFR 610 allowing states to select a one-stop operator through a sole source selection. Funding is provided by the federal government through the WIOA. 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) are also applicable.

(2) The provisions of Rule R986-100 apply to WIOA unless expressly noted otherwise in these rules even though R986-100 refers to public assistance and WIOA 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.

R986-600-602. Workforce Innovation and Opportunity Act.

(1) The goal of WIOA 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 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 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 youth services may be available to;

(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) 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 levels of service for adults, youth and dislocated workers:

(1) basic career services;

(2) individualized career services;

(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 Services.

Basic career 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

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

R986-600-606. Individualized Career Services.

(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 services are available to all clients. There are no eligibility requirements for basic career services offered by the Department.

(2) Eligibility requirements for individualized career services, may be determined before an adult, youth, or dislocated worker can receive services.

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

(4) 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 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 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 or training services.

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

(1) Priority will be given to recipients of public assistance, other low income clients and individuals who are basic skills deficient for WIOA Adult individualized career and training services. Other criteria may be applied if funding is limited as determined by the Governor's State Workforce Development Board (SWDB).

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

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

R986-600-612. Eligibility for Individualized Career Services.

(1) Individualized career services are available to adults who:

(a) are unemployed and are determined by the Department to be in need of more individualized career services to obtain employment; or

(b) are employed and are determined by the Department to be in need of more individualized career services to obtain employment that leads to self-sufficiency. Self-sufficiency for WIOA Adult is defined as 100% of the Lower Living Standard Income Level (LLSIL) for the specified family size.

(2) Individualized career services are available to dislocated workers who are:

(a ) unemployed and are determined by the Department to be in need of more individualized career services to obtain employment; or

(b) employed and are determined by the Department to be in need of more individualized career services to obtain employment that leads to self-sufficiency. Self-sufficiency for WIOA 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) receiving, has received, or has been determined eligible to receive SNAP at any time during the six months prior to the application date. This does not apply if the client only received expedited SNAP;

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

(c) homeless;

(d) currently receiving SSI;

(e) 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 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;

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

(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 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) 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.

R986-600-615. Assets.

Assets are not counted when determining eligibility for WIOA services but will be considered in determining whether the client has a need for WIOA 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 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, SNAP, 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 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 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 determines that a client has a need for individualized career services, an employment counselor/case worker 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.

(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 remain eligible for certain individualized career 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 and Training Services as Part of an Employment Plan.

(1) A client's participation in training services 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 may be allowed under certain circumstances based on individual need provided they are necessary and appropriate to enable the client to participate in activities authorized under WIOA.

R986-600-624. Appropriateness for Training Services.

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

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

(b) be deemed appropriate for training services by the Department. 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 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 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 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.

R986-600-652. 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 includes 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.

(12) A training provider shall not be eligible to be included on the ETPL if:

(a) The training provider was previously removed from the ETPL due to noncompliance with these rules or is a successor to a training provider that was previously removed from the ETPL due to noncompliance with these rules, and the removal period has not expired or the conditions for reinstatement have not been met;

(b) The training provider was previously removed from another state's ETPL due to noncompliance with that state's ETPL rules or is a successor to a provider that was previously removed from another state's ETPL due to noncompliance with that state's ETPL rules, and the training provider has not been reinstated to that state's ETPL;

(c) The training provider lacks the required accreditation, licensing, registration, and certification to operate any program the training provider seeks to operate;

(d) The training provider has lost its good standing status, or is a successor to a training provider that has lost its good standing status, with the Division of Consumer Protection; or

(e) The training provider owes an overpayment to the Department or is a successor to a training provider that owes an overpayment to the Department.

(13) Notwithstanding Subsection (12)(e) above, the Department may include on the ETPL a training provider that owes an overpayment to the Department if:

(a) The overpayment did not result from the training provider intentionally supplying inaccurate information or substantially violating Title I of WIOA or the WIOA regulations; and

(b) The training provider has entered into a payment plan approved by the Department and is current in making required payments on the overpayment.

(14) For purposes of these rules, the following definitions apply:

(a) "Acquire" means to come into possession or control of, or obtain the right to use, an asset by any legal means, including gift, lease, repossession, or purchase. For purposes of this section, "acquire" does not include a purchase of an asset through a bankruptcy proceeding if the court places restrictions on the transfer of liabilities to the purchaser.

(b) "Asset" means any property, tangible or intangible, that has value, including but not limited to the acquisition of a business or trade name, customers, accounts receivable, intellectual property rights, goodwill, employees, or an agreement by a predecessor not to compete.

(c) "Control" means to have the right to direct the general operations of a training provider.

(d) "Manage" means to have the right to control or direct the day-to-day educational or training operations of a training provider.

(e) "Substantially all" means ninety percent or more of the value of a training provider.

(f) "Successor" means a person or entity that acquires the business or substantially all of the assets of a current or former training provider, or that is owned, managed, or controlled by the same principal(s) as a current or former training provider.

R986-600-653. Applying for Initial Training Provider and Program Eligibility.

(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,

(g) a list of all contractors or subcontractors the training provider intends to utilize for any aspect of the program, together with contact information for each contractor or subcontractor,

(h) the cost of attendance for the program, including tuition, fees, and any other costs, and

(i) 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.

R986-600-654. Registered Apprenticeships.

(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.

R986-600-655. Informed Client Choice.

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.

R986-600-656. Continued Eligibility Requirements for Training Providers and Programs.

(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.

(5) To remain eligible for the ETPL, training providers must continually comply with the following obligations:

(a) Provide services in an ethical, professional and timely manner;

(b) Not rely solely on funds from the Department to remain in business, which is defined as not having more than 20% of students funded by the Department at any one time;

(c) Not use the Department's logo, or market, advertise, or imply the existence of a relationship with the Department, without express written approval by the Department;

(e) Not recruit on Department premises without Department Manager or Director approval;

(f) Not use Department approval or prospective approval as a condition for accepting a student, reviewing a student's application, assessing a cost or fee to a student, or otherwise making any type of decision regarding a student's enrollment or standing in the training program;

(g) Acknowledge and accept responsibility for all actions or inaction of any contractor or subcontractor the training provider uses, including not charging students directly for any costs imposed by a contractor or subcontractor's failure to provide services or make payments to the training provider;

(h) Not contact Department employment counselors unless the contact is regarding an individual student in common and the student has signed a Department Release of Information form;

(i) Submit to and cooperate with all Department audits and requests for information, including site visits;

(j) Not expect or require a minimum number of Department referred customers;

(k) Follow all applicable laws to operate as a school, including having any required accreditation, licensing, registration, and certification;

(l) Respond to Department complaints and requests within 48 hours of receiving the complaint or request;

(m) Notify the Department within 10 days of any change to the services the training provider is providing, including but not limited to:

(i) Material changes in the coverage or availability of the courses or programs being offered;

(ii) Changes in the location(s) where courses or programs are being offered or held;

(iii) Changes in the cost of attendance, including changes in tuition, fees, or any other cost imposed or required by the training provider;

(iv) Changes in accreditation, approval, certification, or licensing, including the commencement of formal or informal action or investigation to potentially remove or change accreditation, approval, certification, or licensing;

(v) Changes in the identity or status of contractors or subcontractors being used;

(vi) Changes in the ownership, management, or control of the training provider; and

(vii) Changes to the provider's refund policy, grievance procedure, or limited English proficiency plan;

(n) Ensure that all physical facilities necessary for operation as a school are adequate for that purpose and are compliant with all applicable laws, including the Americans with Disabilities Act and related authorities;

(o) Abide by the Department's Equal Opportunity Clause and equal opportunity and nondiscrimination requirements contained in Section 188 of the Workforce Innovation and Opportunity Act, including allowing yearly Equal Opportunity monitoring by the Department;

(p) Post the Department's Equal Opportunity Notice;

(q) Notify the State of Utah Finance Division of any changes to the training provider's bank account or mailing information;

(r) Provide Department-approved students with progress and attendance reports upon request;

(s) Comply with all applicable consumer protection laws, including but not limited to the Utah Postsecondary Proprietary School Act, Utah Code Ann. Section 13-34-101 et seq., and the Utah Postsecondary School State Authorization Act, Utah Code Ann. Section 13-34a-101 et seq.;

(t) Remain in good standing with the Division of Consumer Protection;

(u) Report to the Department within 10 days any action or investigation by the Division of Consumer Protection of which the training provider becomes aware;

(v) Report to the Department within 10 days any adverse action or investigation against the training provider in any other state;

(w) Submit annual performance data on WIOA-funded students as required by the Department and according to deadlines set by the Department;

(x) Not report any false or inaccurate information to the Department; and

(y) Abide by the Training Provider Terms and Conditions Agreement.

(6) Contracted and subcontracted providers must meet the same requirements as a primary training provider.

R986-600-657. Applying for Continued Eligibility Training Provider and Program Eligibility.

(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 according to the deadlines set by the Department, including aggregate data for all students participating in or attending ETPL-approved programs.

(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 providers 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.

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. Removal from the ETPL under this subsection shall be for a period of at least two years.

(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.

(5) If a training provider or program fails to comply with these rules, the Department may:

(a) Remove the training provider or program from the ETPL for a set period of time, not to exceed two years;

(b) Remove the training provider or program from the ETPL until the training provider or program can establish compliance with these rules and any rehabilitative measures established by the Department; or

(c) Take any lesser action.

(6) Any removal from the ETPL under these rules applies to the training provider or program that is removed as well as any successor training provider or program.

(7) A training provider that receives Department funds during any period of noncompliance with these rules shall be liable to repay all Department funds received during the period of noncompliance. If the training provider's removal from the ETPL does not fall under Subsection (2) above, the Department may, in its discretion, suspend or waive all or part of an overpayment.

R986-600-659. Training Provider or Program Appeals.

(1) A training provider or program may appeal a denial of eligibility, overpayment, removal from ETPL approved status, or other adverse action by submitting a written appeal to the Department within 30 days from the decision date.

(2) Appeal proceedings under this section are designated as informal proceedings for purposes of Utah Code Ann. Section 63G-4-202.

(3) Appeal hearings shall be conducted according to the procedures set forth in Rule R986-100-124 through R986-100-133, unless those procedures are incompatible with the nature of an ETPL hearing.

(4) Further appeals from the decision of an ALJ or hearing officer may be made as set forth in Rule R986-100-135.

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

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

(7) Actions taken by the Department against a training provider or program shall remain in force during the pendency of an appeal unless the appeal results in the reversal of the Department action.

KEY

SNAP, WIOA, Workforce Innovation and Opportunity Act

Date of Enactment or Last Substantive Amendment

May 8, 2018

Notice of Continuation

September 3, 2015

Authorizing, Implemented, or Interpreted Law

35A-5


Additional Information

Contact

For questions regarding the content or application of rules under Title R986, please contact the promulgating agency (Workforce Services, Employment Development). A list of agencies with links to their homepages is available at http://www.utah.gov/government/agencylist.html or from http://www.rules.utah.gov/contact/agencycontacts.htm.