Utah Admin. Code R48 — Workforce Services

R982 Administration

R982-101 Americans with Disabilities Complaint Procedure

Utah Admin. Code R982-101-100 Authority and Purpose

(1) The legal authority for this rule is found in Section 35A-1-104 and Subsection 63G-3-201(3), and Title II of the Americans with Disabilities Act (ADA).

(2) No qualified individual with a disability, by reason of such disability, shall be excluded from participation in or be denied the benefits, services, programs, or activities of the Department, or be subjected to discrimination by the Department.

(3) The Department will provide prompt and equitable resolution of any complaints filed with, received by, or referred to the Department by qualified individuals with disabilities arising from exclusion from participation in, or denial of benefits or services, programs or activities, administered by the Department.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-101 Definitions

(1) "ADA coordinator" (coordinator) means the Department's coordinator or coordinators who have responsibility for investigating and providing prompt and equitable resolution of complaints filed by qualified individuals alleging discrimination in the receipt of services or work accommodation due to disability.

(2) "Executive Director" (director) means the chief administrative officer of the Department appointed by the governor pursuant to Subsection 35A-1-201(1)(a) or the director's designee.

(3) "Disability" means, with respect to an individual with a disability, a physical or mental impairment that substantially limits one or more of the major life activities of an individual; a record of an impairment; or being regarded as having an impairment.

(4) "Qualified individual with a disability" The definition in Title II of the ADA (1990) is incorporated by reference. The term generally means a person who has a disability that limits one or more major life activities and who meets the essential eligibility requirements for the receipt of services or the participation in programs or activities provided by the Department or who, with or without reasonable accommodation, can perform the essential functions of the position in the Department, or who would otherwise be an eligible applicant for vacant positions with the Department, as well as those who are employees of the Department.

(5) "Major life activities" means functions such as caring for oneself, performing manual tasks, walking, sitting, seeing, hearing, speaking, breathing, learning and working.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-102 Classification of Records

The record of each complaint and appeal, and any written records produced or received as part of the complaint procedure under this rule, shall be classified as protected as defined under Section 63G-2-305 until the coordinator, director, or designee issues the decision. When the decision is issued, any portions of the record that pertain to the individual's medical condition shall remain classified as private as defined under Section 63G-2-302, or controlled as defined in Section 63G-2-304. Any other information gathered as part of the complaint record shall be classified as private information. The decision of the coordinator, director, or designee shall be classified as protected information.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-103 Relationship to Other Laws

This rule does not prohibit or limit the use of remedies available to individuals under Title 67, Chapter 19a, Grievance Procedures; 28 CFR 35.170, et seq.; or any other federal law, Utah law, or the common law that provides equal or greater protection for the rights of individuals with disabilities.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-104 Appointment of ADA Coordinator

The director shall appoint one or more persons as the ADA coordinator to investigate and resolve complaints filed by qualified individuals with disabilities.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-200 Filing of Complaints by Department Employees or Applicants for a Vacant Position

(1) A complaint shall be filed in a timely manner to assure prompt, effective investigation, but no later than 180 days from the date of the alleged act of discrimination.

(2) The complaint may be filed by a qualified individual with a disability through the online complaint form on the Department's website, at any Department office or directly with the coordinator. The complaint shall be in writing or in another accessible format suitable to the individual. Complaints filed locally are to be forwarded immediately to the coordinator. If filed directly with the coordinator it should be delivered or mailed to:

ADA Coordinator

Department of Workforce Services

140 East 300 South

Salt Lake City, UT 84145-0249

eo@utah.gov

(3) Each complaint shall be in writing or in another accessible format suitable to the individual and include:

(a) the individual's name and contact information;

(b) the nature and extent of the individual's disability;

(c) the Department's alleged discriminatory action in sufficient detail to inform the Department of the nature and the date of the alleged violation;

(d) a description of the action and accommodation desired; and,

(e) be signed by the individual or legal representative.

(4) Complaints filed on behalf of classes or third parties shall describe or identify by name, if possible, the alleged victims of discrimination.

(5) With or without exhausting Department procedures, individuals may also file complaints alleging discrimination in employment with:

Utah Anti-Discrimination and Labor Division

160 East 300 South

Salt Lake City, UT 84114

or,

Equal Employment Opportunity Commission

4520 North Central Avenue, Suite 300

Phoenix, AZ 85012-1848

Phone 602-640-2598

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-201 Investigation and Resolution of Employee Complaints

(1) The coordinator shall investigate each complaint received.

(2) Within 15 business days after receiving the complaint, the coordinator shall either issue a decision in writing stating the action that will be taken on the complaint, that no action will be taken on the complaint, or notify the complainant in writing that the decision is being delayed and the amount of additional time needed to issue a decision.

(3) The party initiating the complaint and the Department may agree in writing to waive or extend the time limits set forth in the complaint process.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-202 Appeals of Employee Complaints

(1) The complainant may appeal the decision of the coordinator by filing an appeal within five business days from the receipt of the decision. The appeal shall be in writing or in another accessible format suitable to the individual.

(2) The filing of an appeal shall be considered as authorization by the complainant to allow review of any information, including information classified as other than public information, by the director.

(3) The appeal shall describe in sufficient detail why the coordinator's decision is in error, is incomplete or ambiguous, is not supported by the evidence, or is otherwise improper.

(4) The director shall review the coordinator's findings and decision and may conduct an additional investigation.

(5) The director shall either issue a decision within ten working days of receipt of the appeal, or shall notify the complainant in writing or in another accessible format suitable to the individual that the decision is being delayed and the amount of additional time needed to issue a decision.

(6) Nothing in this rule relieves the complainant from complying with or assisting in the complaint process by providing information necessary to investigate the complaint.

(7) Nothing in this rule requires the director to gather information or seek documentation to support the complaint.

(8) The decision issued by the director shall constitute the final agency action.

(9) The director may appoint a designee other than the coordinator to fulfill the director's obligations under this rule.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-300 Filing of Complaints by Customers

(1) The Department will resolve any written complaints filed by a qualified individual with a disability with the Department arising from exclusion from participation in, or denial of benefits or services, programs or activities, administered by the Department. Complaints shall be made on a form as developed by the Department.

(2) Any customer complaints shall be filed in a timely manner to assure prompt, effective assessment and consideration of the facts, but no later than 180 days from the date of the alleged act of discrimination.

(3) The complaint may be filed through the online complaint form on the Department's website, at any Department office, or directly with the coordinator. Complaints filed locally are to be forwarded immediately to the coordinator. The complaint shall be in writing or in another accessible format suitable to the individual and delivered or mailed to:

ADA Coordinator

Department of Workforce Services

140 E 300 South

Salt Lake City, UT 84145-0249

eo@utah.gov

(4) Each complaint shall include:

(a) the individual's name and contact information;

(b) the nature and extent of the individual's disability;

(c) the Department's alleged discriminatory action in sufficient detail to inform the Department of the nature and the date of the alleged violation;

(d) a description of the action and accommodation desired; and,

(e) be signed by the individual or legal representative.

(5) Complaints filed on behalf of classes or third parties shall describe or identify by name, if possible, the alleged victims of discrimination.

(6) With or without exhausting Department procedures, complainants may also file complaints alleging discrimination in the delivery of services with:

Director, Civil Rights Center

U.S. Department of Labor

200 Constitution Avenue, NW Room N4123

Washington, D.C. 20210; or

Office of Civil Rights

U.S. Department of Health and Human Services

Federal Office Building

1961 Stout Street

Denver, CO 80295-3538.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-301 Investigation of Customer Complaints

(1) The coordinator shall document the filing of the complaint and shall assemble any the necessary information to process the complaint.

(2) When conducting the investigation, the coordinator may seek assistance from the attorney general or any Department employee or other person or agency in determining what action, if any, shall be taken on the complaint.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-101-302 Issuance of Decisions and Appeal Rights of Customer Complaints

The coordinator shall issue a decision in writing or other accessible format suitable to the individual within 90 days from the date the complaint was received by the Department. The decision shall inform the parties of their appeal rights and the procedure for filing an appeal. The decision shall outline what action was taken or will be taken, if any.

History

KEY: disabilities, complaints
Date of Last Change: April 21, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

R982-111 Adoption Tax Credit

Utah Admin. Code R982-111-101 Authority

This rule is authorized by Section 35A-1-111.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-102 Definitions

In addition to the definitions found in Sections 59-10-1046 and 59-10-1114, the following definitions apply to this rule:

(1) "ALJ" means an administrative law judge or other presiding officer pursuant to Subsection 35A-1-301(1).

(2) "Applicant" means an individual requesting certification under Section 35A-1-111.

(3) "Certification" means the certification described in Section 35A-1-111.

(4) "Deliver" means to send through the United States Postal Service, email, or facsimile, or to submit in person to a department office.

(5) "Department" means the Department of Workforce Services.

(6) "Division" means the Department of Workforce Services, Division of Adjudications and Appeals.

(7) "Executive director" means the chief administrative officer of the department appointed by the governor pursuant to Subsection 35A-1-201(1)(a) or the executive director's designee.

(8) "Hearsay" means information provided by a source whose credibility cannot be tested through cross-examination.

(9) "Preponderance of the evidence" means evidence that is of greater weight or more convincing than the evidence offered in opposition to it; that is, evidence that shows the fact sought to be proved is more probable than not.

(10) "UAPA" means Title 63G, Chapter 4, Utah Administrative Procedures Act.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-200 Application for Certification

(1) An applicant may apply for certification beginning January 1 after the taxable year for which the applicant requests certification.

(2) Applications for certification are available on the department's website.

(3) An applicant shall provide:

(a) the applicant's:

(i) name;

(ii) address;

(iii) birthdate;

(iv) phone number;

(v) email address; and

(vi) social security number or other relevant identification number;

(b) if the applicant is married, the applicant's spouse's:

(i) name;

(ii) birthdate; and

(iii) social security number or other relevant identification number;

(i) name;

(ii) birthdate; and

(iii) social security number, if available;

(d) a certified finalized adoption decree; and

(e) any other information required by the Department to issue a certification.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-201 Department Certification Determination

(1) The department shall review each application for certification to determine if the applicant provided the information required by Subsection R982-111-200(3).

(2) If the applicant has provided the information required by Subsection R982-111-200(3), the department shall:

(a) search department records to determine if the applicant, or the applicant's spouse, received state or federal assistance pursuant to Subsection 35A-1-111(1)(a); and

(b) examine the certified finalized adoption decree to determine the decree's authenticity .

(3) After reviewing an application pursuant to Subsections (1) and (2), the department shall issue:

(a) a certification; or

(b) written notice of a denial of certification.

(4) A certification determination made by the department under this section is exempt from UAPA.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-300 Right to Appeal a Denial of Certification

(1) An applicant may appeal a denial of certification under Section R982-111-201 by delivering a written appeal to the division.

(2) An applicant's appeal under Subsection (1) shall:

(a) be signed by the applicant unless:

(i) it can be shown the applicant has conveyed, in writing, the authority to another person; or

(ii) the applicant is physically or mentally incapable of acting on the applicant's own behalf; and

(b) contain the following information:

(i) the name, email address, and mailing address of the applicant;

(ii) the applicant's social security number or other relevant identification number; and

(iii) if applicable, the mailing address, facsimile number, or email address of the applicant's representative.

(3) If an applicant provides the correct UtahID username and password when filing the appeal through the department's website, the division shall consider that appeal a signed appeal.

(4) An applicant may include in the appeal a statement of the reason for the appeal and any information supporting the appeal.

(5)(a) An applicant may:

(i) pursue an appeal without the assistance of legal counsel or other representation; or

(ii) be represented by legal counsel or another representative at every stage of adjudication.

(b) An applicant's failure to obtain legal representation may not be grounds for reconsideration of an order of an ALJ.

(6) An attorney licensed in a jurisdiction outside Utah may represent an applicant without being admitted pro hac vice in Utah.

(7) If an applicant has a representative, the division shall deliver documents to the representative as directed by the applicant or representative.

(8) The division may not reject an appeal because of nonconformance in form or content but may require an amended or substitute appeal meeting the requirements of this section. An applicant must file an amended or substitute appeal within 15 days after notice of the defect from the division.

(9) Upon receipt of an appeal, the division shall schedule a hearing before an ALJ and send notice of the hearing as provided in Section R982-111-305.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-301 Time Limits for Filing an Appeal

(1) The division must receive an appeal no later than 30 days from the date on the notice of a denial of certification issued under Section R982-111-201 .

(2) An appeal is filed timely under Subsection (1) if:

(a) in the case of an appeal delivered by mail or submitted in person:

(i) the appeal is received by the division on or before the close of business of the last day of the 30-day period;

(ii) the date of the postmark on the envelope indicates the appeal was mailed on or before the last day of the 30-day period;

(iii) the department's date stamp on the appeal shows the appeal was received on or before the close of business of the last day of the 30-day period ; or

(iv) the ALJ finds there is other competent evidence showing the appeal was mailed or received on or before the last day of the 30-day period; or

(b) in the case of an electronically delivered appeal, the appeal is received no later than midnight of the last day of the 30-day period.

(3)(a) In computing the 30-day period under Subsection (1), the date as it appears in the notice of denial is not included.

(b) If the 30th day falls on a weekend or holiday, the deadline is the next working day.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-302 Untimely Appeal

(1) If an applicant's appeal appears to be filed untimely pursuant to Section R982-111-301, the division shall notify the applicant and give the applicant an opportunity to show the appeal was filed timely or was delayed for good cause pursuant to Section R982-111-303.

(2) If the ALJ finds an appeal was not filed timely pursuant to Section R982-111-301 and the delay was without good cause pursuant to Section R982-111-303, the ALJ may not consider the merits of the appeal.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-303 Good Cause

Good cause for an untimely appeal under Section R982-111-302 is limited to circumstances where it is shown that:

(1) the applicant received a denial notice under Section R982-111-201 after the 30-day period in Section R982-111- 301, the appeal was filed within ten days of receipt of the denial notice, and the delay was not the result of willful neglect; or

(2) the applicant's delay in filing was due to circumstances:

(a) beyond the applicant's control; or

(b) that are compelling and reasonable.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-304 Response to an Appeal

The department is not required to file a written response to an appeal. The department may file a response if it does not delay the proceedings.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-305 Notice of the Hearing

(1) At least ten days before the hearing, the division shall notify the parties of:

(a) the day and time of the hearing;

(b) the right to be represented at the hearing;

(d) the consequences of not participating;

(e) the procedures and limitations for requesting a continuance or rescheduling;

(f) the procedure for requesting an interpreter; and

(g) the procedure for requesting accommodation for the hearing.

(2) It is the responsibility of a party to notify and plan for the participation of the party's representative and witnesses.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-306 Department to Provide Documents

The division shall obtain the information the department used to make its determination and send the department's relevant documentary information to the parties with the notice of hearing.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-307 Discovery

(1) A party may request that the ALJ compel the production of information through a verbal or written order or issuance of a subpoena to secure the attendance of witnesses or the production of evidence.

(2) In considering a request in Subsection (1), the ALJ shall balance the need for the information with the burden the request places upon the source of the information.

(3) Formal discovery includes requests for admissions, interrogatories, and other methods of discovery as provided by the Utah Rules of Civil Procedure. The ALJ may allow formal discovery if each of the following elements is present:

(a) informal discovery is inadequate to obtain the information required;

(b) there is no other available alternative that would be less costly;

(d) formal discovery is necessary for the parties to properly prepare for the hearing; and

(e) formal discovery does not cause unreasonable delays.

(4) The division may require the party requesting information or documents to pay in advance the costs of obtaining or reproducing such information or documents.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-308 Hearing Procedure

(1) An appeal hearing is a formal adjudicative proceeding under UAPA.

(2) The division shall record the hearing.

(3) The ALJ shall:

(a) conduct the hearing in a way that affords due process and protects the rights of each party;

(b) regulate the course of the hearing to obtain full disclosure of relevant facts and afford each party a reasonable opportunity to present their positions;

(d) take testimony of each witness under oath or affirmation; and

(e) give each party the opportunity to:

(i) provide testimony;

(ii) present relevant evidence that has probative value;

(iii) cross-examine witnesses;

(iv) examine or be provided with a copy of each exhibit;

(v) submit rebuttal evidence;

(vi) provide statements orally or in writing; and

(vii) respond, argue, and comment on the issues.

(4) The ALJ has the discretion to do any of the following:

(a) accept any relevant evidence whether oral or written, real or demonstrative, direct or circumstantial ;

(b) exclude evidence that is irrelevant, immaterial, or unduly repetitious;

(d) consider official department records at any time in the appeals process including after the hearing.

(5) Anyone testifying falsely under oath may be subject to prosecution for perjury in accordance with Sections 76-8- 502 and 76-8-503.

(6) If a party attempts to introduce evidence into a hearing and the ALJ excludes the evidence, the party may proffer the excluded testimony or evidence to allow a reviewing judicial authority to review the correctness of the ruling of exclusion on appeal.

(7)(a) Parties are encouraged to file documentary evidence at least three days in advance of the hearing.

(b) If a party submits documentation during the hearing, the ALJ may admit the documents after provisions are made to ensure due process is satisfied.

(i) reschedule the hearing to another time;

(ii) allow the parties time to review the documents during the hearing; or

(iii) read the material into the record.

(8) A party is responsible for presenting any relevant evidence in its possession. When a party is in possession of evidence but fails to introduce the evidence, the ALJ may presume the evidence does not support the party's position.

(9) The ALJ shall base the decision solely on the testimony and evidence presented at the hearing.

(10) The evidentiary standard is a preponderance of the evidence.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-309 Telephone Hearings

(1) Hearings are telephonic unless an in-person hearing request is granted pursuant to this section.

(2)(a) Each party wishing to participate in the telephone hearing must call the division before the hearing and provide a telephone number where the party may be reached for the hearing.

(b) If the applicant fails to call in advance as required by the notice of hearing, the division shall dismiss the appeal and issue an order of default in accordance with Section R982-111-316.

(3)(a) If a party requires an in-person hearing, the party must contact the division and request an in-person hearing at least five business days before the hearing.

(b) If the division grants the request, the division shall inform each party that the ALJ will conduct the hearing in person.

(i) accommodate a disability or similar need; or

(ii) ensure an orderly and fair hearing that meets due process requirements.

(d) Any party may elect to participate by telephone in an in-person hearing.

(e) An ALJ shall hold an in-person hearing in the office of the division unless the ALJ determines that another location is more appropriate.

(f) The department is not responsible for any travel costs incurred by attending an in-person hearing.

(4) The division shall provide a toll-free telephone number for individuals to confirm and participate in a telephone hearing.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-310 Hearsay Evidence

(1)(a) An ALJ may not exclude evidence solely because it is hearsay.

(b) An ALJ may give greater weight to credible sworn testimony from a party or a witness with personal knowledge of the facts.

(2) An ALJ may not base a finding of fact exclusively on hearsay evidence unless that evidence is admissible under the Utah Rules of Evidence.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-311 Procedure For Use of an Interpreter at the Hearing

(1) If a party notifies the division that an interpreter is needed, the division shall arrange for an interpreter at no cost to the party.

(2) The ALJ shall question the interpreter to determine if the interpreter understands the English language and understands the language of the person for whom the interpreter will interpret.

(3) The ALJ shall instruct the interpreter to interpret word for word and not summarize, add, change, or delete any of the testimony or questions.

(4) The interpreter shall swear to truthfully and accurately translate each statement made, each question asked, and each answer given, to the best of the interpreter's ability.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-312 Department a Party to Hearings

(1) As a party to the hearing, the department has the right to present evidence, bring witnesses, cross-examine witnesses, give rebuttal evidence, and appeal decisions.

(2) The ALJ may not act as the agent for the department.

(3)(a) The ALJ may call witnesses for the department when the testimony is necessary and the need for such witnesses or evidence could not have been reasonably anticipated by the department before the hearing.

(b) If a witness is not available, the ALJ may continue the hearing until the witness is available.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-313 Ex Parte Communications

(1) A party may not discuss the merits or facts of any pending case with the ALJ assigned to that case before the issuance of the decision unless every other party to the case has been given notice and opportunity to be present.

(2) The ALJ shall report any ex parte discussion between a party and the ALJ to all parties at the hearing and make the report part of the record.

(3) A discussion with a department employee who is not designated to represent the department in the hearing and is not expected to participate in the hearing is not an ex parte communication.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-314 Requests for Removal of an ALJ from a Case

(1) A party may request that an ALJ be removed from a case based on partiality, interest, or prejudice.

(2) A party requesting removal of an ALJ under Subsection (1) shall:

(a) make the request before the hearing unless the reason for the request was not or could not have been known before the hearing; and

(b) state specific facts establishing cause for removal.

(3) If the division finds removal of the ALJ is appropriate, the division shall reassign the case to a different ALJ.

(4) If the division finds no legitimate grounds for removal of the ALJ, the division shall deny the request and the ALJ shall explain the reasons for the denial during the hearing.

(5) A party may file an appeal pertaining to the partiality, interest, or prejudice of an ALJ within the time limitations for appealing any other decision.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-315 Rescheduling or Continuance of Hearing

(1) An ALJ may adjourn, reschedule, continue, or reopen a hearing on the ALJ's own motion or on the motion of a party.

(2)(a) If a party knows in advance of the hearing that the party cannot proceed with or participate in the hearing on the date or time scheduled, the party must request that the hearing be rescheduled or continued to another day or time.

(b) If a party submits a request for rescheduling under Subsection (2)(a) after the hearing begins, the party must show cause for failing to make a timely request.

(d) A party making a request for rescheduling or a continuance under Subsection (2)(a) must provide evidence of good cause for the request.

(3) An ALJ may not grant a party more than one request for a continuance under Subsection (2)(a) absent compelling circumstances.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-316 Failure to Participate in the Hearing and Reopening the Hearing After the Hearing Has Been Concluded

(1) If a party fails to appear for or participate in the hearing, either personally or through a representative, the ALJ may:

(a) take evidence from participating parties and issue a decision based on the best available evidence; or

(b) enter an order of default against a party in accordance with Section 63G-4-209.

(2)(a) The ALJ shall include a statement of the grounds for default in an order of default under Subsection (1)(b).

(b) The division shall deliver an order of default to each party.

(3) Any defaulted party or party failing to appear may request to reopen the hearing by delivering a written request to the division.

(4) A party's request for reopening under Subsection (3) shall conform with the requirements of Subsection R982-111- 300(2). In addition:

(a) the party shall explain the reason for the request; and

(b) the division must receive the party's request no later than 30 days from the date on the decision or order of default issued under Subsection (1).

(5) The division shall treat a party's request for reopening received by the division more than 30 days after the date on the decision or order of default issued under Subsection (1) as an untimely appeal under Section R982-111-302.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-317 What Constitutes Grounds to Reopen a Hearing

(1) An ALJ shall grant a request to reopen a hearing if the requesting party was prevented from appearing at the hearing due to circumstances beyond the party's control.

(2) An ALJ may grant a request to reopen for any of the following reasons: mistake, inadvertence, surprise, excusable neglect, or any other reason justifying relief from the operation of the decision. The ALJ shall further consider:

(a) the danger that the party not requesting reopening may be harmed by reopening;

(b) the length of the delay caused by the party's failure to participate including the length of time to request reopening;

(d) whether the party requesting reopening acted in good faith; and

(e) whether based on the evidence of record and the parties' arguments or statements, taking additional evidence might affect the outcome of the case.

(3) A request to reopen is remedial in nature and the ALJ shall liberally construe the provisions of Subsection (2) in favor of providing parties with an opportunity to be heard and present their case.

(4) An ALJ has the discretion to schedule a hearing to determine if a party requesting reopening satisfied the requirements of this section or may, after giving the other parties an opportunity to respond to the request, grant or deny the request based on the record in the case.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-318 Withdrawal of Appeal

(1) An applicant may request to withdraw an appeal.

(2) The applicant must explain the reason for the request to withdraw.

(3) The ALJ may deny a request if withdrawal of the appeal would jeopardize the due process rights of any interested person.

(4) If the ALJ grants a request to withdraw:

(a) the ALJ shall issue a written decision dismissing the appeal; and

(b) the department determination shall remain in effect.

(5) A decision under Subsection (4) shall inform the parties of the right to reinstate the appeal and the procedure for reinstating the appeal.

(6) An applicant may request to reinstate an appeal after the applicant's request to withdraw has been granted under Subsection (4) by delivering a written request to the division.

(7) An applicant's request to reinstate an appeal under Subsection (6) shall conform with the requirements of Subsection R982-111-300(2). In addition:

(a) the applicant shall explain the reason for the request; and

(b) the division must receive the applicant's request no later than ten days from the date on the decision issued under Subsection (4).

(8) The division shall treat an applicant's request to reinstate the applicant's appeal received by the division more than ten days after the date on the decision issued under Subsection (4) as an untimely appeal under Section R982-111-302.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-319 Prompt Notification of Decision

(1) An ALJ shall issue a written decision that includes:

(a) a complete statement of the findings of fact;

(b) the ALJ's reasoning and conclusions of law; and

(c) a notice specifying the further appeal rights of the parties that clearly states the place, manner, and timeframe for filing a request for reconsideration pursuant to Section R982-111-400 and judicial review pursuant to Section R982-111-500.

(2) The division shall deliver the ALJ decision to the last known address of the parties.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-400 Request for Reconsideration

(1) Within 20 days after an ALJ decision is issued, a party may request reconsideration pursuant to Section 63G-4-302 by delivering to the division a written request for reconsideration alleging mistake of law or fact, or discovery of new evidence.

(2) A request for reconsideration under Subsection (1) is timely if:

(a) in the case of a request delivered by mail or submitted in person:

(i) the request is received by the division on or before the close of business of the last day of the 20-day period; or

(ii) the date of the postmark on the envelope indicates the request was mailed on or before the last day of the 20-day period; or

(b) in the case of an electronically delivered request, the request is received no later than midnight of the last day of the 20-day period.

(3)(a) In computing the 20-day period allowed for filing a timely request under Subsection (1), the date as it appears in the ALJ's decision is not included.

(b) If the 20th day falls on a weekend or holiday, the deadline is the next working day.

(4) A request for reconsideration under Subsection (1) shall include:

(a) the name and signature of the party filing the request;

(b) the social security number of the applicant; and

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-401 Decision on Request Reconsideration

(1) The executive director shall review a request for reconsideration.

(2) The executive director has the discretion to do any of the following:

(a) request additional information or evidence;

(b) consider and decide any issue in the case even if it was not presented at the hearing or raised in the request for reconsideration;

(d) summarily dismiss:

(i) a request submitted untimely under Subsection R982-111-400(2); or

(ii) a request that does not state adequate grounds or specify alleged errors in the decision of the ALJ under Subsections R982-111-400(1) and R982-111-400(4)(c).

(3)(a) The executive director shall respond to a request for reconsideration within 20 days after the date the request was received by the division and shall:

(i) issue a final written order granting, denying, or summarily dismissing the request; or

(ii) send a written notice to the parties that the matter is under review.

(b) If the executive director notifies the parties that the request is under review under Subsection (3)(a)(ii), the executive director shall issue a final order within 90 days of the notice.

(c) If the executive director fails to issue a notice within the 20-day period in Subsection (3)(a) or a final order within the 90-day period in Subsection (3)(b), the lack of action on the request is the same as a denial.

(4) The executive director's final order shall include an explanation of the right to judicial review under Section R982- 111-500.

(5) The division shall deliver a final order to the parties.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-402 Withdrawal of Request for Reconsideration

(1) A party who has filed a reconsideration request may withdraw the request.

(2) The executive director may deny a request to withdraw if withdrawal jeopardizes the due process rights of any party.

(3) The executive director shall issue a written order granting or denying a request to withdraw.

(4) If the executive director grants a request to withdraw:

(a) the executive director shall issue a final order dismissing the request for reconsideration; and

(b) the ALJ decision shall remain in effect.

(5) The decision under Subsection (4) shall inform the parties of the right to reinstate the request for reconsideration and the procedure for reinstating the request.

(6) A party may request to reinstate a reconsideration request after the party's request to withdraw has been granted under Subsection (4) by delivering a written request to the division.

(7) A party's request to reinstate a request for reconsideration under Subsection (6) shall conform with the requirements of Subsection R982-111-400(4). In addition:

(a) the party shall explain the reason for the request; and

(b) the division must receive the party's request no later than ten days from the date on the final order issued under Subsection (4).

(8) The division shall treat a party's request to reinstate the party's request for reconsideration received by the division more than ten days after the date on the final order issued under Subsection (4) as an untimely appeal under Section R982-111- 302.

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

Utah Admin. Code R982-111-500 Judicial Review

When calculating the 30-day period for pursuing judicial review under Subsection 63G-4-401(3), the date of final agency action is:

(1) the date of the ALJ decision if no petition for reconsideration is made; or

(2) if a request for reconsideration is made:

(a) the date of the executive director's final order;

(b) the 20th day after the request is filed if the executive director fails to respond to the request in accordance with Subsection R982-111-401(3)(a); or

(c) the 90th day after a notice under Subsection R982-111-401(3)(a)(ii) is issued if the executive director fails to issue a final order in accordance with Subsection R982-111-401(3)(b).

History

KEY: adoption tax credit, appeal procedures
Authorizing, and Implemented or Interpreted Law: 35A-1-111

R982-201 Government Records Access and Management Act

Utah Admin. Code R982-201-101 Request for Access to Department of Workforce Services Records

(1) Authority. As required by Subsection 63G-2-204(3), this rule specifies where and to whom a request for access of Department of Workforce Services (DWS) records shall be directed.

(2) Definitions. Words used in Rule R982-201 are defined in Section 63G-2-103.

(3) Requests for Access.

(a) All requests for records shall be submitted in accordance with Subsection 63G-2-204(1).

(b) A person may submit a request for a record to any DWS office. If the record requested is one originated in that office, that office will respond to the request. If the record is unknown or not available in the office where the request is filed, the request will be sent immediately to the appropriate Employment Center or administrative office. If the office is unsure as to which office is the appropriate one, the request will be sent to the DWS Information Disclosure Officer.

(4) News Media or Expedited Release. If a requester demonstrates that they are a member of the news media or that expedited release of the record benefits the public rather than an individual, the request shall be submitted to the DWS Information Disclosure Officer, or Public Information Officer.

History

KEY: records
Date of Last Change: March 31, 2022
Notice of Continuation: May 18, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-201-102 Fee Schedule for Records Copies

(1) Authority. Pursuant to Section 63G-2-203, the Department will charge fees for the copying and compiling of records, and may waive fees as specified in this rule.

(2) Fee Rates. For records which are reproducible in their current form the fee charged for making copies shall be established by the Executive Director in accordance with Subsection 63G-2-203(1).

(3) Payment Waiver.

(a) The right to waive payment of fees for copying records shall reside with the staff in the Employment Center or administrative office. No fees shall be charged for reviewing a record or inspecting a record according to Subsection 63G-2- 203(4).

(b) Fees shall not be waived where records are provided to professionals providing services for a fee to individuals who would otherwise have access to records under Sections 63G-2-301 through 63G-2-305.

History

KEY: records
Date of Last Change: March 31, 2022
Notice of Continuation: May 18, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-201-103 Appellate Requests, Research Requests and Intellectual Property Access Requests

(1) Authority. As required by Subsection 63G-2-401(9), this rule specifies where and to whom appeals on records access denials may be directed and Subsection 63G-2-201(12) to whom and where requests regarding duplication and distribution of materials for which the agency owns the intellectual property rights, Subsection 63G-2-202(8) regarding requests for access for research purposes may be submitted.

(2) Appeals and Special Requests.

(a) All first level appeals shall be directed to the individuals designated by the Executive Director of DWS.

(b) Special requests including requests for access to records for research purposes, and duplication and distribution of materials for which the agency owns the intellectual property rights shall be submitted to the individuals designated by the Executive Director for the respective Division, Office, Institution, or Bureau of the Department of Workforce Services.

(3) Discretionary Access Authority. Notwithstanding Section 35A-4-312 and other state or Federal statute or Federal rules and as specified in Subsection 63G-2-201(5)(b) decisions regarding discretionary access to records that are private, or protected under Sections 63G-2-302 and 63G-2-305 where the public interest to know exceeds the right of privacy shall be determined by the Executive Director or designee of the Executive Director.

History

KEY: records
Date of Last Change: March 31, 2022
Notice of Continuation: May 18, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

Utah Admin. Code R982-201-104 Records Modification and Clarification

(1) Authority. Section 63G-2-603 and Section 63G-4-202 designate the option of either formal or informal hearings governing modification of records in dispute.

(2) Hearings. Hearings on disputed records accuracy shall be conducted informally.

History

KEY: records
Date of Last Change: March 31, 2022
Notice of Continuation: May 18, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104

R982-302 Intergenerational Poverty Solution, Education Savings Incentive Program

Utah Admin. Code R982-302-101 Purpose and Authority for Education Savings Incentive Program and Statement of the Rules

(1) The purpose of the Education Savings Incentive (ESI) Program, Title 35A, Chapter 9, Part 6 is to provide an incentive to individuals and families experiencing intergenerational poverty to save for higher education through the establishment of a match program for eligible 529 educational savings accounts.

(2) The Department of Workforce Services is responsible to determine eligibility of individuals and families for participation in the ESI Program and for administering the Program in coordination with Utah Education Savings Plan and the State Tax Commission.

(3) The legal authority for this rule is found in Section 35A-9-603.

(4) This rule only applies to the ESI program.

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

Utah Admin. Code R982-302-102 Definitions and Acronyms

In addition to the definitions in Section 35A-9-601, the following definitions apply to this rule:

(1) "529 Account Beneficiary" means the individual designated:

(a) in a 529 savings account agreement between a person, an estate, or a trust and the plan; and

(b) to benefit from the amount saved in the 529 savings account.

(2) "529 Account Owner" means a qualifying individual who the Department identifies as experiencing intergenerational poverty, who has established a 529 savings account for a minor dependent, and who has not been disqualified from participating in the program for overclaiming a match the previous year.

(3) "Application" means the electronic application provided by the Department to be completed by the 529 Account Owner.

(4) "Family" means a 529 Account Owner and legally recognized beneficiaries that have been claimed on the account owner's federal income tax return for the specified taxable year.

(5) "Department" means the Department of Workforce Services, the funding authority administering the restricted account established for the ESI program.

(6) "EITC" means the federal earned income tax credit, described in Section 32, Internal Revenue Code, and that a qualifying individual claims and is eligible to claim on their federal income tax return for the specified taxable year.

(7) "Match" means the monetary amount of funding provided by the Department, matching dollar-to-dollar verified deposits in each claimed beneficiary account, not to exceed $300 per family.

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

Utah Admin. Code R982-302-103 Application

(1) One application may be completed per 529 Account Owner per year.

(2) The application shall include the following information.

(a) 529 Account Owner Information:

(i) first and last name;

(ii) social security number;

(iii) date of birth;

(iv) mailing address;

(v) email address; and

(vi) phone number.

(b) 529 Individual Account Beneficiary Information:

(i) first and last name;

(ii) date of birth;

(iii) 529 account number; and

(iv) account Balance on the of date of application.

(d) Signed statement attesting eligibility for the ESI Program.

(e) Authorization for release of information.

(3) The Department may request additional information from the applicant to confirm or explain the information in the application.

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

Utah Admin. Code R982-302-104 Timeline of Application

(1) Applications are time-limited in release and review.

(2) Application window will be for 60 days, starting January 1 of each calendar year.

(3) After 60 days, the application window closes, with no new applications being taken until the next calendar year.

(4) Submitted applications will be reviewed, following the application closure.

(a) Applications shall be reviewed within 45 days of the window closure.

(b) Applicants may be contacted to review submitted information to ensure information is correct.

(5) A reviewed and approved application will receive a cash-match deposit to the identified 529 savings account, up to $300 per family per calendar year.

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

Utah Admin. Code R982-302-105 Determining Eligibility for State Match

(1) The Department is responsible for determining eligibility to participate in the ESI Program on an annual basis.

(2) A family must meet each of the following criteria to be eligible for participation in the ESI Program.

(a) Have at least one 529 Account Owner who:

(i) participates in a public benefit program in the identified tax year; and

(ii) participated in a public benefit program for at least 12 consecutive months while as a child.

(b) Claim and receive an EITC in their federal tax form for the identified tax year.

(c) Have an established my529 Savings Plan for at least one beneficiary and has made a deposit into a plan within the identified tax year.

(d) Reside in Utah for both the identified tax year and at the time of application.

(3) Federal Income Tax returns shall be for the previous tax year as that is also the year of the cohort list provided by the Department.

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

Utah Admin. Code R982-302-106 Disqualification of an Application

(1) An application shall be disqualified for any of the following reasons.

(a) The applicant does not meet the criteria specified in this rule.

(b) The applicant does not allow for the release of information to the Tax Commission and my529 for determination of eligibility.

(d) The applicant does not currently reside in Utah.

(e) The application is fraudulent.

(2)(a) An applicant may not appeal the Department's determination that the applicant is not a qualifying individual.

(b) An applicant may reapply if the Department later identifies that the applicant is a qualifying individual.

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

Utah Admin. Code R982-302-107 Depositing Match Funds

(1) The Department will work with State Finance and my529 to transfer funds to each eligible account by May 31st of each year until the termination of the program.

(2) My529 shall receive a request from State Finance for deposit to each qualifying account through secure file transfer and verify when deposits have been made.

(3) The Match rate for each family shall be determined as provided in Subsection 35A-9-603(2).

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

Utah Admin. Code R982-302-108 Anticipated Plan Repeal and Final Year

(1) This rule shall be repealed July 1, 2028

(2) Final applications must be received no later than 60 days after January 2028.

History

KEY: education savings incentive, intergenerational poverty
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-9-603(4)

R982-401 Energy Assistance: General Provisions

Utah Admin. Code R982-401-1 Purpose

The Home Energy Assistance Target (HEAT) program assists certain low-income families and individuals in the payment of home energy costs.

History

KEY: client rights, hearings, confidentiality of information
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-401-2 Authority

These rules are authorized by Section 35A-8-1403.

History

KEY: client rights, hearings, confidentiality of information
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-401-3 Definitions

The following definitions apply to Sections R982-401-1 through R982-401-8:

(1) "Applicant" means an individual requesting assistance under the HEAT program.

(2) "Assistance" means a payment made to a client under the HEAT program.

(3) "Household" means an individual or group of individuals who live together as one economic unit and for whom residential home energy costs are customarily purchased in common or who make payments for home energy costs in the form of rent.

(4) "Client" means an individual who receives assistance under the HEAT program.

(5) "Confidential information" means information to which public access is limited under Title 63G, Chapter 2, Government Records access and Management Act.

(6) "Department" means the Department of Workforce Services.

(7) "HEAT" means the Home Energy Assistance Target program.

(8) "Moratorium" means a period in which involuntary termination of utility services for nonpayment by residential customers of essential utility bills is prohibited.

(9) "Program year" is defined in Section R982-402-1.

(10) "Vulnerability" is defined in Section R982-402-5.

History

KEY: client rights, hearings, confidentiality of information
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-401-4 Client Rights and Responsibilities

(1) An applicant may apply or reapply for HEAT assistance any time during the HEAT program year by submitting a complete and signed application to the applicant's or client's local HEAT office.

(2) The local HEAT office staff will help an applicant apply for assistance. Applicants will be notified of eligibility decisions in writing and, if assistance is denied, the reason for the denial.

(3) HEAT personnel will not enter a client's home without permission.

(4) A client may contact a HEAT supervisor or manager to resolve a dispute.

(5) A client's confidential information will be safeguarded.

(6) HEAT program manuals are available for public inspection at a local HEAT office or on the state HEAT web site.

(7) Applicants and clients must give the Department complete and correct information and verification.

(8) A client must immediately report an address change while under the protection of the moratorium.

(9) A client is responsible for repaying an overpayment of assistance.

History

KEY: client rights, hearings, confidentiality of information
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-401-5 Information

(1) The Department will comply with Title 63G, Chapter 2, Government Records Access and Management Act.

(2) A client may review and copy records in the client's case record unless it is confidential information or information obtained from a third party.

(a) A client's request for release of information shall be submitted in writing and include:

(i) the date;

(ii) the name of the person receiving the information; and

(iii) the time period covered by the information.

(b) Confidential information shall not be used in a hearing.

(d) If the client requests a copy of information from the the client's file, up to ten pages will be provided without charge. The client shall pay the cost of making copies of additional pages.

(e) The client cannot take the case record from the office.

(3) Releasing information to sources other than the client.

(a) If the client requests that information be released to an authorized representative, the client must designate the representative in writing.

(b) Information will not be released if it is to be used for a commercial or political purpose.

(i) Information may be released without the client's permission if the outside source making the request has comparable rules for safeguarding information.

(ii) Information may be released in an emergency. The director or the director's designee will decide what constitutes an emergency.

(4) Information released without the client's permission.

(a) Information, with the exception of confidential information, may be released without the client's permission if that information is to be used in:

(i) the administration of a federal or state means-tested program;

(ii) an audit or review of expenditures in connection with the HEAT or moratorium programs; and

(iii) an investigation, prosecution, or criminal or civil proceeding connected with the administration of the HEAT or moratorium programs.

(5) If a case record is subpoenaed by an outside source, the state HEAT program manager will be contacted immediately. The state program manager will consult with legal counsel for the Housing and Community Development Division.

History

KEY: client rights, hearings, confidentiality of information
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-401-7 Hearings

Sections R986-100-122 through R986-100-133 and R986-100-135 apply to the HEAT program, including an alleged overpayment, except a request for a fair hearing on a HEAT issue must be submitted in writing.

History

KEY: client rights, hearings, confidentiality of information
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-402 Energy Assistance Programs Standards

Utah Admin. Code R982-402-1 Opening and Closing Dates for HEAT Program

(1) The HEAT program year begins on the first business day in November.

(2) The HEAT program year closes on the last business day in April, or when federal Low Income Home Energy Assistance Program (LIHEAP) funds are exhausted, whichever occurs first.

(a) If federal LIHEAP funds are available, and with the approval of the state HEAT program manager, the HEAT program may be extended after April 30, but no later than September 30.

(b) Applications taken on or before the program closing date may be processed after the program closing date.

(c) If funds are exhausted before all applications are processed, notice of non-payment will be sent to the remaining applicants whose applications were not processed.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-2 United States Residence

(1) To be eligible for HEAT assistance, an applicant must be:

(a) a United States born or naturalized citizen as evidenced by a document verifying the individual was born in the United States or naturalization documents; or

(b) lawfully admitted into the United States:

(i) for permanent residence as evidenced by a valid United States Citizenship and Immigration Services (USCIS) Permanent Resident Card (Form I-551);

(ii) with a valid USCIS Employment Authorization Card (Form I-766) with one of the following categories: A3, A4, A5, A10, C11, C25, RE1, RE2, RE3, RE4, or RE5;

(iii) with a valid USCIS Arrival/Departure Record (Form I-94) with a Customs and Border Protection endorsement stamp marked with one of the following: I-551, 203A7, 207, 208, 212D5, RE1, RE2, RE3, RE4, or RE5; or

(iv) with a valid USCIS Approval Notice (Form I-797A) issued with one of the following classes: I-551, 203A7, 207, 208, 212D5, RE1, RE2, RE3, RE4, or RE5.

(2) The following are not eligible to participate in the HEAT program:

(a) an applicant who is admitted into the United States as a temporary entrant with a USCIS 1-94; or

(b) an applicant who does not have one of the documents listed in Subsection (1) or whose documents are expired.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-3 Utah Residence

(1) An applicant must reside in Utah but there is no length of residency requirement.

(2) An applicant must reside in Utah voluntarily and not for a temporary purpose.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-4 Local Residence

(1) A Native American who is enrolled in a federally recognized Indian Tribe may apply for home energy assistance either through the state HEAT program or through a tribal LIHEAP program as follows.

(a) A resident of Daggett, Duchesne, or Uintah County may apply either through the state HEAT program or through the Ute Tribal LIHEAP program.

(b) A resident of Washington, Iron, Millard, or Sevier County may apply either through the state HEAT program or through the Paiute Tribal LIHEAP program.

(c) A resident of the Navajo Indian Reservation in San Juan County may apply either through the state HEAT program or through the Navajo tribal LIHEAP program.

(2) A client may not receive assistance through both the state HEAT program and a tribal LIHEAP program in the same program year.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-5 Vulnerability

(1) Households that are responsible for paying home energy costs are considered vulnerable.

(2) The following households are considered responsible for home heating costs:

(a) households paying home energy costs directly to energy suppliers on currently active accounts; or

(b) households paying home energy costs indirectly through rent.

(3) Residents in the following households are not considered responsible for home energy costs and are not eligible for HEAT assistance:

(a) nursing homes;

(b) hospitals;

(d) institutions;

(e) alcoholism and drug treatment centers;

(f) group homes administered under a contract with a government agency or administered by a government agency;

(g) households not connected to a heat source;

(h) households whose utility bills are paid regularly by an outside party;

(i) automobiles; or

(j) tents.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-7 Social Security Numbers

(1) Verification of Social Security numbers is required for each household member.

(2) A client may verify a Social Security number by submitting:

(a) an official Social Security number card;

(b) official documents from the Social Security Administration including award letters, benefit checks, or a Medicare card;

(d) an official document from another government agency displaying the individual's name and Social Security number.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-8 Eligible HEAT Household

(1) Household members need not be related.

(2) Multiple dwellings contained within one building, including duplexes and apartments, are considered separate households.

(3) If the HEAT assistance, combined with other available funds, will not prevent shut-off of the client's home energy utility, or result in reconnection of a utility that has already been disconnected, the application will be denied.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-9 Age and Emancipation

Household members 18 years of age or older or who are emancipated are considered adults. A child may be emancipated by age, marriage, or court order.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-10 Weatherization Referrals

Participation in the weatherization program is not a condition of eligibility for HEAT assistance.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-11 HEAT Crisis Assistance

(1) A crisis exists when a household faces a sudden or unexpected event beyond its control resulting in the inability to pay home energy costs. A crisis may be caused by:

(a) unexpected increase in medical costs;

(b) sudden loss of job, public benefits, or other income;

(d) other circumstances that may pose a potential health or safety threat.

(2) Circumstances that do not necessarily qualify as a crisis include:

(a) chronic non-payment of utility or fuel costs;

(b) unexplained or excessively high utility or fuel costs;

(d) payments on a utility account previously sent to a collection agency;

(e) capital improvements to a rental property; or

(f) other situations which are not sudden, unexpected, or beyond the control of the household.

(3) To be eligible for HEAT crisis assistance, a household must be eligible for HEAT assistance during the same HEAT program year.

(a) If the local HEAT office determines that a household is in a crisis situation and is eligible to receive HEAT crisis assistance, HEAT crisis assistance will be provided within:

(i) 18 hours of the eligibility determination if the household submits written notice from the Division of Public Utilities that the residence has "life-supporting equipment" as defined in Rule R746-200; or

(ii) 48 hours of the eligibility determination.

(b) The HEAT supervisor or the supervisor's designee must approve each expenditure.

(c) Payments of HEAT assistance are issued to the utility supplier. If the household uses propane or wood as a heating source, or if the state does not have a contract with the utility supplier, the percentage of HEAT assistance attributable to that heating source may be paid directly to the client.

(d) HEAT crisis payments are limited to a maximum of $500 per household per utility per HEAT program year unless the HEAT supervisor or state HEAT office approves an amount greater than $500 per utility.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-12 Supplemental Programs

Households that qualify for HEAT assistance may also receive supplemental payments from other utility programs, such as "REACH," "Lend-A-Hand," or the Catholic Community Services utility fund.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-13 Security Deposits

(1) A Public Service Commission regulated utility supplier shall waive the security deposit requirement for HEAT clients during a moratorium. Payments received by a regulated utility from third-party sources, including HEAT, REACH, CONCERN, or similar programs, shall not be applied to the security deposit.

(2) If the regulated utility supplier has signed a HEAT contract, the regulated utility supplier has agreed not to charge a security deposit to a HEAT client from November 15th through March 15th. The agreement not to charge a security deposit to a HEAT client does not apply to the service initiation fees that are routinely charged as a condition of service.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-14 Consumer Complaints

(1) Consumer complaints against a Public Service Commission regulated utility supplier should be referred to the Public Service Commission.

(2) Consumer complaints against a non-regulated utility should be referred directly to the utility supplier.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-402-15 Credit Balances on Utility Accounts

(1) If the household discontinues service with its utility supplier, and the household elects to forward a remaining HEAT credit balance, the disconnecting utility supplier will forward any HEAT credit balance remaining on the account to the household's new utility supplier.

(a) The new utility supplier must operate in Utah.

(b) The household must furnish to the disconnecting utility supplier the name and address of the new utility supplier within 30 days after termination of service.

(2) Utility suppliers may refund credit balances of HEAT assistance to clients who still reside in Utah if a new Utah address is provided within 30 days after termination of service. Otherwise, the credit balance shall be refunded to the HEAT program.

(3) In no case shall HEAT credit balances be forwarded to utility suppliers not operating in Utah or to clients no longer residing in Utah.

(4) If the client fails to give the disconnecting utility supplier the information necessary to transfer or refund the credit balance, the utility supplier may hold the credit balance for an additional 30 days. If reconnection with the same utility supplier has not occurred after expiration of the additional 30-day period, any remaining credit balance must be refunded to the HEAT program.

(5) Once credit balances are refunded to the HEAT program they become part of the general HEAT budget and are redistributed in the form of assistance to additional eligible households.

History

KEY: energy assistance, residency requirements, opening and closing dates, HEAT
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-403 Energy Assistance Income Standards, Income Eligibility, and Payment Determination

Utah Admin. Code R982-403-1 Energy Assistance Income Standards

The local HEAT office shall determine the countable income of the household. Income must be at or below 150% of the federal poverty level to qualify for HEAT assistance.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-2 Countable Income

Countable income is gross income minus exclusions, disregards, and deductions.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-3 Unearned Income

(1) Countable unearned income is cash received by an individual for which no service is performed.

(2) Sources of countable unearned income include the following:

(a) pensions and annuities including railroad retirement, Social Security, Supplemental Security Income, veteran's benefits and civil service retirement benefits;

(b) disability benefits including industrial compensation, sick pay, mortgage insurance, and paycheck insurance;

(d) strike or union benefits;

(e) veteran's benefits;

(f) child support and alimony;

(g) Veteran's Educational Assistance intended for family members;

(h) trust payments, withdrawals, or dividends received on a regular basis;

(i) tribal fund gratuities unless excluded by law;

(j) money from sales contracts and mortgages;

(k) personal injury settlements;

(l) financial payments made by the Department;

(m) income from rental property, unless the client also manages the property, in which case the income is considered earned;

(n) Temporary Assistance to Needy Families;

(o) Emergency Work Program;

(p) work allowances;

(q) foster care payments;

(r) severance pay paid out weekly;

(s) 401K payments;

(t) retirement income;

(u) payments received or drawn down from assets like a reverse mortgage or withdrawals from accounts; and

(v) gifts received or payments made on a client's behalf on a regular basis.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-4 Earned Income

(1) Earned income is income in cash or in kind received by an individual for which a service is performed.

(2) Sources of earned income include the following:

(a) wages, including military base pay;

(b) salaries;

(d) rent amount, when the client works in return for rent;

(e) monies from self-employment including babysitting;

(f) tips;

(g) sale of livestock and poultry;

(h) work study;

(i) military payments to cover Basic Allowance for Housing and Basic Allowance for Subsistence;

(j) money the employee chooses to have withheld for benefit plans including flex plans and cafeteria plans; and

(k) income from rental property if the client also manages the property.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-5 Income Exclusions

The income listed in this section is not counted when determining eligibility for HEAT assistance:

(1) earned income of an unemancipated household member;

(2) cash over which the household has no direct control;

(3) reimbursements for expenses directly related to employment, training, schooling, or volunteer activities;

(4) reimbursements for incurred medical expenses;

(5) bona fide loans which have been contracted in good faith without fraud or deceit and genuinely endorsed in writing for repayment;

(6) compensation paid to individual volunteers under the Retired Senior Volunteers Program, Green Thumb, or the Foster Grandparent Program;

(7) incentive and training expenses paid by the HEAT Self Sufficiency program;

(8) Earned Income Tax Credit;

(9) financial payments under the Workforce Innovation and Opportunity Act;

(10) value of Supplemental Nutrition Assistance Program benefits;

(11) educational loans, grants, scholarships, or college work study with the exception of Veterans Educational Assistance intended for the family members of the student, the student's portion being exempt;

(12) interest or dividend income;

(13) compensation or reimbursement paid to participants in the Volunteers In Service To America, Senior Health Aides, Senior Core of Retired Executives, Senior Companions, or Accelerated Credentialing to Employment programs;

(14) church cash assistance and voluntary cash contributions by others unless received on a regular basis;

(15) rental subsidies and relocation assistance;

(15) utility subsidies;

(16) the full military pay for an active duty soldier not in the home except an amount taken out of the soldier's military pay and sent home for the household's support is counted; and

(17) any funds, payments, or tribal benefits required by Public Law 98-64, Public Law 93-134(7), Public Law 92-254, Public Law 94-540, Public Law 94-114, Public Law 96-240(9), Public Law 92-203, Public Law 101-201, Public Law 101- 239(10405), Public Law 100-383, Public Law 101-426, or Public Law 100-707.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-6 Income Disregard

(1) 20% of earned income, including self-employment earned income, will be disregarded, meaning a portion of the income is not counted.

(2) For self-employed members of a household, the cost of doing business will be deducted. The 20% disregard will be applied to the remainder.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-7 Income Deductions

(1) A deduction for payments on uncompensated medical bills will be allowed when those payments are actually made by a member of the household during the same time period as the income being counted.

(a) The client must verify the payment was made directly to a medical provider by a member of the household, for a member of the household in the month before the month of application and that the household will not be reimbursed by a third party.

(b) Health and accident insurance payments, dental insurance payments, and Medical Assistance Only payments are considered medical expenses.

(2) A deduction for child support and alimony payments will be allowed when those payments were actually made by a member of the household during the same time period as the income being counted.

(a) The client must verify the payment was actually made directly to the custodial adult or through the court.

(b) Payments in lieu of child support and alimony, including car payments or mortgage payments, are deductible.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-8 Self-Employment Income

(1) A self-employed person is someone who earns income directly from the person's own business, trade, or profession.

(2) Except as otherwise provided in this subsection, self-employment income will be determined by using the previous year's tax return.

(a) Gross self-employment income is counted, including capital gains. The proceeds from the sale of capital goods or equipment will be calculated in the same way as a capital gain for federal income tax purposes. Even if only part of the proceeds from the sale of capital goods or equipment is taxed, the full amount of the capital gain will be counted as income for HEAT program purposes.

(b) The cost of doing business will be deducted.

(i) Allowable business costs include:

(A) labor;

(B) stock;

(D) seed and fertilizer;

(E) interest paid toward the purchase of income producing property;

(F) insurance premiums;

(G) taxes paid on income producing property; and

(H) transportation costs if the person must move from place to place in the course of business.

(ii) The following items will not be allowed as business expenses:

(A) payments on the principal of the purchase price of income producing real estate and capital assets, equipment, machinery and other durable goods;

(B) net losses from previous periods;

(C) federal, state, and local income taxes, money set aside for retirement purposes, and other work related personal expenses; and

(D) depreciation.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-403-9 HEAT Financial Eligibility and Payment Determination

(1) Countable income received in the previous calendar month by the applicant's household will be used to determine eligibility.

(2) Terminated income received in the previous calendar month or the month of application is exempt if no new source of income is identified.

(3) Failure to provide verification of income will result in the HEAT application being denied.

(4) Verification of countable income includes submission of the preceding or current month's Supplemental Security Income or Social Security Administration checks, divorce decrees, award letters, or current check stubs if the income is stable and the amount is the same as the actual income received in the previous calendar month.

History

KEY: energy assistance, self-employment income, income eligibility, payment determination
Date of Last Change: June 14, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-404 Energy Assistance: Asset Standards

Utah Admin. Code R982-404-1 Resource Limits

The value of household assets, whether real or personal property, will not be counted when determining eligibility for the HEAT program.

History

KEY: energy assistance, financial disclosures
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-405 Energy Assistance: Program Benefits

Utah Admin. Code R982-405-1 Crisis Benefits

Each household may apply for HEAT crisis assistance up to a maximum of $500 per utility per program year. The household's total HEAT crisis assistance may not exceed $500, whether the assistance is paid in one or more payments, unless the HEAT supervisor or state HEAT office approves an amount greater than $500 per utility.

History

KEY: energy assistance, benefits
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-405-2 Standard Payment Levels

The assistance payment level is based on a household's income and energy burden which is the proportion of a household's income used to pay for home heating. Households with children younger than six years old, members 60 years of age or older, or members who are disabled may receive additional assistance.

History

KEY: energy assistance, benefits
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-405-3 Benefit Payments

Direct client payments will be made only when a contract with the utility supplier cannot be obtained or if the utility supplier is the landlord.

History

KEY: energy assistance, benefits
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-405-4 Split Payments

(1) If the client has two utility suppliers and the State of Utah has a contract with one of the utility suppliers, up to 50% of the HEAT assistance payment may be made to the client.

(2) Payment disbursements may be split only in the percentages listed below:

(a) 100% to the utility supplier;

(b) 50% to the utility supplier and 50% to the client; or

History

KEY: energy assistance, benefits
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-406 Energy Assistance: Eligibility Determination

Utah Admin. Code R982-406-1 Eligibility Determination

The local HEAT office shall determine a household's eligibility for HEAT assistance by applying the program and income standards to the household's circumstances, and by establishing the validity and accuracy of the information provided by the applicant household.

History

KEY: energy assistance
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-406-2 Acceptable Verification

(1) All factors of eligibility must be verified.

(2) It is the applicant's responsibility to submit acceptable verification.

(3) If the household fails to obtain the required verification or fails to assist the HEAT office in obtaining the verification, the application will be denied.

History

KEY: energy assistance
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-406-3 Determination of The Primary Fuel Type

The primary fuel type is the type of fuel for which the household's residence is designed. If the household is actually using a less expensive fuel type as the primary heat source, the fuel type is the type of heat the household is actually using.

History

KEY: energy assistance
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-406-4 Date of Application

The date of application is the date the application is accepted at the correct HEAT office.

History

KEY: energy assistance
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-406-5 Date of Approval or Denial

The date of approval or denial is the action date of the application including applications forwarded by outreach workers.

History

KEY: energy assistance
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-406-6 Date of Payment

The payment date is the date the HEAT assistance payment is actually issued.

History

KEY: energy assistance
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-407 Energy Assistance: Records and Benefit Management

Utah Admin. Code R982-407-1 Records Management

(1) Documentation of the eligibility decision and amount of HEAT assistance is maintained in the household's HEAT folder in the local HEAT office or in the SEALWorks computer system. Every person who completes an application shall have a case record.

(2) HEAT case records shall not be removed from the local HEAT office except in compliance with a subpoena, by request of the state HEAT office, or in accordance with the state records management retention schedules.

History

KEY: energy assistance, benefits, government documents, state HEAT office records
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-407-2 Notification

(1) The local HEAT office shall provides HEAT applicant with written notice of any action that affects the amount, form, or requirements of the assistance.

(2) Written notice shall include an explanation of the action, the reason for the action, and the effective date of the action. The notice shall also include an explanation of the applicant's hearing rights and how to file a hearing if the applicant is not satisfied with the decision.

History

KEY: energy assistance, benefits, government documents, state HEAT office records
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

Utah Admin. Code R982-407-3 Checks

(1) HEAT payments to clients or vendors are issued by check.

(2) If the payee dies before endorsing the check, the local HEAT office supervisor or the supervisor's designee may authorize another person to endorse the check to use it on behalf of the payee or other household member.

(3) Lost or stolen HEAT checks.

(a) The client must report a lost or stolen check within one year of the issuance date. A check that is reported lost or stolen more than one year after the issuance date will not be reissued.

(b) The client must complete and sign a Lost Check Replacement Form and send it to the state HEAT office to have a check reissued.

History

KEY: energy assistance, benefits, government documents, state HEAT office records
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-408 Energy Assistance: Special State Programs

Utah Admin. Code R982-408-1 Moratorium

The Department shall require compliance with Section 35A-8-1501.

(1) The moratorium protects eligible persons from winter utility shut offs.

(2) A household may apply for moratorium protection only one time per utility, per program year.

(3) Moratorium protection begins on November 15 and ends the following March 15. The Department may begin the moratorium earlier or extend it if severe weather conditions warrant such action.

(4) The moratorium applicant must:

(a) be an adult residential account holder, or an adult resident applying for residential utility service;

(b) reside at the address where moratorium protection is requested;

(d) have been approved for HEAT assistance;

(e) have applied for assistance through the Salvation Army; and

(f) have made a good faith effort to pay the household's utility bill on a consistent basis during the moratorium.

(5) The applicant must also meet at least one of the following criteria:

(a) have a gross household income in the month of, or the month before the month of the moratorium application, of less than 125% of the federal poverty level;

(b) have suffered a medical or other emergency in either the month of application or the month before the month of application;

(c) have suffered a loss of employment in either the month of application or the month before the month of application; or

(d) have suffered a 50% reduction in income in either the month of application or the month before the month of application.

(6) Required Verification.

(a) Each factor of moratorium eligibility must be verified.

(b) It is the applicant's responsibility to submit acceptable verification.

(c) If the household fails to submit the required verification and fails to assist the local HEAT office in obtaining the verification, the moratorium application will be denied.

(7) Good Faith Payment Effort.

(a) Each month during the moratorium the household must pay the utility supplier at least 5% of the gross income received in the month before the month of the moratorium application, unless the home is heated by electricity.

(b) If the home is heated by electricity the household must pay the utility supplier at least 10% of the gross income received in the month before the month of application.

(c) The minimum allowed monthly payment is $5 even if the client has no income in the month before the month of application.

(8) To activate the moratorium, including the restoration of service to those households which are shut off, the first good faith payment is due at the time of application. Payments for subsequent months are due on or before the last day of each month.

(9) For clients who defaulted during a previous moratorium season, the default payment is due before the client will be eligible for protection under the current moratorium.

(a) When a client defaults on a moratorium payment, the client is not eligible for moratorium protection on that particular utility for the remainder of that moratorium season.

(b) The client must pay the amount of any previous defaulted payment before the client will be eligible for the moratorium.

(c) If a utility supplier notifies the HEAT office of a client default, the HEAT office will notify the client of the default.

(10) A utility supplier regulated by the Public Service Commission and operating in Utah is subject to the moratorium with the exception of the Mexican Hat Association.

History

KEY: energy assistance, energy industries
Date of Last Change: June 13, 2022
Notice of Continuation: June 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1403

R982-501 Olene Walker Housing Loan Fund (OWHLF)

Utah Admin. Code R982-501-1 Authority

(1) Pursuant to Section 35A-8-501 et seq., Utah Code, the Olene Walker Housing Loan Fund Board (OWHLF) determines how federal and state monies deposited to the fund shall be allocated and distributed.

(2) The Program Guidance and Rules govern the allocation and distribution of funds. The Program Guidance and Rules may be amended from time to time as new guidelines and regulations are issued or as the Board deems necessary to carry out the goals of the OWHLF.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-2 Purpose

(1) Pursuant to Subsection 35A-8-502(1)(a), the Housing and Community Development Division (HCD) shall administer the OWHLF as the designee of the executive director of the Department of Workforce Services (DWS).

(2) The objective of the OWHLF is to rehabilitate or develop housing that is affordable to very low, low and moderate-income persons through a fair and competitive process.

(3) In administering this fund, this rule incorporates by reference 24 CFR 84-85 as authorized under Utah Code Annotated Section 35A-8-503 through 508.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-3 Definitions

In addition to terms defined in Section 35A-8-501:

(1) "Application" means the form provided and required by HCD to be submitted to request funds from the OWHLF.

(2) "Board" means the Olene Walker Housing Loan Fund Board.

(3) "BRC" means a Board Review Committee(s), consisting of members selected by the Board.

(4) "Consolidated Plan" means a plan of up to five years in length that describes community needs, resources, priorities and proposed activities to be undertaken under certain HUD programs, including Community Development Block Grant (CDBG), HOME, Emergency Shelter Grant Housing Opportunities for Persons with AIDS (HOPWA), and other partner funding sources.

(5) "Subsidy-layering" means an evaluation of the project conducted by HCD staff to ensure that the lowest amount of HOME and other funds necessary to provide affordable housing are invested in the project.

(6) "HOME, CDBG, or HOPWA" means HUD programs that provide funds for housing and community needs.

(7) "Affordable Housing" means assisting persons at or below 80% of area median income (as defined by HUD) to find decent, and safe housing at a reasonable cost.

(8) "Loan" means funds provided with the requirement of repayment of principal and interest over a fixed period of time.

(9) "Grant" means funds provided with no requirement or expectation of repayment.

(10) "Local Agency" means public housing authorities, counties, cities, towns, and association of governments.

(11) "Funding Cycle" means period of time in which OWHLF funds are allocated.

(12) "Allocation Plan" means an annual plan that describes housing needs, priorities, funding sources, and the process and policies to request funds from the OWHLF.

(13) "Other Funding Sources" means funds from other federal programs and community partners (including CRA funds).

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-4 Applicant and Project Eligibility

(1) The Board shall consider for funding, only those applications submitted by an eligible applicant as defined in Section 35A-8-506, Utah Code.

(2) The Board shall consider for funding only those eligible projects as defined in Section 35A-8-505, Utah Code and meet one or more of the following priorities established by the Board:

(a) Efficiently utilize funds, through cost containment and resource leveraging,

(b) Provide that largest numbers of units shall charge the lowest monthly rental amount at levels that are attainable over the longest periods of time,

(d) Provide housing for special-needs populations including: (i) transitional housing, (ii) elderly and frail elderly housing, and (iii) housing for physically and mentally disabled persons,

(e) Strengthen and expand the abilities of local governments, non-profits organizations and for-profit organizations to provide and preserve affordable housing,

(f) Assist various Community Housing Development Organizations (CHDO) in designing and implementing strategies to create affordable housing, and

(g) Promote partnerships among local government, non-profit and for-profit organizations, and CHDO.

(h) Meet the goals of the Utah Consolidated Plan and any local area plans regarding affordable housing.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-5 Application Requirements

(1) OWHLF funds shall be distributed in accordance with an application process defined in this rule. Funds shall be issued during a scheduled funding cycle. The Board conducts four cycles during a calendar year.

(2) An applicant seeking to obtain funds shall submit a completed application form furnished by the HCD prior to the cycle's deadline.

(3) All completed applications will be reviewed by staff, which will present the application to the Board Review Committee (BRC) during the cycle in which the application is received. Applications will be ranked and scored according to how completely each application meets the criteria established by the Board.

(4) Applicants submitting incomplete applications will be notified of deficiencies. Each incomplete request(s) will be held in a file, pending submission of all required information by the applicant.

(5) A decision on each application will generally be made no later than the award notification date for each cycle. The Board may delay final decisions in order to accommodate scheduling and processing problems peculiar to each cycle.

(6) The Board may modify a given cycle and change submission deadlines to dates other than those previously scheduled. In doing so, the Board will make reasonable efforts to inform interested parties of such modifications.

(7) For Single-Family Program applicants, the Board may delegate responsibilities to local agencies for application intake, loan underwriting, processing, approval, project development, construction and weatherization oversight, and management. Local agencies will be governed by policies and procedures approved by the Board.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-6 Project Selection Process

(1) The BRC shall select applications for funding according to the following process and requirements as outlined in the Allocation Plan:

(a) Project underwriting and threshold review,

(b) Scoring and documentation review,

(d) Calculation of OWHLF subsidy amount.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-7 Funding Approval

(1) After each application has been processed and the funding amount has been determined for a given cycle, staff will present projects to the BRC at its next regularly scheduled meeting. The BRC shall hear comments from applicants at the committee meeting and obtain sufficient information to inform the full board about the project, its financial structure, and related general information.

(2) A copy of the BRC recommendation, including all conditional requirements imposed by the BRC and staff, shall become a part of the permanent record and placed in the applicant's file. Recommendations will be presented at the next regularly scheduled quarterly Board meetings. The board will approve, deny, or delay the application.

(3) An applicant may request a change in the terms as outlined in the original motion of the board by reapplying to HCD, with all updated, applicable financial information included, in subsequent funding rounds.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-8 Project Reporting

(1) All projects receiving funding approval will be required to provide status reports at a scheduled frequency, in a format prescribed by the staff, and approved by the Board.

(2) Projects that have not begun construction within one year from the date of approval for funding must submit to staff a summary of significant progress made to date and an explanation of why the project is behind schedule. Staff will present this information to the BRC.

(3) The BRC may choose to extend the period of the project, to rescind the approval, or require the project to re-apply in accordance with current parameters.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-9 Compliance Monitoring

(1) Monitoring of the project by HCD staff will be completed to ensure program compliance. Program non- compliance or lack of response to inquiries from staff will be reported to the HCD administration, the Board, HUD, and the Attorney General's Office as deemed necessary.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-10 Administration Fees

(1) The local agencies listed below may use previously designated funds for project administration costs as approved by the Board. Such projects are still subject to on-site administrative supervision, staff oversight, or monitoring by HDC. The agencies include:

(a) Public Housing Authorities.

(b) Counties, cities and towns.

(2) The agencies shall be expected to demonstrate a significant level of business management and administrative experience and ability in order to receive administrative funds. They shall also demonstrate an acceptable level of background and experience to perform housing rehabilitation/reconstruction and implementation functions.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-11 Financial Subsidy Review

(1) HCD staff shall conduct "subsidy layering" reviews on projects that directly or indirectly receive financial assistance from the U.S. Department of Agriculture Rural Development Service ("RD or RDS"), the U.S. Department of Housing and Urban Development ("HUD") exclusive of HOME, CDBG, or HOPWA assistance, (i.e., the "Subsidy Layering Review") and other federal agencies.

(2) Subsidy Layering Reviews shall be conducted in accordance with guidelines established by the cognizant federal agency with respect to the review of any financial assistance provided by or through these agencies to the project and shall include a review of:

(a) The amount of equity capital contributed to a project by investors,

(b) The project costs including developer fees, and

(3) In the course of conducting the review, the staff may disclose or provide a copy of the application to the cognizant federal agency for its review and comments and shall take any other action deemed necessary to satisfy its obligations under the respective review requirements. HCD staff will consider the results of any review completed by Utah Housing Corporation (UHC).

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-12 Sharing of Information

(1) Application information may be shared with participating lenders, IRS and UHC.

(2) In administering this program, the HCD staff shall conduct all functions in accordance with the provisions of the state GRAMA statute and the federal Freedom of Information Act.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

Utah Admin. Code R982-501-13 Portfolio Management

(1) HCD staff will track the status of the OWHLF portfolio to assess any problem loans needing special loan servicing. Staff will make recommendations to the BRC regarding loan review, changes, and approvals.

(2) HCD staff will work with the board and the Attorney General's office to develop policies and procedures to govern special portfolio management issues such as loan restructuring, bankruptcies, and asset disposal.

History

KEY: Olene Walker Housing Loan Fund, affordable housing, housing development
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504

R982-502 Low-income ADU Loan Guarantee Pilot Program

Utah Admin. Code R982-502-1 Purpose

The purpose of this rule is to establish standards and procedures for administering the two-year pilot program to provide loan guarantees on behalf of borrowers to ensure the repayment of low-income ADU loans, and to encourage lenders to provide capital to homeowners to facilitate the construction of accessory dwelling units to rent to low-income renters, to expand the availability of low- income housing in the state.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-2 Authority

The legal authority for this rule is found in Section 35A-8-504.5.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-3 Definitions

(1) Terms used in this rule are defined in Section 35A-8-504.5.

(2) In addition:

(a) "Division" means the Housing and Community Development Division.

(b) "Executive director" means the executive director of the Department of Workforce Services or the executive director's designee.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-4 Minimum Criteria

(1) The executive director may not provide a loan guarantee for a low-income ADU loan under the pilot program unless the criteria set forth in this Section R982-502-4 are satisfied.

(2) The lender:

(a) must be a:

(i) trust company;

(ii) savings bank;

(iii) savings and loan association;

(iv) bank;

(v) credit union; or

(vi) any other entity that provides low-income ADU loans directly to borrowers;

(b) shall agree in writing, in a form determined by the Division, to participate in the pilot program; and

(i) has a term of 15 years; and

(ii) charges interest at a fixed rate;

(d) shall determine whether to make a loan to an eligible borrower, including credit risk evaluations, based on generally accepted lending practices; and

(e) shall assist the loan applicant in the preparation of the loan application and supporting documentation and in the determination of the financial feasibility of the loan.

(3) The borrower:

(a) must be a residential property owner;

(b) shall agree in writing, in a form determined by the Division, to participate in the pilot program; and

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-5 Lender Responsibilities

(1) After making a low-income ADU loan, the lender shall monitor the activities of the borrower on a yearly basis during the term of the loan to ensure the borrower:

(a) agrees in writing to participate in the pilot program;

(b) constructs an accessory dwelling unit on the borrower's residential property within one year after the day on which the borrower receives the loan;

(d) complies with any other term or condition of the loan.

(2) The lender shall promptly notify the executive director in writing if the borrower fails to comply with any requirement in Subsection R982-502-5(1).

(3) The lender shall perform all necessary and standard loan servicing activities for each loan secured by a low-income ADU loan guarantee.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-6 Borrower Responsibilities

After receipt of a low-income ADU loan, the borrower shall:

(1) construct an accessory dwelling unit on the borrower's residential property within one year after the day on which the borrower receives the loan;

(2) occupy the primary residence with which the accessory dwelling unit is associated:

(a) after the accessory dwelling unit is completed; and

(b) for the remainder of the term of the loan; and

(3) rent the accessory dwelling unit to a low-income individual:

(a) after the accessory dwelling unit is completed; and

(b) for the remainder of the term of the loan.

(4) If, during the term of the loan, the borrower sells or otherwise conveys or transfers the property with which the accessory dwelling unit is associated, the loan guarantee shall be extinguished at the time of the sale. If the purchaser assumes the loan at the time of sale, the purchaser shall be required to apply for and receive a new loan guarantee under this pilot program.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-7 Loan Terms

Unless otherwise mutually agreed upon by the lender and borrower, the low-income ADU loan must:

(1) have a term of 15 years; and

(2) charge interest at a fixed rate.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-8 Request for Proposals

(1) The Division shall award the administration of the pilot program based on a competitive application process. The Division will publicly issue a request for proposals.

(2) Each application will be reviewed and scored by a committee established by the Division.

(3) Scoring priorities for the award may be established by the Division and, if established, will be included in the request for proposals.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-9 Loan Loss Reserve Fund

(1) There is created a $500,000 loan loss reserve fund to be used to secure the loan guarantees issued by the Division. The total amount of the Division's loan guarantees under this pilot program may not exceed $500,000.

(2) Division loan guarantees shall not exceed the:

(a) lesser of 75% of the loan amount or $50,000 per basement low-income ADU loan;

(b) lesser of 50% of the loan amount or $50,000 per garage low-income ADU loan; or

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-10 Terms of Guarantee

(1) The term of the loan guarantee will be the shorter of the loan term or 15 years.

(2) The following restrictions apply for each loan guarantee issued by the Division:

(a) the borrower's property shall carry a recorded deed restriction requiring the accessory dwelling unit to be rented to persons whose annual income does not exceed 80% of the area median income as determined by the U.S. Department of Housing and Urban Development;

(b) if the loan is not prepaid or paid in full before the end of the loan term, the term of the deed of restriction shall be 15 years, measured from the issuance of the certificate of occupancy for the ADU;

(c) if the loan is prepaid or paid in full before the end of the loan terms, the term of the deed of restriction shall be 5 years, measured from the issuance of the certificate of occupancy for the ADU; and

(d) the lien position for the low-income ADU loan shall be limited to first, second, or third position.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-11 Events of Default

(1) In addition to any event of default defined in the contract between lender and borrower, any violation by the borrower of any part of Section R982-502-6 shall be considered a default.

(2) After a loan is in default for a period of 90 days, the lender shall, within 10 days, notify the Division of the default and recommend a course of action.

(3) Upon collection of the amount guaranteed, any excess funds collected shall be applied first to principal and then to interest and be paid to the lender.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

Utah Admin. Code R982-502-12 Eligible Costs

Reasonable and customary fees for loan origination shall be negotiated between borrowers and lenders.

History

KEY: Single family housing modifications, accessory dwelling units
Date of Last Change: February 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-504.5

R982-601 Provider Code of Conduct

Utah Admin. Code R982-601-101 Statement of Purpose

(1) The Provider Code of Conduct is written in addition to all Department of Workforce Services policies and rules governing delivery of services to clients. The purpose of the code is to protect vulnerable clients from abuse, neglect, maltreatment and exploitation.

(2) The Code of Conduct clarifies the expectation of conduct for providers of contracted, licensed and certified programs and their employees, which includes administrative staff, non-direct care staff, direct care staff, support services staff and any others when interacting with clients.

(3) Written agency policy required by this rule must be approved by the licensing or certifying authority.

(4) Nothing in this rule shall be interpreted to mean that clients should not be held accountable for misbehavior or inappropriate behavior on their part, or that providers are restricted from instituting suitable consequences for such behavior.

History

KEY: economic development, training programs, code of conduct, unemployed workers
Date of Last Change: March 31, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-1-104(2)

Utah Admin. Code R982-601-102 Abuse, Sexual Abuse, Sexual Exploitation, Neglect, Exploitation, and Maltreatment Prohibited

(1) No contracted, licensed, or certified agency, individual, or employee shall abuse, sexually abuse or sexually exploit, neglect, exploit, or maltreat any client.

(2) No person shall cause physical injury to any client. Any injury to a client, explained or unexplained, shall be documented in writing and immediately reported to supervisory personnel.

(3) No person by acting, failing to act, encouragement to engage in, or failure to deter from will cause any client to be subject to abuse, sexual abuse or sexual exploitation, neglect, exploitation, or maltreatment.

(4) No person shall engage any client as an observer or participant in sexual acts.

(5) A person may not make clearly improper use of a client or a client's resources for profit or advantage.

(6) Failure to comply with this Provider Code of Conduct may result in corrective action, probation, suspension, or termination of contract, license, or certification.

History

KEY: economic development, training programs, code of conduct, unemployed workers
Date of Last Change: March 31, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-1-104(2)

Utah Admin. Code R982-601-103 Definition of Client

A "client" is:

(1) any person under the age of 18 years;

(2) any person 18 years of age or older who is impaired because of:

(a) mental illness;

(b) mental deficiency;

(d) use of drugs or abuse of alcohol; or

(e) another cause, to the extent that the person cannot care for their own personal safety, health or medical care; and

(3) is a participant in, a recipient of a program or service contracted with, or licensed or certified by the Department of Workforce Services.

History

KEY: economic development, training programs, code of conduct, unemployed workers
Date of Last Change: March 31, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-1-104(2)

Utah Admin. Code R982-601-104 Definitions of Abuse, Sexual Abuse, Sexual Exploitation, Neglect, Exploitation, and Maltreatment

(1) Abuse of clients includes:

(a) harm or threatened harm to the physical or emotional health and welfare of a client;

(b) unlawful confinement;

(d) physical injury including:

(i) any contusion of the skin;

(ii) laceration;

(iii) malnutrition;

(iv) burn;

(v) fracture of any bone;

(vi) subdural hematoma;

(vii) injury to any internal organ;

(viii) any injury causing bleeding; or

(ix) causing, allowing, or maintaining any physical condition which imperils a client's health or welfare; or

(e) any type of physical hitting or corporal punishment inflicted in any manner upon the body.

(2) Sexual abuse and sexual exploitation includes:

(a) engaging in sexual intercourse with any client;

(b) touching the anus or any part of the genitals or otherwise taking indecent liberties with a client, or causing any individual to take indecent liberties with a client with the intent to arouse or gratify the sexual desire of any person;

(d) employing, using, persuading, inducing, enticing or coercing a client to engage in any sexual or simulated sexual conduct for the purpose of photographing, filming, recording, or displaying in any way the sexual or simulated sexual conduct;

(e) displaying, distributing, possessing for the purpose of distribution, or selling material depicting nudity, or engaging in sexual or simulated sexual conduct with a client; or

(f) committing or attempting to commit acts of sodomy or molestation with a client.

(3) Sexual abuse and sexual exploitation does not include therapeutic processes used in the treatment of sexual deviancy or dysfunction which have been outlined in the client's treatment plan and is in accordance with written agency policy.

(4) Neglect includes:

(a) denial of sufficient nutrition;

(b) denial of sufficient sleep;

(d) failure to provide adequate supervision, including impairment of employee due to use of alcohol or drugs, illness, or sleeping, resulting in inadequate supervision;

(e) failure to arrange for medical care or medical treatment as prescribed or instructed by a physician when not contraindicated by agency after consultation with agency physician; or

(f) denial of sufficient shelter, except in accordance with the written agency policy.

(5) Exploitation includes:

(a) utilizing the labor of a client without giving just or equivalent return except as part of a written agency policy which is in accordance with reasonable therapeutic interventions and goals;

(b) using property belonging to clients;

(6) Maltreatment includes:

(a) physical exercises, such as running laps or performing pushups, except in accordance with an individual's service plan and written agency policy;

(b) chemical, mechanical or physical restraints except when authorized by individual's service plan and administered by appropriate personnel or when threat of injury to the client or any other person exists;

(d) requiring or forcing the individual to take an uncomfortable position, such as squatting or bending, or requiring or forcing the individual to repeat physical movements when used solely as a means of punishment;

(e) group punishments for misbehaviors of individuals except in accordance with the written agency policy;

(f) verbal abuse by agency personnel, including engaging in language whose intent or result is demeaning to the client except in accordance with written agency policy which is in accordance with reasonable therapeutic interventions and goals;

(g) denial of any essential program service solely for disciplinary purposes except in accordance with written agency policy;

(h) denial of visiting or communication privileges with family or significant others solely for disciplinary purposes except in accordance with written agency policy;

(i) requiring the individual to remain silent for long periods of time solely for punishment;

(j) excessive withholding of emotional response or stimulation; or

(k) excluding a client from entry to a residence except in accordance with the written agency policy.

History

KEY: economic development, training programs, code of conduct, unemployed workers
Date of Last Change: March 31, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-1-104(2)

Utah Admin. Code R982-601-105 Reporting Requirements

(1) Any contracted, licensed, or certified agency, individual, or employee is responsible to document and report abuse, sexual abuse, sexual exploitation, neglect, maltreatment, and exploitation as outlined in this rule and cooperate fully in any resulting investigation.

(2) Any person who becomes aware of abuse, sexual abuse, sexual exploitation, neglect, maltreatment, or exploitation will immediately report it by contacting the Department of Workforce Services State Office within 24 hours.

(3) All reports and documentation made regarding situations of abuse, sexual abuse, sexual exploitation, neglect, or exploitation will be made available upon request, or with court order when required by federal regulations, to appropriate Department of Workforce Services personnel and law enforcement.

(4) All injury to clients, explained or unexplained, shall be documented in writing and immediately reported to supervisory personnel.

(5) The Department of Workforce Services shall annually notify contractor employees of their responsibilities under this Code of Conduct, including the obligation to report violations, and provide appropriate phone numbers to report violations.

History

KEY: economic development, training programs, code of conduct, unemployed workers
Date of Last Change: March 31, 2022
Notice of Continuation: May 17, 2022
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-1-104(2)

R986 Employment Development

R986-100 Employment Support Programs

Utah Admin. Code R986-100-101 Authority

(1) The legal authority for Title R986 and for the Department of Workforce Services to carry out its responsibilities is found in Sections 35A-1-104, 35A-1-302, 35A-1-303, 35A-1-306, 35A-3-103, 35A-3-111, 35A-3-302, 35A-3-603, and 35A-3- 604.

(2) If any applicable federal law or regulation conflicts with Title R986, the federal law or regulation controls.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-102 Scope

(1) Rule R986-100 establishes standards for the administration of the following programs, for the collection of overpayments as defined in Subsection 35A-1-102(21), and for disqualifications from any public assistance program provided under a state or federally funded benefit program:

(a) Supplemental Nutrition Assistance Program (SNAP);

(b) Family Employment Program (FEP);

(d) Refugee Resettlement Program (RRP);

(e) General Assistance (GA);

(f) Child Care Assistance (CC);

(g) Emergency Assistance Program (EA);

(h) Adoption Assistance Program (AA); and

(i) Activities funded with TANF monies.

(2) Rule R986-100 applies to each program listed in Subsection (1) unless a more specific rule applies. Additional rules that apply to each specific program can be found in the rule for that program. Nothing in Title R986 is intended to apply to Unemployment Insurance.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-103 Acronyms Used in Title R986

The following acronyms are used throughout Title R986:

(1) "AA" Adoption Assistance Program

(2) "ALJ" Administrative Law Judge

(3) "ADH" means administrative disqualification hearing

(4) "CC" Child Care Assistance

(5) "CFR" Code of Federal Regulations

(6) "DCFS" Division of Children and Family Services, Utah State Department of Health and Human Services

(7) "DWS" Department of Workforce Services

(8) "EA" Emergency Assistance Program

(9) "FEP" Family Employment Program

(10) "FEPTP" Family Employment Program Two Parent

(11) "GA" General Assistance

(12) "INA" Immigration and Nationality Act

(13) "IPV" intentional program violation

(14) "ORS" Office of Recovery Service, Utah State Department of Health and Human Services

(15) "PRWORA" the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, Pub. L. No. 104-193

(16) "RRP" Refugee Resettlement Program

(17) "SNAP" Supplemental Nutrition Assistance Program

(18) "SNB" Standard Needs Budget

(19) "SSA" Social Security Administration

(20) "SSDI" Social Security Disability Insurance

(21) "SSI" Supplemental Security Insurance

(22) "SSN" Social Security Number

(23) "TANF" Temporary Assistance for Needy Families

(24) "TCA" Transitional Cash Assistance

(25) "USCIS" United States Citizenship and Immigration Services

(27) "VA" US Department of Veteran Affairs

(28) "WIOA" Workforce Innovation and Opportunity Act

(29) "WSL" Work Site Learning

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-104 Definitions of Terms Used in Title R986

In addition to the definitions of terms found in Title 35A Chapter 3, Employment Support Act, the following definitions apply to programs listed in Section R986-100-102:

(1) "Applicant" means a person requesting assistance under a program listed in Section R986-100-102.

(2) "Assistance" means "public assistance."

(3) "Certification period" is the period for which public assistance is presumptively approved.

(4) "Client" means an applicant for, or recipient of, public assistance services or payments administered by the Department.

(5) "Confidential information" means information that has limited access as provided under Title 63G, Chapter 2, Government Records Access and Management Act or 7 CFR 272.1 (2000). The name of a person who has disclosed information about a household without the household's knowledge is confidential and may not be released. If the person disclosing the information states in writing that the person's name and the information may be disclosed, it is no longer considered confidential.

(6) "Department" means the Department of Workforce Services.

(7) "Education or training" means:

(a) basic remedial education;

(b) adult education;

(d) education to obtain the equivalent of a high school diploma;

(e) education to learn English as a second language;

(f) applied technology training;

(g) employment skills training;

(h) WSL; or

(i) post high school education.

(8) "Employment plan" consists of two parts, a participation agreement and an employment plan, that constitute a written agreement between the Department and a client that describes the requirements for continued eligibility and the result if an obligation is not fulfilled.

(9) "Executive Director" means the Executive Director of the Department of Workforce Services.

(10) "Financial assistance" means payments, other than for SNAP, CC, or medical care, to an eligible individual or household under FEP, FEPTP, RRP, or GA that is intended to provide for the individual's or household's basic needs.

(11) "Full-time education or training" means education or training attended on a full-time basis as defined by the institution attended.

(12) "Group Home." The Department uses the definition of group home as defined by the Department of Health and Human Services.

(13) "Household assistance unit" means a group of individuals who are living together or who are considered to be living together, and for whom assistance is requested or issued. For all programs except SNAP and CC, the individuals included in a household assistance unit must be related to each other as described in Section R986-200-205.

(14) "Income match" means accessing information about an applicant's or client's income from a source authorized by law, including state and federal sources.

(15) "Local office" means the Employment Center that serves the geographical area in which a client resides.

(16) "Material change" means anything that might affect household eligibility, participation levels, or the level of any assistance payment including a change in household composition, eligibility, assets, or income.

(17) "Minor child" is a child under the age of 18, or under the age of 19 and in school full time and expected to complete the educational program before turning 19, and who has not been emancipated either by a lawful marriage or court order.

(18) "Parent" means a natural, adoptive, or stepparent.

(19) "Public assistance" means:

(a) services or benefits provided under Title 35A, Chapter 3, Employment Support Act;

(b) medical assistance provided under Title 26, Chapter 18, Medical Assistance Act;

(d) SNAP; and

(e) any other public funds expended for the benefit of a person in need of financial, medical, food, housing, or related assistance.

(20) "Recipient" means an individual receiving assistance under a program listed in Section R986-100-102.

(21) "Review or recertification." A client who is found eligible for assistance or certain exceptions under Section R986-200-218 is given a date for review or recertification at which point continuing eligibility is determined.

(22) "Standard needs budget" or "SNB" is determined by the Department based on a survey of basic living expenses.

(23) "Work Site Learning" or "WSL" means work experience or training program.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-105 Availability of Program Manuals

(1) Program manuals for each program are available for examination on the Department's website. If an interested party cannot obtain a copy from the website, a copy will be provided by the Department upon request. Reasonable costs of copying may be assessed if more than ten pages are requested.

(2) For SNAP, copies of additional information available to the public, including records, regulations, plans, policy memos, and procedures, are available for examination upon request by members of the public, during office hours, at the Department's administrative offices, as provided in 7 CFR 272.1(d)(1) (2000).

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-106 Residency Requirements

(1)(a) To be eligible for assistance for any program listed in Section R986-100-102, a client must be living in Utah voluntarily and not for a temporary purpose.

(b) There is no requirement that a client have a fixed place of residence.

(c) An individual is not eligible for public assistance in Utah if they are receiving public assistance in another state.

(2) The Department may require that a household live in the area served by the local office in which they apply.

(3) An individual is not eligible for public assistance if they are:

(a) in the custody of the criminal justice system;

(b) a resident of a facility administered by the criminal justice system;

(d) hospitalized; or

(e) a resident in an institution.

(4) An individual who resides in a temporary shelter, including a domestic violence shelter, for a limited period is eligible for public assistance if they meet the other eligibility requirements.

(5)(a) A resident of a substance abuse or mental health facility may be eligible if they meet every other eligibility requirement.

(b) To be eligible for SNAP, the substance abuse or mental health facility must be an approved facility. Approval is given by the Department.

(i) An approved facility shall notify the Department and give a change report form to a client when the client leaves the facility and tell the client to return the form to the local office.

(ii) The change report form serves to notify the Department that the client no longer lives in the approved facility.

(6) Residents of a group home may be eligible for SNAP provided the group home is an approved facility. The Department of Health and Human Services provides approval for group homes.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-107 Client Rights

(1) A client may apply or reapply at any time for any program listed in Section R986-100-102 by completing and signing an application and turning it in, in person or by mail, at the local office, or through the Department's website.

(2) If a client needs help to apply, help will be given by the local office staff.

(3) No individual will be discriminated against because of race, color, national origin, sex, age, religion, or disability.

(4) A client's home will not be entered without permission.

(5) Advance notice will be given if a client must be visited at home outside Department working hours.

(6) A client may request an agency conference to reconcile any dispute which may exist with the Department.

(7) Information about a client obtained by the Department will be safeguarded.

(8) If a client is physically or mentally incapable or has demonstrated an inability to manage funds, the Department may issue a client's payment to a protective payee.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-108 Safeguarding and Release of Information

(1) All information obtained on specific clients, whether kept in the case file, in the computer system, maintained by the Department, the state, or somewhere else, is safeguarded in accordance with Title 63G, Chapter 2, Government Records Access and Management Act and 7 CFR 272.1(c) (2000) and 7 CFR 272.8 (2000) and PRWORA Title VIII, Section 837.

(2)(a) General statistical information may be released if it does not identify a specific client, including information obtained by the Department from another source.

(b) Information obtained from the federal government for purposes of income match may never be released.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-109 Release of Information to a Client or a Client's Representative

(1) Information obtained by the Department from any source that could identify the individual will not be released without the individual's consent or, if the individual is a minor, the consent of the minor's parent or guardian.

(2) A client may request, review, or be provided with copies of anything in the case record unless it is confidential, including any record kept electronically or in a physical file.

(3)(a) Information that may be released to a client may be released to a person other than the client with written permission from the client.

(b) A request shall include:

(i) the date the request is made;

(ii) the name of the person who will receive the information;

(iii) a description of the specific information requested including the time period covered by the request; and

(iv) the signature of the client.

(4)(a) A client is entitled to a copy of the client's file at no cost.

(b) Duplicate requests may result in an appropriate fee for the copies in accordance with Department policy, which will not be more than the cost to the Department for making copies.

(5) The original case file will be removed from the office only as provided in Subsection R986-100-110(6) and may not be given to the client.

(6) Information that is not released to a client because it is confidential may not be used at a hearing or to close, deny, or reduce assistance.

(7) Requests for information intended to be used for a commercial or political reason shall be denied.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-110 Release of Information Other Than at the Request of a Client

(1) Information obtained from or about a client will not be published or open to public inspection in any manner that would reveal a client's identity except for the following circumstances.

(a)(i) There has been a criminal conviction against the client for fraud in obtaining public assistance.

(ii) The Department will provide only the information available in the public record on the criminal charge.

(b) If an abstract has been docketed in the district court on an overpayment, the Department may provide information that is a matter of public record in the abstract.

(2) Any information obtained by the Department pursuant to an application for or payment of public assistance may not be used in any court or admitted into evidence in an action or proceeding, except:

(a) in an action or proceeding arising out of the client's receipt of public assistance, including fraudulently obtaining or retaining public assistance, or any attempt to fraudulently obtain public assistance; or

(b) where obtained pursuant to a court order.

(3) If the case file, or any information about a client in the possession of the Department, is subpoenaed by an outside source, legal counsel for the Department will ask the court to quash the subpoena or take any other action as legal counsel deems appropriate.

(4) Information obtained by the Department from a client or any other source, except information obtained from an income match, may be disclosed to:

(a) an employee of the Department in the performance of the employee's duties unless prohibited by law;

(b) an employee of a governmental agency that is specifically identified and authorized by federal or state law to receive the information;

(c) an employee of a governmental agency to the extent the information will aid in the detection or avoidance of duplicate, inconsistent, or fraudulent claims against public assistance programs, or the recovery of overpayments of public assistance funds;

(d) an employee of a law enforcement agency to the extent the disclosure is necessary to avoid a significant risk to public safety or to aid a felony criminal investigation; except no information regarding a client receiving SNAP assistance may be provided under Subsection R986-100-110(4);

(e)(i) to a law enforcement officer when the client is fleeing to avoid prosecution, custody, or confinement for a felony or is in violation of a condition of parole or probation or when the client has information which will assist a law enforcement officer in locating or apprehending an individual who is fleeing to avoid prosecution, custody, or confinement for a felony or is in violation of a condition of parole or probation and the officer is acting in their official capacity;

(ii) the only information that may be released concerning a client receiving SNAP is the client's address, SSN, and photographic identification;

(f)(i) to a law enforcement official, upon written request, for the purpose of investigating an alleged violation of the Food and Nutrition Act, 7 USC 2011 et seq., or any regulation promulgated pursuant to the Act;

(ii) the written request shall include the identity of the individual requesting the information and their authority to do so, the violation being investigated, and the identity of the person being investigated; and

(iii) the Department may release to the law enforcement official more than just the client's address, SSN, and photo identification;

(g) an educational institution, or other governmental entity engaged in programs providing financial assistance or federal needs-based assistance, job training, child welfare or protective services, foster care or adoption assistance programs, and to individuals or other agencies or organizations who, at the request of the Department, are coordinating services and evaluating the effectiveness of those services;

(h) to certify receipt of assistance for an employer to get a tax credit; or

(i) information necessary to complete any audit or review of expenditures in connection with a Department public assistance program and any information provided will be safeguarded by the individual or agency receiving the information and will only be used for the purpose expressed in its release.

(5) Any information released under Subsection R986-100-110(4) may only be released if the Department receives assurances that:

(a) the information being released will be used only for the purposes stated when authorizing the release; and

(b) the agency making the request has rules for safeguarding the information that are at least as restrictive as the rules followed by the Department and that the agency will adhere to those rules.

(6) Case records or files will not be removed from the local office except by court order, or at the request of authorized Department employees, the Department's Information Disclosure Officer, the Department's Quality Control office, or ORS.

(7) In an emergency, as determined to exist by the Department's Information Disclosure Officer, information may be released to persons other than the client before permission is obtained.

(8) For clients receiving CC, the Department may provide limited additional information to the child care provider identified by the client as the provider as provided in Section R986-700-703.

(9) Taxpayer requests to view public assistance payrolls shall be denied.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-111 How to Apply For Assistance

(1) To be eligible for assistance, a client must complete and sign an application for assistance.

(2)(a) An application is not complete until the applicant has provided complete and correct information and verification as requested by the Department so eligibility may be determined or re-established at the time of review at the end of the certification period.

(b) The client must agree to provide correct and complete information to the Department at all times to remain eligible.

(c) If requested, a client shall provide a release of information that allows the Department to obtain information from an otherwise protected source when the information requested is necessary to establish eligibility or compliance with a program requirement.

(d) A client must provide information about each of the following.

(i) Property or other assets owned by any individual included in the household unit.

(ii) Insurance owned by any member of the immediate family.

(iii) Income available to any individual included in the household unit.

(iv) A verified SSN for each household member receiving assistance.

(A) If any household member does not have an SSN, the client must provide proof that the number has been applied for.

(B) If a client fails to provide an SSN without good cause, or if the application for an SSN is denied for a reason that would be disqualifying, assistance will not be provided for that household member.

(I) Good cause means the client has made every effort to comply.

(II) Good cause does not mean illness, lack of transportation, or temporary absence because the SSA makes provisions for mail-in applications in lieu of applying in person.

(III) Good cause must be established each month for continued benefits.

(v) The identity of any individual who is living in the household regardless of whether they are considered to be in the household assistance unit or not.

(vi) Proof of relationship for each dependent child in the household, however proof of relationship is not needed for SNAP or child care.

(3) All clients, including those not required to participate in an employment plan, will be provided with information about applicable program opportunities and supportive services.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-112 Assistance Will Not Be Paid for a Period Before The Date of Application

(1) Assistance payments for any program listed in Section R986-100-102 will not be made for any time period before the day on which the application for assistance was received by the Department.

(2) If an application for assistance is received after the first day of the month, and the client is eligible to receive assistance, payment for the first month is prorated from the date of the application.

(3)(a) If additional verifying information is needed to complete an application, it must be provided within 30 days of the date the application was received.

(b) If a client due their own fault fails to provide the information within 30 days, the first day the client is eligible is the day on which the verifying information was received by the Department.

(c) If the verifying information is not received within 60 days of the date the application was received by the Department, a new application is required and assistance payments will not be made for periods before the date the new application is received.

(4) If an application for assistance is denied and no appeal is filed within 90 days, or a decision unfavorable to the client is issued on appeal, assistance cannot be claimed, requested, or paid for that time period.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-113 A Client Must Inform the Department of Any Material Change

(1) A material change is any change that might affect eligibility.

(2) A household receiving assistance must report any material change to the Department as follows.

(a) A household receiving SNAP must report a change in the household's gross income if the income exceeds 130% of the federal poverty level within ten days from the end of the calendar month in which the change occurred.

(b) A household receiving GA, FEP, FEPTP, AA, and RRP that does not meet the requirements of Subsection R986- 100-113(2)(a) must report the following changes within ten days of the change occurring:

(i) if the household's gross income exceeds 185% of the adjusted SNB;

(ii) a change of address;

(iii) if any eligible child leaves the household and the household receives FEP, FEPTP, or AA;

(iv) if a parent, stepparent, spouse, or former spouse moves into the household;

(v) if a marriage or adoption occurs with or between the household members;

(vi) if a child becomes eligible for foster care or subsidized adoption financial assistance;

(vii) a change in student status of a child in the household;

(viii) if a client receiving TCA is no longer employed;

(ix) if a client receiving TCA is working less than an average of 30 hours per week;

(x) if there is a change in disability status of a GA client; or

(xi) if a GA client becomes employed.

(3) A household that does not meet the requirements of Subsection R986-100-113(2)(a) will be assigned a review month.

(a) In addition to the ten-day reporting requirements listed in Subsection (2)(b), a household must report, by the last day of the review month, material change that has occurred since the last review, or the date of application if it is the first review.

(b) A household must accurately complete each review form or report as requested by the Department.

(4)(a) Most changes that result in an increase of assistance will become effective the month following the month in which the report of the change was made.

(b) If verification is necessary, verification and changes will be made in the month following the month in which verification was received.

(c) If the change is to add a person to the household, the person will be added effective on the date reported, provided necessary verification is received within 30 days of the change.

(d) If verification of an additional household member is received after 30 days of the date the change is reported, the increase will be made effective the date verification was received.

(5) For purposes of Section R986-100-113, "the Department" means any state office or outreach location of the Department of Workforce Services that accepts and processes applications for the programs listed in Section R986-100-102 and the divisions of the Department of Workforce Services that determine eligibility for those programs, including submitting information using the Department's eligibility customer case system available on the Department's website.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-114 A Client's Continuing Obligation to Provide Verification and Information

(1) A client who is eligible for assistance must provide additional verification and information, which may affect household eligibility or ongoing eligibility, after the application is approved if requested by the Department.

(2)(a) A client must provide information to determine if eligibility was appropriately established and if payments made under Title R986 were appropriate.

(b) Information may be requested by an employee of the Department or a person authorized to obtain the information under contract with the Department.

(3) At the end of a client's certification period, the client shall cooperate with the Department in providing any additional information needed to continue assistance for another certification period. The length of the certification period may vary between clients and programs depending on circumstances.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-114a Determining When a Document or Information is Considered Received by the Department

(1)(a) The "date of receipt" of a document filed with the Department is the date the document is actually received by the Department and not the postmark date.

(b) Any document or information received after 5 p.m. by fax, postal mail, email, or hand delivery, will be considered received the next day Department offices are open.

(c) If an application for assistance or other information is filed through the myCase system, it will be considered received the day it was filed online even if it is filed after 5 p.m. or on a Saturday, Sunday, or legal holiday.

(2) If a document has a due date and that due date falls on a Saturday, Sunday, or legal holiday, the time permitted for filing the document will be extended to 5 p.m. on the next day Department offices are open.

(3) "Document" as used in this section means application for assistance, verification, report, form, and written notification of any kind.

(4)(a) A verbal report or notification will be considered received on the date the client talks to a Department representative.

(b) A voice message received after 5 p.m. will be considered received the next day Department offices are open.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-115 Underpayment Due to a Department Error

(1) If it is determined that a client is entitled to assistance but, due to a Department error the Department, assistance was not paid, the Department will correct the error and make retroactive payment.

(2) If a client receives an assistance payment and it is later discovered that due to Department error the assistance payment should have been made at a higher level than the client received, retroactive payment will be made to correct the error.

(3) If a client's public assistance was terminated due to Department error, the client will be notified and assistance, plus any retroactive payments, will start immediately.

(4)(a) An underpayment found to have been made within the last 12 calendar months will be corrected and issued to the client.

(b) An error that resulted in an underpayment that was made more than 12 months before the date of the discovery of the error is not subject to retroactive payment.

(5) Retroactive payment under Section R986-100-115 cannot be made for any month before the date on which the application for assistance was completed.

(6) The client must not be at fault in the creation of the error for retroactive payment to be issued.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-116 Overpayment

(1) A client is responsible for repaying any overpayment for any program listed in Section R986-100-102 regardless of who was at fault in creating the overpayment.

(2) An underpayment may be used to offset an overpayment for the same program.

(3) An overpayment may be established if a change is not reported as required by Section R986-100-113.

(4) The Department will collect an overpayment for any program listed in Section R986-100-102 as provided by federal regulations for SNAP, unless otherwise noted in this Title or inconsistent with federal regulations specific to the program.

(5) This section and Sections R986-100-117 through R986-100-135 apply to an overpayment determined under contract with the Department of Health and Human Services unless a Department of Health and Human Services rule states otherwise.

(6) If an obligor has more than one overpayment account and does not tell the Department which account to credit, the Department will make that determination.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-117 Disqualification Periods And Civil Penalties For an Intentional Program Violation

(1) An IPV occurs when a person, either personally or through a representative, intentionally, knowingly, or recklessly, as those terms are defined in Section 76-2-103, and as shown by clear and convincing evidence, violates a program rule, or helps another person violate a program rule, in an attempt to obtain, maintain, increase, or prevent the decrease or termination of a public assistance payment from any program listed in Section R986-100-102. An act which may constitute an IPV includes:

(a) making a false or misleading statement;

(b) misrepresenting, concealing, or withholding a fact or information;

(d) taking, using, or accepting a public assistance payment that the person knew they were not eligible to receive, or not reporting the receipt of a public assistance payment that the person knew they were not eligible to receive;

(e) not reporting a material change as required by Title R986;

(f) committing an act intended to mislead, misrepresent, conceal, or withhold a fact or propound a falsity;

(g) accessing TANF financial assistance benefits through an electronic benefit transfer, including through an automated teller machine or point-of-sale device, in an establishment in the state that:

(i) exclusively or primarily sells intoxicating liquor;

(ii) allows gambling or gaming; or

(iii) provides adult-oriented entertainment where performers disrobe or perform unclothed;

(h) using TANF financial assistance benefits to purchase beer, intoxicating beverages, cigarettes, or tobacco; or

(i) committing any act that constitutes a violation of federal or state law for the purpose of using, presenting, transferring, acquiring, receiving, possessing, or trafficking SNAP or EBT cards.

(2) When an IPV is alleged, the Department may:

(a) refer the case for criminal prosecution;

(b) in a SNAP case, refer the case for an ADH; or

(c) in a non-SNAP case, issue an initial decision finding the person committed an IPV, which the person may appeal via the fair hearing process set forth in Sections R986-100-123 through R986-100-135.

(3)(a) The Department may not disqualify a person from SNAP unless an ADH has been held or the person has been criminally convicted.

(b) The Department may not make concurrent referrals for an ADH and criminal prosecution.

(c) If a SNAP case referred for criminal prosecution is dismissed or referred back to the Department without prosecution, the Department may refer the case for an ADH.

(4) A person who is found liable for committing an IPV in either an administrative or criminal proceeding shall:

(a) in the case of any program other than SNAP, be assessed a civil penalty of 10% of the amount of the overpayment; and

(b) in the case of any program other than Medicaid, be disqualified from receiving assistance from the program at issue for a period of:

(i) 12 months for a first offense;

(ii) 24 months for a second offense; and

(iii) permanently for a third offense.

(5) Disqualifications run concurrently.

(6) A disqualification applies only to the person found to have committed an IPV, however, each adult member of the relevant household when the overpayment occurred is responsible for repaying the overpayment.

(7) If a more specific provision of federal or state law provides for a different sanction for committing an act that constitutes an IPV, that provision is controlling.

(8) All the income and assets of a person who has been disqualified from assistance for an IPV continue to be counted and affect the eligibility and assistance amount of the household assistance unit in which the person resides.

(9)(a) If an individual has been disqualified in another state, the disqualification period for the IPV in that state will apply in Utah, provided the act that resulted in the disqualification would have resulted in a disqualification had it occurred in Utah.

(b) If the individual has been disqualified in another state for an act that would have led to disqualification had it occurred in Utah and is found to have committed an IPV in Utah, the prior period of disqualification in any other state count toward determining the length of disqualification in Utah.

(10) A person being disqualified will be notified that a disqualification period has been determined.

(a) A disqualification period shall begin no later than the second month following the date the person being disqualified receives written notice of the disqualification and continues in consecutive months until the disqualification period has expired.

(b) The Department will also provide written notice to any remaining household members informing them of the allotment they will receive during the disqualification period.

(11) Nothing in Title R986 is intended to limit or prevent a criminal prosecution for fraud based on the same facts used to determine an IPV.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-118 Additional Disqualification Penalties

(1) A person found to have made a fraudulent statement or representation with respect to the identity or place of residence of an individual in order to receive multiple SNAP benefits simultaneously is ineligible to participate in SNAP for a 10- year period.

(2) A person found by a federal, state, or local court to have used or received SNAP benefits in a transaction involving the sale of firearms, ammunition, or explosives is permanently ineligible to participate in SNAP.

(3) A person convicted in federal, state, or local court of having trafficked SNAP benefits in an aggregate amount of $500 or more is permanently ineligible to participate in SNAP.

(4) In any other case involving SNAP or TANF funds, a person who has been convicted in federal or state court of having made a fraudulent statement or representation with respect to the place of residence in order to receive assistance simultaneously from two or more states is disqualified from receiving assistance for any program listed in Section R986-100-102 for a 10-year period, even if Utah was not one of the states involved in the original fraudulent misrepresentation.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-119 Reporting Possible Child Abuse or Neglect

When a Department employee has reason to believe that a child has been subjected to abuse or neglect, the employee shall report the suspected abuse or neglect as required by Title 80, Chapter 2, Part 6, Child Abuse and Neglect Reporting Requirements.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-120 Discrimination Complaints

(1) A discrimination complaint may be made in person, by phone, or in writing to the local office, the office of the Executive Director or the Director's designee, the Department's Equal Opportunity Officer, or the appropriate federal agency.

(2) A complaint shall be resolved and responded to as quickly as possible.

(3) A record of complaints will be maintained by the local office including the response to the complaint.

(4) If a complaint is made to the local office, a copy of the complaint together with a copy of the written response will be sent to the office of the Executive Director or the Director's designee.

(5) A discrimination complaint pertaining to SNAP will also be sent to the Secretary of Agriculture or the Administrator of Food and Nutrition Service, Washington, D.C., 20250 in accordance with 7 CFR 272.6 (2000).

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-121 Agency Conferences

(1) An agency conference is used to resolve disputes between a client and Department staff only in cases involving denial of expedited SNAP assistance.

(2) A client may have an authorized representative attend the agency conference.

(3) An agency conference will be attended by the client's eligibility worker and the worker's supervisor unless the client or the supervisor request that the employment counselor not attend the conference.

(4) If an agency conference has previously been held on the same dispute, the Department may decline to hold the requested conference if, in the judgment of the eligibility worker's supervisor, it will not result in the resolution of the dispute.

(5) If the Department requests an agency conference and the client fails to respond, attend, or otherwise cooperate in the process, documentation in the case file of attempts by the staff to follow these steps will be considered as compliance with the requirement to attempt to resolve the dispute.

(6)(a) An agency conference may be held after a client has made a request for hearing in an effort to resolve the dispute.

(b) If an agency conference is held, the client must be notified that failure to participate or failure to resolve the dispute at the agency conference will not affect the client's right to proceed with the hearing.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-122 Advance Notice of Department Action

(1)(a) Except as provided in Subsection R986-100-122(2) or otherwise set forth by rule, interested persons will be notified in writing when a decision concerning eligibility, amount of assistance payment, or Department action which affects the interested person's eligibility or amount of assistance is made. Notice will be sent before the effective date of any action to reduce or terminate assistance payments.

(b) The Department will send advance notice of its intent to collect an overpayments or to disqualify an interested person.

(2) Except for overpayments, advance notice is not required when:

(a) an interested person requests in writing that the case be closed;

(b) a client has been admitted to an institution under governmental administrative supervision;

(d) an interested person's whereabouts are unknown and mail sent to the interested person has been returned by the post office with no forwarding address;

(e) it has been determined an interested person is receiving public assistance in another state;

(f) a child in a household has been removed from the home by court order or by voluntary relinquishment;

(g) a special allowance provided for a specific period is ended and the interested person was informed in writing when the allowance began that it would terminate at the end of the specified period;

(h) a household member has been disqualified for an IPV in accordance with 7 CFR 273.16 (2000), or the benefits of any remaining household members is reduced or terminated to reflect the disqualification;

(i) the Department has received factual information confirming the death of an interested person if there is no other relative able to serve as a new payee;

(j) the relevant certification period has expired;

(k) the action to terminate assistance is based on the expiration of the time limits imposed by the program;

(l) an interested person has provided information to the Department, or the Department has information obtained from another reliable source, that the interested person is not eligible or that payment should be reduced or terminated;

(m) the Department determines that an interested person willfully withheld information; or

(n) when payment of financial assistance is made after performance under Sections R986-200-215 and R986-400-454 no advance notice is needed when performance requirements are not met.

(3) For a SNAP recipient and recipient of assistance under Rule R986-300, no action will be taken until ten days after notice was sent unless one of the exceptions in Subsections R986-100-122(2)(a) through (k) apply.

(4)(a) Notice is complete if sent to an interested person's last known address.

(b) If notice is sent to an interested person's last known address and the notice is returned with no forwarding address, the notice will be considered to have been properly served.

(c) If an interested person elects to receive correspondence electronically, notice is complete when sent to the interested person's last known email address or posted to the interested person's Department sponsored web page.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-123 The Right To a Hearing and How to Request a Hearing

(1) An interested person has the right to a review of an adverse Department action by requesting a fair hearing before an ALJ. Reviews of medical assistance eligibility determinations are subject to Section R986-100-137.

(2) In cases where the Department sends notice of its intent to take action to collect an alleged overpayment but there is no alleged SNAP overpayment, the interested person must request a hearing in writing or orally within 30 days of the date of notice of agency action. In all other cases, the interested person must request a hearing in writing or orally within 90 days of the date of the notice of agency action with which the interested person disagrees.

(3) Only a clear expression by the interested person, whether orally or in writing, that the interested person wants an opportunity to present their case is required.

(4) The request for a hearing can be made by contacting the Department.

(5) If the interested person disagrees with the level of SNAP benefits paid or payable, the interested person can request a hearing within the certification period, even if that is longer than 90 days.

(6) If a request for restoration of lost SNAP benefits is made within one year of the loss of benefits an interested person may request a hearing within 90 days of the date of the denial of restoration.

(7) An interested person may contact the Department to resolve the dispute. If the dispute cannot be resolved, the interested person may still request a hearing provided it is filed within the time limit provided in the notice of agency action.

(8) In cases not involving an overpayment or disqualification, if the interested person does not submit a timely appeal, the Department decision is final.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-124 How Hearings Are Conducted

(1) Hearings are held at the state level and not at the local level.

(2) Where not inconsistent with federal law or regulation governing hearing procedure, the Department will follow Title 63G, Chapter 4, Administrative Procedures Act.

(3) Hearings for the programs listed in Section R986-100-102 and for overpayments and IPVs in Title 35A, Chapter 3, Part 6, Administrative Determination of Overpayment Act are declared to be informal.

(4) Hearings are conducted by an ALJ or a Hearing Officer in the Division of Adjudication. A Hearing Officer has the same rights, duties, powers, and responsibilities as an ALJ under these rules and the terms are interchangeable.

(5) Hearings are scheduled as telephone hearings. Every party wishing to participate in the telephone hearing must call the Division of Adjudication as instructed in the notice of hearing. If the party fails to call in as required by the notice of hearing, the appeal will be dismissed.

(6)(a) If a party requires an in-person hearing, the party must contact an ALJ and request that the hearing be scheduled as an in-person hearing. The request should be made sufficiently in advance of the hearing so the other parties may be given notice of the change in hearing type and the opportunity to appear in person also.

(b) Requests will only be granted if the party can show that an in-person hearing is necessary to accommodate a special need or if the ALJ deems an in-person hearing is necessary to ensure an orderly and fair hearing which meets due process requirements.

(c) If the ALJ grants a request for an in-person hearing, the other parties will be informed that the hearing will be conducted in person. A party may elect to participate by telephone.

(d) In-person hearings are held in the office of the Division of Adjudication unless the ALJ determines that another location is more appropriate. A party or witness may participate from the closest local Employment Center.

(7) The Department is not responsible for any travel costs incurred by any party or witness in attending an in-person hearing.

(8) The Division of Adjudication will permit collect calls from parties and their witnesses participating in telephone hearings.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-125 When a Party or Witness Needs an Interpreter at the Hearing

(1) If a party or witness notifies the Department that an interpreter is needed when the request for hearing is made, the Department will arrange for an interpreter at no cost to the party or witness.

(2) If an interpreter is needed at the hearing, the party may arrange for an interpreter to be present at the hearing who is an adult with fluent ability to understand and speak English and the language of the person testifying, or notify the Division of Adjudication when the appeal is filed that assistance is required in arranging for an interpreter.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-126 Procedure For Use of an Interpreter

(1) The ALJ will ensure the interpreter:

(a) understands the English language; and

(b) understands the language of the party or witness for whom the interpreter will interpret.

(2) The ALJ will instruct the interpreter to interpret, word for word, and not summarize, add, change, or delete any of the testimony or questions.

(3) The interpreter will be sworn to truthfully and accurately translate each statement made, each question asked, and each answer given.

(4) The ALJ will instruct the interpreter to translate to the party the explanation of the hearing procedures as provided by the ALJ.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-127 Notice of Hearing

(1) Each interested party will be notified by mail at least 10 days before the hearing.

(2) Advance written notice of the hearing may be waived if the party and Department agree.

(3) The notice shall contain:

(a)(i) the time, date, and place, or conditions of the hearing.

(ii) If the hearing will be conducted by telephone, the notice will provide the number for the party to call and a notice that the party may call the number collect;

(b) the legal issues to be decided or reason for the hearing;

(d) the procedures and limitations for requesting rescheduling; and

(e) notification that the party may examine the case file before the hearing.

(4)(i) If a party has designated a person or professional organization as the party's agent, notice of the hearing will be sent to that agent.

(ii) Notice sent to a party's agent is notice to the party.

(5) When a new issue arises during the hearing or under other unusual circumstances, advance written notice may be waived, if the Department and each party agree, after a full verbal explanation of the issues and potential results.

(6) Each party must notify any representative, including legal counsel, and any witness of the time and place of the hearing and make necessary arrangements for their participation.

(7) The notice of hearing will be translated, either in writing or verbally, for certain clients participating in the RRP program in accordance with RRP regulations.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-128 Hearing Procedure

(1) Hearings are not open to the public.

(2)(a) A party may be represented at the hearing.

(b) The party may also invite friends or relatives to attend as space permits and consistent with the orderly progress of the hearing.

(3) Representatives from the Department or other state agencies may be present.

(4)(a) Hearings are conducted informally and in a manner that protects the rights of the parties.

(b) The hearing may be recorded.

(5) All issues relevant to the appeal will be considered and decided upon.

(6) The decision of the ALJ will be based solely on the testimony and evidence presented at the hearing.

(7) Each party may testify, present evidence, or comment on the issues.

(8) Testimony will be given under oath or affirmation.

(9) Any party to an appeal will be given an adequate opportunity to be heard and present relevant evidence and to know and rebut by cross-examination or otherwise any other evidence submitted.

(10) The ALJ will direct the order of testimony and rule on the admissibility of evidence.

(11) Oral or written evidence of any nature, whether or not conforming to the legal rules of evidence including hearsay may be accepted and will be given its proper weight.

(12) Official records of the Department, including any report submitted in connection with any program administered by the Department or other state agency may be included in the record.

(13) The ALJ may request the presentation of and may take additional evidence as the ALJ deems necessary.

(14)(a) The parties, with consent of the ALJ, may stipulate to the facts involved.

(b) The ALJ may decide the issues on the basis of stipulated facts or may set the matter for hearing and take further evidence as deemed necessary to determine the issues.

(15) The ALJ may require portions of the evidence be transcribed as necessary for rendering a decision.

(16) Unless an interested person requests a continuance, the decision of the ALJ will be issued within 60 days of the date on which the interested person requests a hearing.

(17) A decision of the ALJ that results in a reversal of the Department decision shall be complied with within 10 days of the issuance of the decision.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-129 Rescheduling or Continuance of Hearing

(1) The ALJ may adjourn, reschedule, continue, or reopen a hearing on the ALJ's own motion or on the motion of any party. A hearing may not be continued for more than 30 days.

(2) If a party knows in advance of the hearing that the party will be unable to proceed with or participate in the hearing on the date or time scheduled, the party must request that the hearing be rescheduled or continued to another day or time.

(a) The request must be received before the hearing.

(b)(i) The request must be made orally or in writing to the Division of Adjudication.

(ii) If the request is not received before the hearing, the party must show cause for failing to make a timely request.

(d) Normally, a party will not be granted more than one request for a continuance.

(3) The rescheduled hearing must be held within 30 days of the original hearing date.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-130 Default Order for Failure to Participate

(1)(a) Except in cases of a SNAP IPV as stated in Section R986-100-136, if a person assessed an overpayment or other sanction fails to participate in the administrative process, the Department shall issue a default order confirming the overpayment and any other sanction and shall move to collect any overpayment by any legal means.

(b) Participation means:

(i) signing and returning to the Department an approved stipulation for repayment and making each payment as agreed;

(ii) requesting and participating in a hearing; or

(iii) paying the overpayment in full.

(2)(a) If a hearing has been scheduled at the request of an interested person and the interested person fails to appear at or participate in the hearing, either personally or through a representative, the ALJ will, unless a continuance or rescheduling has been requested, issue a default order dismissing the request.

(b) A default order has the effect of upholding the initial Department decision.

(3) A default order will be based on the record and best evidence available at the time of the order.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-131 Setting Aside A Default or Reopening a Hearing After the Hearing Has Been Concluded

(1)(a) If a default order is issued, an adversely affected party may request that the default order be set aside and a hearing or a new hearing be scheduled.

(b) If a party failed to participate in a hearing but no decision has yet been issued, the party may request that the hearing be reopened.

(2)(a) A request to set aside or reopen may be made orally or in writing as set forth in Section R986-100-123.

(b) A request to set aside a default order must be made within 30 days of the issuance of the default order.

(c)(i) A request to reopen must be made within 30 days of the hearing date.

(ii) If a request to reopen is made after a decision is issued, it shall be treated as a request to set aside a default order.

(iii) If the request is made after the expiration of the relevant time limit, the requesting party must show good cause for not making a timely request.

(A) Good cause is defined as a showing that the delay was due to circumstances beyond the party's control, or that the delay was due to circumstances that were compelling and reasonable.

(B) Ordinary illness, lack of transportation, and temporary absence do not generally constitute good cause.

(3)(a) The ALJ may, on the ALJ's own motion, set aside a default order or reschedule, continue, or reopen a hearing if it appears necessary to take continuing jurisdiction based on a mistake as to facts or a change in conditions, or if the denial of a hearing would be an affront to fairness.

(b) A presiding officer may, on the officer's own motion, agree on behalf of the Department to set aside a default order on the same grounds.

(4)(a) If a default order is not set aside or a hearing is not reopened under Subsection R986-100-131(3), the request to set aside or reopen shall be forwarded to the Division of Adjudication for assignment to an ALJ.

(b) The ALJ shall hold a hearing to determine whether to set aside the default order or reopen the prior hearing unless it is clear from the record before the ALJ that the person seeking to set aside the default order or reopen the hearing cannot meet the applicable standards set forth in Section R986-100-131 or R986-100-132.

(5)(a) If a request to set aside the default order or reopen the hearing is not granted, the ALJ will issue a decision denying the request.

(b) A copy of the decision will be given or mailed to each party, with a clear statement of the right of appeal or judicial review.

(d) The appeal may contest only the denial of the request to set aside or reopen and not the underlying merits of the case.

(e) If the denial is reversed on appeal, the Executive Director or designee may rule on the merits or remand the case to an ALJ for a ruling on the merits on an additional hearing if necessary.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-132 What Constitutes Grounds to Set Aside a Default Order or Reopen a Hearing

(1) A request to reopen a hearing or set aside a default order for failure to participate will be granted if the party was prevented from participating or appearing at the hearing due to circumstances beyond the party's control.

(a) A request may be granted upon such terms as are just for any of the following reasons: mistake, inadvertence, surprise, excusable neglect, or any other reason justifying relief from the operation of the decision.

(b) A determination of excusable neglect is an equitable one, taking into account all the relevant circumstances.

(2)(a) Requests to reopen or set aside are remedial in nature and shall be liberally construed in favor of providing parties with an opportunity to be heard and present their case.

(b) Any doubt shall be resolved in favor of granting reopening.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-133 Canceling an Appeal and Hearing

(1)(a) A person who has filed an appeal may withdraw the appeal either orally or in writing by contacting the Division of Adjudication.

(b) The request to withdraw will be granted unless granting the request would impair the due process rights of another interested person.

(d) The granting of a withdrawal has the effect of upholding the initial Department decision.

(2)(a) A person may reinstate a previously withdrawn appeal by making a request, either orally or in writing, to the Division of Adjudication that the appeal be reinstated.

(b) A request to reinstate must be made within ten days of the date the person receives the withdrawal decision.

(c) For purposes of this section, the withdrawal decision is considered to have been received three days after the mailing date on the decision letter.

(d) If the request to reinstate is made after the expiration of the ten-day time limit, the person must show good cause, as defined in Section R986-100-131, for not making the request within ten days.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-134 Payment of Assistance While a Hearing is Pending

(1)(a) A client is entitled to receive continued assistance pending a hearing contesting a Department decision to reduce or terminate SNAP or RRP financial assistance if the client's request for a hearing is received no later than ten days after the date of the notice of the reduction or termination.

(b) The assistance will continue unless the certification period expires until a decision is issued by the ALJ.

(i) If the certification period expires while the hearing or decision is pending, assistance will be terminated.

(ii) If a client becomes ineligible or the assistance amount is reduced for another reason pending a hearing, assistance will be terminated or reduced for the new reason unless a hearing is requested on the new action.

(2) If a client can show good cause for not requesting the hearing within 10 days of the notice, assistance may be continued if the client shows good cause, as defined in Section R986-100-131, for failing to file a request in a timely fashion.

(3) A client affected by Subsection R986-100-134(1) may request that payment of assistance not be continued pending a hearing but the request must be in writing.

(4) If payments are continued pending a hearing, a client affected by Subsection R986-100-134(1) is responsible for any overpayment in the event of an adverse decision.

(5) If the decision of the ALJ is adverse to a client affected by Subsection R986-100-134(1), the client is not eligible for continued assistance pending any appeal of that decision.

(6) If a decision favorable to a client affected by Subsection R986-100-134(1) is made after a hearing, and payments were not made pending the decision, retroactive payment will be paid back to the date of the adverse action if the client is otherwise eligible.

(7) Financial assistance payments under FEP, FEPTP, GA or WTE, and CC subsidies will not continue during the hearing process regardless of when the appeal is filed.

(8) Financial assistance under the RRP will not extend for longer than the eight-month time limit for that program under any circumstances.

(9) Assistance is not allowed pending a hearing from a denial of an application for assistance.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-135 Further Appeal From the Decision of the ALJ or Hearing Officer

(1) Except as provided in Section R986-100-138, each party has the option of appealing the decision of the ALJ or hearing officer to either

(a) the Executive Director or person designated by the Executive Director; or

(b) the District Court.

(2) An appeal must be filed, in writing, within 30 days of the issuance of the decision of the ALJ or hearing officer. An untimely request for agency review will be dismissed unless the requesting party can show good cause for the untimely request pursuant to Subsection R986-100-131(2).

(3) Pursuant to Section 63G-4-402, within 30 days of the date an agency review decision is issued, an adversely affected party may file a petition for judicial review with the district court.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-136 SNAP Administrative Disqualification Hearing Procedures

(1) For an alleged IPV involving SNAP, an ADH is held unless the client formally waives the right to an ADH in writing. If the client does not participate in the hearing, the ALJ will make a decision based solely on the evidence before the ALJ.

(2) The hearing procedures set forth in Sections R986-100-123 through R986-100-135 apply to an ADH unless otherwise specified or inconsistent with this section.

(3) The Division of Adjudication will schedule an ADH.

(a) A pending ADH has no effect on a household's eligibility or benefit level.

(b) The Department may withdraw a request for an ADH at any time before the scheduled hearing by sending written notice to the Division of Adjudication and each party.

(4) A client may waive the right to an ADH by completing, signing, and returning a waiver form prepared by the Department.

(a) A completed, signed, and submitted waiver constitutes an agreement by the client to forgo the ADH and accept the prescribed disqualification period.

(b) If a client accused of an IPV is not the head of household, the waiver must be signed by both the client accused of the IPV and the head of household to be effective. Waiver of the right to an ADH shall result in the client accused of the IPV and all other adult household members being held responsible to repay any overpayment.

(c) A client may rescind a waiver of the right to an ADH by submitting a written statement to the Division of Adjudication requesting that the waiver be rescinded.

(i) The written statement must be submitted within 30 days of the date the waiver was submitted, or before the start of the disqualification period, whichever is earlier.

(ii) Once a valid written statement rescinding the waiver is received, the Division of Adjudication will schedule an ADH.

(5) The notice of hearing shall contain, in addition to the items described in Section R986-100-127, the following:

(a) the charges against the client;

(b) a summary of the evidence;

(d) a statement that the client will, upon receipt of the notice, have 10 days from the date of the hearing to present good cause for failure to appear to receive a new hearing;

(e) a warning that a determination of IPV will result in a specific disqualification period;

(f) a statement of which penalty the Department believes applies to the case;

(g) a listing of the client's rights as outlined in Section R986-100-128;

(h) a statement that the hearing does not preclude the state or federal government from prosecuting the client for the IPV in a civil or criminal court action, or from collecting any overissuance; and

(i) a statement informing the client about what free legal services are available.

(6) The Division of Adjudication may combine a fair hearing and an ADH into a single hearing if the relevant factual issues arise out of the same or related circumstances.

(a) The notice of hearing shall inform the parties of whether a fair hearing and an ADH will be combined into a single hearing.

(b) If the hearings are combined, the applicable filing and hearing deadlines and timeframes are those contained in this section to the extent of any conflict.

(c) If the client fails to appear or participate in the combined hearing, the fair hearing will be dismissed but the ADH will still be held.

(7) The ALJ shall advise the parties that they have the right to refuse to answer questions during the hearing, and that the ALJ may draw reasonable adverse inferences based on a party's refusal to answer questions during the hearing.

(8) A qualified employee of the Department shall represent the Department at the ADH.

(9) Within 90 days of the date the notice of hearing is issued, the ALJ shall conduct the hearing, arrive at a decision, and issue written notice of the decision to the Department and all parties. If the ADH is postponed for any reason, the 90-day time limit will be extended by as many days as the ADH is postponed.

(10) If any party fails to participate in the hearing and disagrees with the hearing decision, the party may request reopening of the hearing as set forth in Section R986-100-131.

(11) If the ALJ determines the client did not commit an IPV, no disqualification shall be assessed. Any party, including the Department, may utilize the administrative review process set forth in Section R986-100-135.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-137 Hearings on Determinations of Medical Assistance Eligibility

(1)(a) The Department has been designated by the Utah Department of Health and Human Services to determine eligibility for medical assistance, as authorized by the following:

(i) 42 U.S.C. 1396a;

(ii) 42 C.F.R. 431.10;

(iii) Section 26-18-5 of the Utah Code; and

(iv) Section R414-301-2.

(b) The Department of Health and Human Services administers Medicaid and other medical assistance benefits programs.

(2)(a) An adversely affected party may request a fair hearing to review a decision of medical assistance eligibility.

(b) Except as stated in this rule, a fair hearing request follows the procedures of Sections R986-100-123 through R986-100-135.

(3) A hearing may be requested by:

(a) a client;

(b) a client's spouse;

(d) an authorized guardian or representative of a client.

(4)(a) A representative from DWS shall participate in hearings.

(b) Representatives from other state agencies may participate as needed.

(5)(a) If the ALJ or hearing officer's decision is not appealed for agency review as provided in Section R986-100-138, the decision becomes final 30 days after the decision is issued.

(b) The parties may stipulate to an earlier effective date, if no appeal will be requested.

(c) If the ALJ or hearing officer reverses the eligibility decision, the Department of Health and Human Services will comply with the ALJ or hearing officer's decision after the decision becomes final.

(6)(a)(i) A recipient of medical assistance benefits may continue to receive benefits pending a hearing decision if the recipient requests the hearing before the effective date of the eligibility determination or within 15 days on the notice of eligibility determination.

(b) A recipient may decline the continued benefits while a hearing is pending by notifying the Department of Health and Human Services in writing.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-138 Agency Review of Medical Assistance Eligibility

(1) An adversely affected party, including the Department of Health and Human Services, may appeal an ALJ or hearing officer decision by requesting agency review.

(2) A request for agency review must be made within 30 days after the decision is issued. An untimely request for agency review will be dismissed unless the requesting party can show good cause for the untimely request pursuant to Subsection R986-10-131(2).

(3) The Executive Director of the Department or the Executive Director's designee shall conduct the agency review.

(4) Agency review is an informal proceeding and shall be conducted in accordance with Section 63G-4-301.

(a) The ALJ or hearing officer's decision is suspended until the Executive Director or their designee issues a final decision and order on agency review.

(b) A hearing will not be conducted for agency review.

(d) The agency review may confirm, reverse, or modify the ALJ or hearing officer's decision.

(5)(a) Benefits may continue while an agency review is pending.

(b) A recipient may decline the continued benefits while agency review is pending by notifying the Department of Health and Human Services in writing.

(c) A recipient must repay any benefits received while agency review is pending if a decision denying eligibility is upheld.

(6) A decision on agency review is final upon issuance.

(7) The Department of Health and Human Services shall take case action within ten calendar days of the date the agency review decision becomes final.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

Utah Admin. Code R986-100-139 Appeal of Agency Review of Medical Assistance Eligibility

(1)(a) Pursuant to Section 63G-4-402, within 30 days of the date the agency review decision is issued, an adversely affected party may file a petition for judicial review with the district court.

(b) Failure to appeal a decision to the Department for agency review pursuant to Section R986-100-138 constitutes a waiver of the right to judicial appeal.

(2) Recipients are not entitled to continued benefits pending judicial review by the district court.

History

KEY: employment support procedures, hearing procedures, public assistance, SNAP
Date of Last Change: December 29, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-101 et seq.; 35A-3-301 et seq.; 35A-3-401 et seq.

R986-200 Family Employment Program

Utah Admin. Code R986-200-201 Authority for Family Employment Program (FEP) and Family Employment Program Two Parent (FEPTP) and Other Applicable Rules

(1) The Department provides services to eligible families under FEP and FEPTP under the authority granted in the Employment Support Act, UCA 35A-3-301 et seq. Funding is provided by the federal government through Temporary Aid to Needy Families (TANF) as authorized by PRWORA.

(2) Rule R986-100 applies to FEP and FEPTP unless expressly noted otherwise.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-202 Family Employment Program (FEP)

(1) The goal of FEP is to increase family income through employment, and where appropriate, child support and/or disability payments.

(2) FEP is for families with no more than one able bodied parent in the household. If the family has two able bodied parents in the household, the family is not eligible for FEP but may be eligible for FEPTP. Able bodied means capable of earning at least $500 per month in the Utah labor market.

(3) If a household has at least one incapacitated parent, the parent claiming incapacity must verify that incapacity in one of the following ways:

(a) receipt of disability benefits from SSA;

(b) 100% disabled by VA; or

(i) a licensed medical doctor;

(ii) a doctor of osteopathy;

(iii) a licensed Mental Health Therapist as defined in UCA 58-60-102;

(iv) a licensed Advanced Practice Registered Nurse; or

(v) a licensed Physician's Assistant.

(d) the written statement in paragraph (c) of this subsection must be based on a current physical examination of the parent, not just a review of parent's medical records.

(4) Incapacity means not capable of earning $500 per month. The incapacity must be expected to last 30 days or longer.

(5) An applicant or parent must cooperate in the obtaining of a second opinion regarding incapacity if requested by the Department. Only the costs associated with a second opinion requested by the Department will be paid for by the Department. The Department will not pay the costs associated with obtaining a second opinion if the parent requests the second opinion.

(6) An incapacitated parent is included in the FEP household assistance unit and the parent's income and assets are counted toward establishing eligibility unless the parent is a SSI recipient. If the parent is a SSI recipient, that parent is not included in the household and none of the income or assets of the SSI recipient is counted.

(7) An incapacitated parent who is included in the household must still negotiate, sign and agree to participate in an employment plan. If the incapacity is such that employment is not feasible now or in the future, participation may be limited to cooperating with ORS and filing for any assistance or benefits to which the parent may be entitled. If it is believed the incapacity might not be permanent, the parent will also be required to seek assistance in overcoming the incapacity.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-203 Citizenship and Alienage Requirements

(1) All persons in the household assistance unit who are included in the financial assistance payment, including children, must be a citizen of the United States or meet alienage criteria.

(2) An alien is not eligible for financial assistance unless the alien meets the definition of qualified alien. A qualified alien is an alien:

(a) who is paroled into the United States under section 212(d)(5) of the INA for at least one year;

(b) who is admitted as a refugee under section 207 of the INA;

(d) who is a Cuban or Haitian entrant in accordance with the requirements of 45 CFR Part 401;

(e) who is an Amerasian from Vietnam and was admitted to the United States as an immigrant pursuant to Public Law 100- 202 and Public Law 100-461;

(f) whose deportation is being withheld under sections 243(h) or 241(b)(3) of the INA;

(g) who is lawfully admitted for permanent residence under the INA,

(h) who is granted conditional entry pursuant to section 203(a)(7) of the INA;

(i) who meets the definition of certain battered aliens under Section 8 U.S.C. 1641(c); or

(j) who is a certified victim of trafficking.

(3) All aliens granted lawful temporary or permanent resident status under Sections 210, 302, or 303 of the Immigration Reform and Control Act of 1986, are disqualified from receiving financial assistance for a period of five years from the date lawful temporary resident status is granted.

(4) Aliens are required to provide proof, in the form of documentation issued by the United States Citizenship and Immigration Services (USCIS), of immigration status. Victims of trafficking can provide proof from the Office of Refugee Resettlement.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-204 Eligibility Requirements

(1) To be eligible for financial assistance under the FEP or FEPTP a household assistance unit must include:

(a) a pregnant woman when it has been medically verified that she is in the third calendar month prior to the expected month of delivery, or later, and who, if the child were born and living with her in the month of payment, would be eligible. The unborn child is not included in the financial assistance payment; or

(b) at least one minor dependent child who is a citizen or meets the alienage criteria. All minor children age 6 to 16 must attend school, or be exempt under 53A-11-102, to be included in the household assistance unit for a financial assistance payment for that child.

(i) A minor child is defined as being under the age of 18 years and not emancipated by marriage or by court order; or

(ii) an unemancipated child, at least 18 years old but under 19 years old, with no high school diploma or its equivalent, who is a full-time student in a secondary school, or in the equivalent level of vocational or technical training, and the school has verified a reasonable expectation the 18 year old will complete the program before reaching age 19.

(2) Households must meet other eligibility requirements of income, assets, and participation in addition to the eligibility requirements found in R986-100.

(3) Persons who are fleeing to avoid prosecution of a felony, or who are violating parole or probation for a felony or a misdemeanor, are ineligible for financial assistance.

(4) All clients who are required to complete a negotiated employment plan as provided in R986-200-206 must attend a FEP orientation meeting, sign a FEP Agreement, and negotiate and sign an employment plan within 30 days of submitting his or her application for assistance. Attendance at the orientation meeting can only be excused for reasonable cause as defined in R986-200- 212(8). The application for assistance will not be complete until the client has attended the meeting.

(5) If a parent in the financial assistance household received TANF funded financial assistance benefits from another state or from a tribe, the entire household is ineligible to receive TANF funded financial assistance in Utah the same month. This is true even if household composition has changed. If a child in the household has received TANF funded financial assistance in another household, in this or any other state, the child will be excluded from the household determination in the same month according to the provisions of R986-200-205(2)(d). TANF funded financial assistance in Utah is FEP, FEP-TP, Emergency Assistance and AA.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-205 How to Determine Who Is Included in the Household Assistance Unit

The amount of financial assistance for an eligible household is based on the size of the household assistance unit and the income and assets of all people in the household assistance unit.

(1) The income and assets of the following individuals living in the same household must be counted in determining eligibility of the household assistance unit:

(a) all natural parents, adoptive parents, parents listed on the birth certificate and stepparents, unless expressly excluded in this section, who are related to and residing in the same household as an eligible dependent child. Natural parentage is determined as follows:

(i) A woman is the natural parent if her name appears on the birth record of the child.

(ii) For a man to be determined to be the natural parent, that relationship must be established or acknowledged or his name must appear on the birth record. If the parents have a solemnized marriage at the time of birth, relationship is established and can only be rebutted by a DNA test;

(b) household members who would otherwise be included but who are absent solely by reason of employment, school or training, or who will return home to live within 30 days;

(c) all minor siblings, half-siblings, and adopted siblings living in the same household as an eli gible dependent child; and

(d) all spouses living in the household.

(2) The following individuals in the household are not counted in determining the household size for determining payment amount nor are the assets or income of the individuals counted in determining household eligibility:

(a) a recipient of SSI benefits. If the SSI recipient is the parent and is receiving FEP assistance for the child(ren) residing in the household, the SSI parent must cooperate with establishing paternity and child support enforcement for the household to be eligible. If the only dependent child is a SSI recipient, the parent or specified relative may receive a FEP assistance payment which does not include that child, provided the parent or specified relative is not on SSI and can meet all other requirements;

(b) a child during any month in which a foster care maintenance payment is being provided to meet the child's needs. If the only dependent child in the household is receiving a foster care maintenance payment, the parent or specified relative may still receive a FEP assistance payment which does not include the child, provided all other eligibility, income and asset requirements are met;

(c) an absent household member who is expected to be gone from the household for 180 days or more unless the absence is due to employment, school or training. If the absence is due to employment, school or training the household member must be included.

(d) a child who was counted as a dependent in a household that received TANF funded financial assistance or in a specified relative household in the same month. A child cannot be counted as a dependent in two households that receive TANF funded financial assistance or specific relative assistance in the same month.

(3) The household assistance unit can choose whether to include or exclude the following individuals living in the household. If included, all income and assets of that person are counted:

(a) all absent household members who are not required to participate in an employment plan under R986-200-210 and who are expected to be temporarily absent from the home for more than 30 but not more than 180 consecutive days unless the absence is due to employment, school or training. If the absence is due to employment, school or training the household member must be included. If the household member is required to participate in an employment plan, the household member must be included.

(b) Native American children, or deaf or blind children, who are temporarily absent while in boarding school, even if the temporary absence is expected to last more than 180 days;

(c) an adopted child who receives a federal, state or local government special needs adoption payment. If the adopted child receiving this type of payment is the only dependent child in the household and excluded, the parent(s) or specified relative may still receive a FEP or FEPTP assistance payment which does not include the child, provided all other eligibility requirements are met. If the household chooses to include the adopted child in the household assistance unit under this paragraph, the special needs adoption payment is counted as income;

(d) former stepchildren who have no blood relationship to a dependent child in the household;

(e) a specified relative. If a household requests that a specified relative be included in the household assistance unit, only one specified relative can be included in the financial assistance payment regardless of how many specified relatives are living in the household. The income and assets of all household members are counted according to the provisions of R986-200-241.

(f) if the only adult in the household is temporarily absent, the dependent child or children must be left under the care of an adult or benefits will be denied;

(4) In situations where there are children in the home for which there is court order regarding custody of the children, the Department will determine if the children should be included in the household assistance unit based on the actual living arrangements of the children and not on the custody order. If the child lives in the home 50% or more of the time, the child must be included in the household assistance unit and duty of support completed. It is not an option to exclude the child. This is true even if the court awarded custody to the other parent or the court ordered joint custody. If the child lives in the household less than 50% of the time, the child cannot be included in the household. It is not an option to include the child. This is true even if the parent applying for financial assistance has been awarded custody by the court or the court ordered joint custody. If financial assistance is allowed, a joint custody order might be modified by the court under the provisions of 30-3-10.2(4) and 30-3-10.4.

(5) The income and assets of the following individuals are counted in determining eligibility even though the individual is not included in the assistance payment:

(a) a household member who has been disqualified from the receipt of assistance because of an IPV, (fraud determination);

(b) a household member who does not meet the citizenship and alienage requirements; or

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-206 Participation Requirements

(1) Payment of any and all financial assistance is contingent upon all parents in the household, including adoptive and stepparents, participating, to the maximum extent possible, in:

(a) assessment and evaluation;

(b) the completion of a negotiated employment plan; and

(i) establish the paternity of all minor children; and

(ii) establish and enforce child support obligations.

(d) obtaining any and all other sources of income. If any household member is or appears to be eligible for unemployment, SSA, Workers Compensation, VA, or any other benefits or forms of assistance, the Department will refer the individual to the appropriate agency and the individual must apply for and pursue obtaining those benefits. If an individual refuses to apply for and pursue these benefits or assistance, the individual is ineligible for financial assistance. Pursuing these benefits includes cooperating fully and providing all the necessary documentation to insure receipt of benefits. If the individual is already receiving assistance from the Department and it is found he or she is not cooperating fully to obtain benefits from another source, the individual will be considered to not be participating in his or her employment plan. If the individual is otherwise eligible for FEP or FEPTP, financial assistance will be provided until eligibility for other benefits or assistance has been determined. If an individual's application for SSA benefits is denied, the individual must fully cooperate in prosecuting an appeal of that SSA denial at least to the Social Security ALJ level.

(2) Parents who have been determined to be ineligible to be included in the financial assistance payment are still required to participate.

(3) Children at least 16 years old but under 18 years old, unless they are in school full-time or in school part-time and working less than 100 hours per month are required to participate.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-207 Participation in Child Support Enforcement

(1) Receipt of child support is an important element in increasing a family's income.

(2) Every natural, legal or adoptive parent has a duty to support his or her children and stepchildren even if the children do not live in the parental home.

(3) A parent's duty to support continues until the child:

(a) reaches age 18;

(b) is 18 years old and enrolled in high school during the normal and expected year of graduation;

(d) is a member of the armed forces of the United States; or

(e) is self supporting.

(4) A client receiving financial assistance automatically assigns to the state any and all rights to child support for all children who are included in the household assistance unit while receiving financial assistance. The assignment of rights occurs even if the client claims or establishes "good cause or other exception" for refusal to cooperate. The assignment of rights to support, cooperation in establishing paternity, and establishing and enforcing child support is a condition of eligibi lity for the receipt of financial assistance.

(5) For each child included in the financial assistance payment, the client must also assign any and all rights to alimony or spousal support from the noncustodial parent while the client receives public assistance.

(6) The client must cooperate with the Department and ORS in establishing and enforcing the spousal and child support obligation from any and all natural, legal, or adoptive non-custodial parents.

(7) If a parent is absent from the home, the client must identify and help locate the non-custodial parent.

(8) If a child is conceived or born during a marriage, the husband is considered the legal father, even if the wife states he is not the natural father.

(9) If the child is born out of wedlock, the client must also cooperate in the establishment of paternity.

(10) ORS is solely responsible for determining if the client is cooperating in identifying the noncustodial parent and with child support establishment and enforcement efforts for the purposes of receipt of financial assistance. The Department cannot review, modify, or reject a decision made by ORS.

(11) Unless good cause is shown, financial assistance will terminate if a parent or specified relative does not cooperate with ORS in establishing paternity or enforcing child support obligations.

(12) Upon notification from ORS that the client is not cooperating, the Department will commence reconciliation procedures as outlined in R986-200-212. If the client continues to refuse to cooperate with ORS at the end of the reconciliation process, financial assistance will be terminated.

(13) Termination of financial assistance for non cooperation is immediate, without a reduction period outlined in R986-200- 212, if:

(a) the client is a specified relative who is not included in the household assistance unit;

(b) the client is a parent receiving SSI benefits;

(d) the client is an undocumented alien parent.

(14) Once the financial assistance has been terminated due to the client's failure to cooperate with child support enforcement, the client must then reapply for financial assistance. This time, the client must cooperate with child support collection prior to receiving any financial assistance.

(15) A specified relative, undocumented alien parent, SSI recipient, or disqualified parent in a household receiving FEP assistance must assign rights to support of any kind and cooperate with all establishment and enforcement efforts even if the parent or relative is not included in the financial assistance payment.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-208 Good Cause for Not Cooperating With ORS

(1) The Department is responsible for determining if the client has good cause or other exception for not cooperating with ORS.

(2) To establish good cause for not cooperating, the client must file a request for a good cause determination and provide proof of good cause within 20 days of the request.

(3) A client has the right to request a good cause determination at any time, even if ORS or court proceedings have begun.

(4) Good cause for not cooperating with ORS can be shown if one of following circumstances exists:

(a) The child, for whom support is sought, was conceived as a result of incest or rape. To prove good cause under this paragraph, the client must provide:

(i) birth certificates;

(ii) medical records;

(iii) Department records;

(iv) records from another state or federal agency;

(v) court records; or

(vi) law enforcement records.

(b) Legal proceedings for the adoption of the child are pending before a court. Proof is established if the client provides copies of documents filed in a court of competent jurisdiction.

(c) A public or licensed private social agency is helping the client resolve the issue of whether to keep or relinquish the child for adoption and the discussions between the agency and client have not gone on for more than three months. The client is required to provide written notice from the agency concerned.

(d) The client's cooperation in establishing paternity or securing support is reasonably expected to result in physical or emotional harm to the child or to the parent or specified relative. If harm to the parent or specified relative is claimed, it must be significant enough to reduce that individual's capacity to adequately care for the child.

(i) Physical or emotional harm is considered to exist when it results in, or is likely to result in, an impairment that has a substantial effect on the individual's ability to perform daily life activities.

(ii) The source of physical or emotional harm may be from individuals other than the noncustodial parent.

(iii) The client must provide proof that the individual is likely to inflict such harm or has done so in the past. Proof must be from an independent source such as:

(A) medical records or written statements from a mental health professional evidencing a history of abuse or current health concern. The record or statement must contain a diagnosis and prognosis where appropriate;

(B) court records;

(D) law enforcement records.

(5) If a claim of good cause is denied because the client is unable to provide proof as required under Subsection (4) (a) or (d) the client can request a hearing and present other evidence of good cause at the hearing. If the ALJ finds that evidence credible and convincing, the ALJ can make a finding of good cause under Subsections (4) (a) or (d) based on the evidence presented by the client at the hearing. A finding of good cause by the ALJ can be based solely on the sworn testimony of the client.

(6) When the claim of good cause for not cooperating is based in whole or in part on anticipated physical or emotional harm, the Department must consider:

(a) the client's present emotional health and history;

(b) the intensity and probable duration of the resulting impairment;

(d) the extent of involvement of the child in the action to be taken by ORS.

(7) The Department recognizes no other exceptions, apart from those recognized by ORS, to the requirement that a client cooperate in good faith with ORS in the establishment of paternity and establishment and enforcement of child support.

(8) If the client has exercised his or her right to an agency review or adjudicative proceeding under Utah Administrative Procedures Act on the question of non-cooperation as determined by ORS, the Department will not review, modify, or reverse the decision of ORS on the question of non-cooperation. If the client did not have an opportunity for a review with ORS, the Department will refer the request for review to ORS for determination.

(9) Once a request for a good cause determination has been made, all collection efforts by ORS will be suspended until the Department has made a decision on good cause.

(10) A client has the right to appeal a Department decision on good cause to an ALJ by following the procedures for appeal found in R986-100.

(11) If a parent requests a hearing on the basis of good cause for not cooperating, the resulting decision cannot change or modify the determination made by ORS on the question of good faith.

(12) Even if the client establishes good cause not to cooperate with ORS, if the Department supervisor determines that support enforcement can safely proceed without the client's cooperation, ORS may elect to do so. Before proceeding without the client's cooperation, ORS will give the client advance notice that it intends to commence enforcement proceedings and give the client an opportunity to object. The client must file his or her objections with ORS within 10 days.

(13) A determination that a client has good cause for non-cooperation may be reviewed and reversed by the Department upon a finding of new, or newly discovered evidence, or a change in circumstances.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-209 Participation in Obtaining an Assessment

(1) Within 30 business days of the date the application for financial assistance has been completed and approved, the client will be assigned to an employment counselor and must complete an assessment.

(2) The assessment evaluates a client's needs and is used to develop an employment plan.

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

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

(b) personal needs or potential barriers to employment;

(d) work history;

(e) skills;

(f) financial resources and needs; and

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

(4) 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.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-210 Requirements of an Employment Plan

(1) Within 15 business days of completion of the assessment, the following individuals in the household assistance unit are required to sign and make a good faith effort to participate to the maximum extent possible in a negotiated employment plan:

(a) All parents, including parents whose income and assets are included in determining eligibility of the household but have been determined to be ineligible or disqualified from being included in the financial assistance payment.

(b) Dependent minor children who are at least 16 years old, who are not parents, unless they are full-time students or are employed an average of 30 hours a week or more.

(2) The goal of the employment plan is obtaining marketable employment and it must contain the soonest possible target date for entry into employment consistent with the employability of the individual.

(3) An employment plan consists of activities designed to help an individual become employed. For each activity there will be:

(a) an expected outcome;

(b) an anticipated completion date;

(d) a definition of what will constitute satisfactory progress for the activity.

(4) Each activity must be directed toward the goal of increasing the household's income.

(5) Activities may require that the client:

(a) obtain immediate employment. If so, the parent client shall:

(i) promptly register for work and commence a search for employment for a specified number of hours each week; and

(ii) regularly submit a report to the Department on:

(A) how much time was spent in job search activities;

(B) the number of job applications completed;

(D) the offers of employment extended; and

(E) other related information required by the Department.

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

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

(e) resolve transportation and child care needs;

(f) relocate from a rural area which would require a round trip commute in excess of two hours in order to find employment;

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

(h) participate in rehabilitative services as prescribed by the State Office of Rehabilitation.

(6) The client must meet the performance expectations of, and provide verification for, each eligible activity in the employment plan in order to stay eligible for financial assistance. A list of what will be considered acceptable documentation is available at each employment center.

(7) The client must cooperate with the Department's efforts to monitor and evaluate the client's activities and progress under the employment plan, which includes providing the Department with a release of information, if necessary to facilitate the Department's monitoring of compliance.

(8) Where available, supportive services will be provided as needed for each activity.

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

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

(11) The number of hours of participation in subsection (3)(c) of this section will not be lower than 30 hours per week. All 30 hours must be in eligible activities. 20 of those 30 hours must be in priority activities. A list of approved priority and eligible activities is available at each employment center. If the client has a child in the household under the age of six, the number of hours of participation in subsection (3)(c) of this section is a minimum of 20 hours per week and all of those 20 hours must be in priority activities.

(12) In the event a client has barriers which prevent the client from 30 hours of participation per week, or 20 hours in priority activities, a lower number of hours of participation can be approved if:

(a) the Department identifies and documents the barriers which prevent the client from full participation; and

(b) the client agrees to participate to the maximum extent possible to resolve the barriers which prevent the client from participating.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-211 Education and Training As Part of an Employment Plan

(1) A parent client's participation in education or training beyond that required to obtain a high school diploma or its equivalent will only be approved if all of the following are met:

(a) The client can demonstrate that the education or training would substantially increase the income level that the client would be able to achieve without the education and training, and would offset the loss of income the household incurs while the education or training is being completed.

(b) The client does not already have a degree or skills training certificate in a currently marketable occupation.

(c) An assessment specific to the client's education and training aptitude has been completed showing the client has the ability to be successful in the education or training.

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

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

(f) The client, when determined appropriate, is willing to complete the education/training as quickly as possible, such as attending school full time which may include attending school during the summer.

(2) Graduate work can never be approved or supported as part of an employment plan.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-212 Reconciling Disputes and Termination of Financial Assistance for Failure to Comply

If a client who is required to participate in an employment plan consistently fails, without reasonable cause, to show good faith in complying with the employment plan, the Department will terminate all or part of the financial assistance. This will apply if the Department is notified that the client has failed to cooperate with ORS as provided in R986-200-207. A termination for the reasons mentioned in this paragraph will occur only after the Department attempts reconciliation through the following process:

(1) When an employment counselor discovers that a client is not complying with his or her employment plan, the employment counselor will attempt to discuss compliance with the client and explore solutions. The employment counselor will also send written notice of the failure to comply to the client. The notice will specify a date certain by which the client must comply and the consequences of not complying by that date.

(2) If compliance is not resolved by the date specified in the notice sent under subsection (1) of this section, the employment counselor will send a second written notice and initiate termination of the household financial assistance. This second notice will advise the client that the financial assistance will terminate at the end of that month unless the client resolves the problem, as provided in paragraph (2)(a) of this section. This second notice will also provide a date certain by which the compliance problems must be resolved for benefits to continue.

(a) If the client establishes reasonable cause for not complying with the employment plan or provides required documentation by the date specified in the first or second notice, financial assistance will continue or be restored.

(b) If the compliance problem is not resolved as provided in subparagraph (a) of this subsection, the household will be ineligible for financial assistance for one full month. The client must then reapply for financial benefits and successfully complete a two week trial participation period before financial assistance will be approved.

(3) A client must demonstrate a genuine willingness to comply with the employment plan during the two week trial period.

(4) The two week trial period may be waived only if the client has cured all previous compliance issues prior to re- application.

(5) The provisions of this section apply to clients who are eligible for and receiving financial assistance during an extension period as provided in R986-200-218.

(6) A child age 16-18 who is not a parent and who is not participating will be removed from the financial assistance grant. The financial assistance will continue for other household members provided they are participating. If the child successfully completes a two week trial period, the child will be added back on to the financial assistance grant.

(7) Reasonable cause under this section means the client was prevented from participating through no fault of his or her own or failed to participate for reasons that are reasonable and compelling.

(8) Reasonable cause can also be established, as provided in 45 CFR 261.56, by a client who is a single custodial parent caring for a child under age six who refuses to engage in required work because he or she is unable to obtain needed child care because appropriate and affordable child care arrangements are not available within a reasonable distance from the home or work site.

(9) If a client is also receiving SNAP and the client is disqualified for non-participation under this section, the client will also be subject to the SNAP sanctions found in 7CFR 273.7(f)(2) unless the client meets an exemption under SNAP regulations.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-213 Financial Assistance for a Minor Parent

(1) Financial assistance may be provided to a single minor parent who resides in a place of residence maintained by a parent, legal guardian, or other adult relative of the single minor parent, unless the minor parent is exempt.

(2) The single minor parent may be exempt when:

(a) The minor parent has no living parent or legal guardian whose whereabouts is known;

(b) No living parent or legal guardian of the minor parent allows the minor parent to live in his or her home;

(c) The minor parent lived apart from his or her own parent or legal guardian for a period of at least one year before either the birth of the dependent child or the parent's having made application for FEP and the minor parent was self supporting during this same period of time; or

(d) The physical or emotional health or safety of the minor parent or dependent child would be jeopardized if they resided in the same residence with the minor parent's parent or legal guardian. A referral will be made to DCFS if allegations are made under this paragraph.

(3) Prior to authorizing financial assistance, the Department must approve the living arrangement of all single minor parents exempt under section (2) above. Approval of the living arrangement is not a certification or guarantee of the safety, quality, or condition of the living arrangements of the single minor parent.

(4) All minor parents regardless of the living arrangement must participate in education for parenting and life skills in infant and child wellness programs operated by the Department of Health and, for not less than 20 hours per week:

(a) attend high school or an alternative to high school, if the minor parent does not have a high school diploma;

(b) participate in education and training; and/or

(5) If a single minor parent resides with a parent, the Department shall include the income of the parent of the single minor parent in determining the single minor parent's eligibility for financial assistance.

(6) If a single minor parent resides with a parent who is receiving financial assistance, the single minor parent is included in the parent's household assistance unit.

(7) If a single minor parent receives financial assistance but does not reside with a parent, the Department shall seek an order requiring that the parent of the single minor parent financially support the single minor parent.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-214 Assistance for Specified Relatives

(1) Specified relatives include:

(a) grandparents;

(b) brothers and sisters;

(d) aunts and uncles;

(e) first cousins;

(f) first cousins once removed;

(g) nephews and nieces;

(h) people of prior generations as designated by the prefix grand, great, great-great, or great- great-great;

(i) brothers and sisters by legal adoption;

(j) the spouse of any person listed above;

(k) the former spouse of any person listed above;

(l) individuals who can prove they met one of the above mentioned relationships via a blood relationship even though the legal relationship has been terminated;

(m) former stepparents

(n) a Native American adult who has a Native American child placed in, or living in that adult's home, and both the child and the adult are members of, or eligible for membership in, a federally recognized tribe; and

(o) an adult of the same ethnicity, culture, country of origin, religion, language and/or nationality as the refugee/asylee child in his or her care.

(2) The specified relative must provide proof of relationship to the child. If the specified relative is unable to provide proof, but DCFS has determined that one of the relationships in subparagraph (1) of this section exists, the Department will accept the DCFS determination. DCFS will not be liable for any potential overpayment resulting from a determination made regarding relationship.

(3) The Department shall require compliance with Section 30-1-4.5

(4) A specified relative may apply for financial assistance for the child. If the child is otherwise eligible, FEP rules apply.

(5) The child must have a blood or a legal relationship to the specified relative even if the legal relationship has been terminated, or have a blood relationship to a dependent child who is in the home and who is included in the household for assistance purposes. This does not apply to specified relatives who are eligible under subsection (1)(n) and (o) of this section;

(6) Both parents must be absent from the home where the child lives. This is true even for a parent who has had his or her parental rights terminated;

(7) The child must be currently living with, and not just visiting, the specified relative;

(8) The parents' obligation to financially support their child will be enforced and the specified relative must cooperate with child support enforcement; and

(9) If the parent(s) state they are willing to support the child if the child would return to live with the parent(s), the child is ineligible unless there is a court order removing the child from the parent(s)' home.

(10) If the specified relative is currently receiving FEP or FEPTP, the child must be included in that household assistance unit.

(11) The income and resources of the specified relative are not counted unless the specified relative requests inclusion in the household assistance unit.

(12) If the specified relative is not currently receiving FEP or FEPTP, and the specified relative does not want to be included in the financial assistance payment, the specified relative shall be paid, on behalf of the child, the full standard financial assistance payment for one person. The size of the financial assistance payment shall be increased accordingly for each additional eligible child in the household assistance unit excluding the dependent child(ren) of the specified relative. Since the specified relative is not included in the household assistance unit, the income and assets of the specified relative, or the relative's spouse, are not counted.

(13) The specified relative may request to be included in the household assistance unit. If the specified relative is included in the household assistance unit, the household must meet all FEP eligibility requirements including participation requirements and asset limits.

(14) Income eligibility for a specified relative who wants to be included in the household assistance unit is calculated according to R986-200-241.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-215 Family Employment Program Two Parent Household (FEPTP)

(1) FEPTP is for households otherwise eligible for FEP but with two able-bodied parents in the household. Eligible refugee households with two able-bodied parents and at least one dependent child, must first exhaust RRP benefits before considering eligibility for FEPTP.

(2) Families may only participate in this program for seven months out of any 13-month period. Months of participation count toward the 36-month time limit in Sections 35A-3-306 and R986-200-217.

(3) Both parents must participate in eligible activities for a combined total of 60 hours per week, as defined in the employment plan. At least 50 of those hours must be in priority activities. A list of approved priority and eligible activities is available at each employment center. Refugee families may participate in any combination of eligible and priority activities for a combined total of 60 hours per week, as provided in the employment plan.

(4) Both parents are required to participate every week as defined in the employment plan, unless the parent can establish reasonable cause for not participating. Reasonable cause is defined in rule R986-200-212(8),

(5) Payment is made twice per month and only after proof of participation. Payment is based on the number of hours of participation by both parents. The amount of assistance is equal to the FEP payment for the household size prorated based on the number of hours which the parents participated up to a maximum of 60 hours of participation per week. In no event can the financial assistance payment per month for a FEPTP household be more than for the same size household participating in FEP.

(6) If it is determinated by the employment counselor that either one of the parents has failed to participate to the maximum extent possible assistance for the entire household unit will terminate immediately.

(7) Because payment is made after performance, advance notice is not required to terminate or reduce assistance payments for households participating in FEPTP.

(8) The parents must meet all other requirements of FEP including but not limited to, income and asset limits, cooperation with ORS if there are legally responsible persons outside of the household assistance unit, signing a participation agreement and employment plan and applying for all other assistance or benefits to which they might be entitled.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-216 Diversion

(1) Diversion is a one-time financial assistance payment provided to help a client avoid receiving extended cash assistance.

(2) In determining whether a client should receive diversion assistance, the Department will consider the following:

(a) the applicant's employment history;

(b) the likelihood that the applicant will obtain immediate full-time employment;

(d) the applicant's child care needs, if applicable.

(3) To be eligible for diversion the applicant must;

(a) have a need for financial assistance to pay for housing or substantial and unforseen expenses or work related expenses which cannot be met with current or anticipated resources;

(b) show that within the diversion period, the applicant will be employed or have other specific means of self support, and

(c) meet all eligibility criteria for a FEP financial assistance payment except the applicant does not need to cooperate with ORS in obtaining support. If the client is applying for other assistance such as medical or child care, the client will have to follow the eligibility rules for that type of assistance which may require cooperation with ORS.

(4) If the Department and the client agree diversion is appropriate, the client must sign a diversion agreement listing conditions, expectations and participation requirements.

(5) The diversion payment will equal three times the monthly financial assistance payment for the household size. All income expected to be received during the three-month period including wages and child support must be considered when negotiating diversion.

(6) Child support will belong to the client during the three-month period, whether received by the client directly or collected by ORS. ORS will not use the child support to offset or reimburse the diversion payment.

(7) The client must agree to have the financial assistance portion of the application for assistance denied.

(8) If a diversion payment is made, the client is ineligible for FEP for the three months covered by the diversion payment and must reapply at the end of the three month period.

(9) Diversion assistance is not available to clients participating in FEPTP. This is because FEPTP is based on performance and payment can only be made after performance.

(10) A household can only receive one diversion assistance payment in a 12 month period.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-217 Time Limits

(1) Except as provided in R986-200-218 and in Section 35A-3-306, a family cannot receive financial assistance under the FEP or FEPTP for more than 36 months.

(2) The following months count toward the 36-month time limit regardless of whether the financial assistance payment was made in this or any other state:

(a) each month when a parent client received financial assistance beginning with the month of January, 1997;

(b) each month beginning with January, 1997, where a parent resided in the household, the parent's income and assets were counted in determining the household's eligibility, but the parent was disqualified from being included in the financial payment. Disqualification occurs when a parent has been determined to have committed fraud in the receipt of public assistance or when the parent is an ineligible alien; and

(c) each month when financial assistance was reduced or a partial financial assistance payment was received beginning with the month of January, 1997.

(3) Months which do not count toward the 36 month time limit are:

(a) months where both parents were absent from the home and dependent children were cared for by a specified relative who elected to be excluded from the household unit;

(b) months where the client received financial assistance as a minor child and was not the head of a household or married to the head of a household;

(c) months during which the parent lived in Indian country, as defined in Title 18, Section 1151, United States Code 1999, or an Alaskan Native village, if the most reliable data available with respect to the month, or a period including the month, indicate that at least 50% of the adults living in Indian country or in the village were not employed;

(d) months when a parent resided in the home but were excluded from the household assistance unit. A parent is excluded when they receive SSI benefits;

(e) diversion assistance does not count toward the 36 month time limit. If a client has already used 36 months of financial assistance, the client is not eligible for diversion assistance unless the client meets one of the extension criteria in R986-200-218 in addition to all other eligibility criteria of diversion assistance; or

(f) months when a parent client received transitional assistance.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-218 Exceptions to the Time Limit

Exceptions to the time limit may be allowed for up to 20% of the average monthly number of families receiving financial assistance from FEP and FEPTP during the previous Federal fiscal year for the following reasons:

(1) A hardship under Section 35A-3-306 is determined to exist when a parent:

(a) is determined to be medically unable to work. The client must provide proof of inability to work in one of the following ways:

(i) receipt of disability benefits from SSA;

(ii) receipt of VA Disability benefits based on the parent being 100% disabled;

(iii) placement on the Division of Services to People with Disabilities' waiting list. Being on the waiting list indicates the person has met the criteria for a disability; or

(iv) is currently receiving Temporary Total or Permanent Total disability Workers' Compensation benefits;

(v) a medical statement completed by a medical doctor, a licensed Advanced Practice Registered Nurse, a licensed Physician's Assistant, or a doctor of osteopathy, stating the parent has a medical condition supported by medical evidence, which prevents the parent from engaging in work activities capable of generating income of at least $500 a month. The statement must be completed by a professional skilled in both the diagnosis and treatment of the condition; or

(vi) a statement completed by a licensed clinical social worker, licensed psychologist, licensed Mental Health Therapist as defined in UCA Section 58-60-102, or psychiatrist stating that the parent has been diagnosed with a mental health condition that prevents the parent from engaging in work activities capable of generating income of at least $500 a month. Substance abuse is considered the same as mental health condition;

(b) is under age 19 through the month of their nineteenth birthday;

(c) is currently engaged in an approved full-time job preparation activity which the parent was expected to complete within the 36 month time limit but completion within the 36 months was not possible through no fault of t he parent;

(d) was without fault and a delay in the delivery of services provided by the Department occurred. The delay must have had an adverse effect on the parent causing a hardship and preventing the parent from obtaining employment. An extension under this section cannot be granted for more than the length of the delay;

(e) moved to Utah after exhausting 36 months of assistance in another state or states and the parent did not receive supportive services in that state or states as required under the provisions of PRWORA. To be eligible for an exception under this section, the failure to receive supportive services must have occurred through no fault of the parent and must contribute to the parent's inability to work. An exception under this section can never be for longer than the delay in services;

(f) completed an educational or training program at the 36th month and needs additional time to obtain employment;

(g) is unable to work because the parent is required in the home to meet the medical needs of a dependent. Dependent for the purposes of this paragraph means a person who the parent claims as a dependent on his or her income tax filing. Proof, consisting of a medical statement from a health care professional listed in subparagraph (1)(a)(v) or (vi) of this section is required unless the dependent is on the Travis C medicaid waiver program. The medical statement must include all of the following:

(i) the diagnosis of the dependent's condition,

(ii) the recommended treatment needed or being received for the condition,

(iii) the length of time the parent will be required in the home to care for the dependent, and

(iv) whether the parent is required to be in the home full-time or part-time; or

(h) is currently receiving assistance under one of the exceptions in this section and needs additional time to obtain employment. A client can only receive assistance for one month under this subparagraph. If the Department determines that granting an exception under this subparagraph adversely impacts its federally mandated participation rate requirements or might otherwise jeopardize its funding, the one month exception will not be granted;

(i) the client is currently participating in the Intergenerational Welfare Dependency Poverty Pilot Program, "Next Generation Kids" and needs additional time to obtain job training and preparation to decrease the risk of his/her children being part of intergenerational welfare dependency. This exception will not be available if the Pilot Program is to end; or

(j) parents who volunteer to fully participate in a Department-approved employment and training activity. Department approval will only be granted if all the requirements of Department rule 986-200-211(1)(a) through (f) are met.

(2) Additional months of financial assistance may be provided if the family includes an individual who has been battered or subjected to extreme cruelty which is a barrier to employment and the implementation of the time limit would make it more difficult to escape the situation. Battered or subjected to extreme cruelty means:

(a) physical acts which resulted in, or threatened to result in, physical injury to the individual;

(b) sexual abuse;

(d) threats of, or attempts at, physical or sexual abuse;

(e) mental abuse which includes stalking and harassment; or

(f) neglect or deprivation of medical care.

(3) Employment extension. An extension to the time limit can be granted for a maximum of an additional 24 months if during the previous two months, the parent client was employed for no less than 20 hours per week. The employment can consist of self- employment if the parent's net income from that self-employment is at or above minimum wage.

(a) If, at the end of the 24-month extension, the parent client qualifies for an exception under subsections (1) or (2) of this section, an exception can be granted under the provisions of those sections.

(b) A family cannot receive financial assistance for more than a total of 60 months unless an exception can be granted under subsections (1) and (2) of this section.

(4) All clients receiving an extension or an exception must continue to participate, to the maximum extent possible, in an employment plan. This includes cooperating with ORS in the collection, establishment, and enforcement of child support and the establishment of paternity, if necessary.

(5) If a household filing unit contains more than one parent, and one parent has received at least 36 months of assistance as a parent, then the entire filing unit is ineligible unless both parents meet one of the exceptions or extension listed above. Both parents need not meet the same exception or extension.

(6) A family in which the only parent or both parents are ineligible aliens cannot be granted an extension under Section (3) above or for any of the reasons for an exception in Subsections (1)(c), (d), (e) or (f). This is because ineligible aliens are not legally able to work and supportive services for work, education and training purposes are inappropriate.

(7) A client who is no longer eligible for financial assistance may be eligible for other kinds of public assistance including SNAP, Child Care Assistance and medical coverage. The client must follow the appropriate application process to determine eligibility for assistance from those other programs.

(8) Exceptions and extensions are subject to a review at least once every six months.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-219 Emergency Assistance (EA) for Needy Families With Dependent Children

(1) EA is provided in an effort to prevent homelessness. It is a payment which is limited to use for utilities and rent or mortgage.

(2) To be eligible for EA the family must meet all other FEP requirements except:

(a) the client need only meet the "gross income" test. Gross income which is available to the client must be equal to or less than 185% of the standard needs budget for the client's filing unit; and

(b) the client is not required to enter into an employment plan or cooperate with ORS in obtaining support.

(3) The client must be homeless, in danger of becoming homeless or having the utilities at the home cut off due to a crisis situation beyond the client's control. The client must show that:

(a) The family is facing eviction or foreclosure because of past due rent or mortgage payments or unpaid utility bills which result from the crisis;

(b) A one-time EA payment will enable the family to obtain or maintain housing or prevent the utility shut off while they overcome the temporary crisis;

(c) Assistance with one month's rent or mortgage payment is enough to prevent the eviction, foreclosure or termination of utilities;

(d) The client has the ability to resolve past due payments and pay future months' rent or mortgage payments and utility bills after resolution of the crisis; and

(e) The client has exhausted all other resources.

(4) Emergency assistance is available for only 30 consecutive days during a year to any client or that client's household. If, for example, a client receives an EA payment of $450 for rent on April 1 and requests an additional EA payment of $300 for utilities on or before April 30 of that same year, the request for an EA payment for utilities will be considered. If the request for an additional payment for utilities is made after April 30, it cannot be considered for payment. The client will not be eligible for another EA payment until April 1 of the following year. A year is defined as 365 days following the initial date of payment of EA.

(5) Payments will not exceed $450 per family for one month's rent payment or $700 per family for one month's mortgage payment, and $300 for one month's utilities payment.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-220 Mentors

(1) The Department will recruit and train volunteers to serve as mentors for parent clients. The Department may elect to contract for the recruitment and training of the volunteers.

(2) A mentor may advocate on behalf of a parent client and help a parent client:

(a) develop life skills;

(b) implement an employment plan; or

(i) the volunteer mentor;

(ii) the Department; or

(iii) civic organizations.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-221 Drug Testing Requirements

(1) A parent client or specified relative who is counted in the household assistance unit under R986-200-205 must complete a substance abuse questionnaire. A substance abuse questionnaire is defined as a written screening questionnaire designed to accurately determine the reasonable likelihood of the client having a substance use disorder involving the misuse of a controlled substance. Individuals in the household who have been disqualified from the receipt of assistance because of an IPV are also required to complete a substance abuse questionnaire and otherwise comply with this section.

(2) If the results of the substance abuse questionnaire indicate a reasonable likelihood of a substance use disorder involving the misuse of a controlled substance, a drug test is required within a period of time as specified by the Department. The test will be administered with due regard to the privacy and dignity of the person being tested. Before or after taking the drug test, the client may advise the person administering the test of any prescription or any over the counter medication the client is taking.

(3) If the client tests positive for the unlawful use of a controlled substance on the drug test required under subsection (2), benefits may continue but only if the client agrees to receive treatment from a Department approved provider. The treatment will be for a minimum of 60 days and the client must also submit to drug tests during, and at the conclusion of, treatment. Each test must be negative. The length of treatment, if over 60 days, will be determined by the treatment provider and the Department. The client cannot change treatment providers unless the treatment provider and the Department agree to the change.

(4) The entire household unit will be denied financial assistance for a period of three months for the first occurrence and 12 months for any subsequence occurrence within a 12 month period if a client identified in subsection (1):

(a) refuses to complete a substance abuse questionnaire;

(b) refuses to meet with a licensed clinical therapist if required by the Department;

(d) fails to enter and successfully complete treatment as required in subsection (3) of this section, or

(e) tests positive for the unlawful use of a controlled substance, on any subsequent drug test required by the Department, while in treatment or at the completion of treatment.

(5) A client can be excused from complying with the requirements of this section if the necessary resources are not available through no fault of the client.

(6) A client can be excused from complying with the requirements of this section in a timely manner if the client can show reasonable cause. Reasonable cause under this section means the client was prevented from complying in a timely manner through no fault of his or her own or failed to comply in a timely manner for reasons that are reasonable and compelling.

(7) If a client disagrees with the results of a drug test performed under subsections (2) or (3) of this section, the client can provide the Department with the results of a second drug test. This second drug test will be performed:

(i) at the client's expense,

(ii) at a testing facility approved by the Department,

(iii) in accordance with requirements of Utah Code Ann. Section 34-38-6, and

(iv) within seven days of the Department sending notice of the results of the original drug test.

(c) If the results of the second drug test are negative, the Department will reimburse the client the actual and reasonable verified costs incurred in obtaining the second test.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-230 Assets Counted in Determining Eligibility

(1) All available assets, unless exempt, are counted in determining eligibility. An asset is available when the applicant or client owns it and has the ability and the legal right to sell it or dispose of it. An item is never counted as both income and an asset in the same month.

(2) The value of an asset is determined by its equity value. Equity value is the current market value less any debts still owing on the asset. Current market value is the asset's selling price on the open market as set by current standards of appraisal.

(3) Both real and personal property are considered assets. Real property is an item that is fixed, permanent, or immovable. This includes land, houses, buildings, mobile homes and trailer homes. Personal property is any item other than real property.

(4) If an asset is potentially available, but a legal impediment to making it available exists, it is exempt until it can be made available. The applicant or client must take appropriate steps to make the asset available unless:

(a) Reasonable action would not be successful in making the asset available; or

(b) The probable cost of making the asset available exceeds its value.

(5) The value of countable real and personal property cannot exceed $2,000.

(6) If the household assets are below the limits on the first day of the month the household is eligible for the remainder of the month.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-231 Assets That Are Not Counted (Exempt) for Eligibility Purposes

The following are not counted as an asset when determining eligibility for financial assistance:

(1) the home in which the family lives, and its contents, unless any single item of personal property has a value over $1,000, then only that item is counted toward the $2,000 limit. If the family owns more than one home, only the primary residence is exempt and the equity value of the other home is counted;

(2) the value of the lot on which the home stands is exempt if it does not exceed the average size of residential lots for the community in which it is located. The value of the property in excess of an average size lot is counted if marketable;

(3) water rights attached to the home property are exempt;

(4) motorized vehicles;

(5) with the exception of real property, the value of income producing property necessary for employment;

(6) the value of any reasonable assistance received for post-secondary education;

(7) bona fide loans, including reverse equity loans;

(8) per capita payments or any asset purchased with per capita payments made to tribal members by the Secretary of the Interior or the tribe. Any asset purchased with profit distributions or income to tribal members derived from tribal owned casinos and privately owned land is countable;

(9) maintenance items essential to day-to-day living;

(10) life estates;

(11) an irrevocable trust where neither the corpus nor income can be used for basic living expenses;

(12) for refugees, as defined under R986-300-303(1), assets that remain in the refugee's country of origin are not counted;

(13) one burial plot per member of the household. A burial plot is a burial space and any item related to repositories used for the remains of the deceased. This includes caskets, concrete vaults, urns, crypts, grave markers, etc. If the individual owns a grave site, the value of which includes opening and closing, the opening and closing is also exempt;

(14) a burial/funeral fund up to a maximum of $1,500 per member of the household;

(a) The value of any irrevocable burial trust is subtracted from the $1,500 burial/funeral fund exemption. If the irrevocable burial trust is valued at $1,500 or more, it reduces the burial/funeral fund exemption to zero.

(b) After deducting any irrevocable burial trust, if there is still a balance in the burial/funeral fund exemption amount, the remaining exemption is reduced by the cash value of any burial contract, funeral plan, or funds set aside for burial up to a maximum of $1,500. Any amount over $1,500 is considered an asset;

(15) any interest which is accrued on an exempt burial contract, funeral plan, or funds set aside for burial is exempt as income or assets. If an individual removes the principal or interest and uses the money for a purpose other than the individual's burial expenses, the amount withdrawn is countable income; and

(16) any other property exempt under federal law.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-232 Considerations in Evaluating Real Property

(1) Any nonexempt real property that an applicant or client is making a bona fide effort to sell is exempt for a nine-month period provided the applicant or client agrees to repay, from the proceeds of the sale, the amount of financial and/or child care assistance received. Bona fide effort to sell means placing the property up for sale at a price no greater than the current market value. Additionally, to qualify for this exemption, the applicant or client must assign, to the state of Utah, a lien against the real property under consideration. If the property is not sold during the period of time the client was receiving financial and/or child care assistance or if the client loses eligibility for any reason during the nine-month period, the lien will not be released until repayment of all financial and/or child care assistance is made.

(2) Payments received on a sales contract for the sale of an exempt home are not counted if the entire proceeds are committed to replacement of the property sold within 30 days of receipt and the purchase is completed within 90 days. If more than 90 days is needed to complete the actual purchase, one 90-day extension may be granted. Proceeds are defined as all payments made on the principal of the contract. Proceeds do not include interest earned on the principal which is counted as income.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-233 Considerations in Evaluating Household Assets

(1) The assets of a disqualified household member are counted.

(2) The assets of a ward that are controlled by a legal guardian are considered available to the ward.

(3) The assets of an ineligible child are exempt.

(4) When an ineligible alien is a parent, the assets of that alien parent are counted in determining eligibility for other family members.

(5) Certain aliens who have been legally admitted to the United States for permanent residence must have the income and assets of their sponsors considered in determining eligibility for financial assistance under applicable federal authority in accordance with R986-200-243.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-234 Income Counted in Determining Eligibility

(1) The amount of financial assistance is based on the household's monthly income and size.

(2) Household income means the payment or receipt of countable income from any source to any member counted in the household assistance unit including:

(a) children; and

(b) people who are disqualified from being counted because of a prior determination of fraud (IPV) or because they are an ineligible alien.

(3) The income of SSI recipients is not counted.

(4) Countable income is gross income, whether earned or unearned, less allowable exclusions listed in section R986-200- 239.

(5) Money is not counted as income and an asset in the same month.

(6) If an individual has elected to have a voluntary reduction or deduction taken from an entitlement to earned or unearned income, the voluntary reduction or deduction is counted as gross income. Voluntary reductions include insurance premiums, savings, and garnishments to pay an owed obligation.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-235 Unearned Income

(1) Unearned income is income received by an individual for which the individual performs no service.

(2) Countable unearned income includes:

(a) pensions and annuities such as Railroad Retirement, Social Security, VA, Civil Service;

(b) disability benefits such as sick pay and workers' compensation payments unless considered as earned income;

(c) unemployment insurance, except, starting March 1, 2009 and continuing as long as it is authorized by Congress and not counted for SNAP, the $25 supplemental weekly Unemployment Compensation payment authorized by the American Recovery and Reinvestment Act of 2009 (ARRA) will not be countable unearned income;

(d) strike or union benefits;

(e) VA allotment;

(f) income from the GI Bill;

(g) assigned support retained in violation of statute is counted when a request to do so has been generated by ORS;

(h) payments received from trusts made for basic living expenses;

(i) payments of interest from stocks, bonds, savings, loans, insurance, a sales contract, or mortgage. This applies even if the payments are from the sale of an exempt home. Payments made for the down payment or principal are counted as assets;

(j) inheritances;

(k) life insurance benefits;

(l) payments from an insurance company or other source for personal injury, interest, or destroyed, lost or stolen property unless the money is used to replace that property;

(m) cash contributions from any source including family, a church or other charitable organization;

(n) rental income if the rental property is managed by another individual or company for the owner. Income from rental property managed by someone in the household assistance unit is considered earned income;

(o) financial assistance payments received from another state or the Department from another type of financial assistance program including a diversion payment; and

(p) payments from Job Corps and Americorps living allowances.

(3) Unearned income which is not counted (exempt):

(a) cash gifts for special occasions which do not exceed $30 per quarter for each person in the household assistance unit. The gift can be divided equally among all members of the household assistance unit;

(b) bona fide loans, including reverse equity loans on an exempt property. A bona fide loan means a loan which has been contracted in good faith without fraud or deceit and genuinely endorsed in writing for repayment;

(c) the value of SNAP, food donated from any source, and the value of vouchers issued under the Women Infants and Children program;

(d) any per capita payments made to individual tribal members by either the secretary of interior or the tribe are excluded. Profit distributions or income to tribal members derived from tribal owned casinos and privately owned land are countable income;

(e) any payments made to household members that are declared exempt under federal law;

(f) the value of governmental rent and housing subsidies, federal relocation assistance, or EA issued by the Department;

(g) money from a trust fund to provide for or reimburse the household for a specific item NOT related to basic living expenses. This includes medical expenses and educational expenses. Money from a trust fund to provide for or reimburse a household member for basic living expenses is counted;

(h) travel and training allowances and reimbursements if they are directly related to training, education, work, or volunteer activities;

(i) all unearned income in-kind. In-kind means something, such as goods or commodities, other than money;

(j) thirty dollars of the income received from rental income unless greater expenses can be proven. Expenses in excess of $30 can be allowed for:

(i) taxes;

(ii) attorney fees expended to make the rental income available;

(iii) upkeep and repair costs necessary to maintain the current value of the property; and

(iv) interest paid on a loan or mortgage made for upkeep or repair. Payment on the principal of the loan or mortgage cannot be excluded;

(k) if meals are provided to a roomer/boarder, the value of a one-person SNAP allotment for each roomer/boarder;

(l) payments for energy assistance including H.E.A.T payments, assistance given by a supplier of home energy, and in-kind assistance given by a private non-profit agency;

(m) federal and state income tax refunds and earned income tax credit payments;

(n) payments made by the Department to reimburse the client for education or work expenses, or a CC subsidy;

(o) income of an SSI recipient. Neither the payment from SSI nor any other income, including earned income, of an SSI recipient is included;

(p) payments from a person living in the household who is not included in the household assistance unit, as defined in R986- 200-205, when the payment is intended and used for that person's share of the living expenses;

(q) educational assistance and college work study except Veterans Education Assistance intended for family members of the student, living stipends and money earned from an assistantship program is counted as income; and

(r) for a refugee, as defined in R986-300-303(1), any grant or assistance, whether cash or in-kind, received directly or indirectly under the Reception and Placement Programs of Department of State or Department of Justice.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-236 Earned Income

(1) All earned income is counted when it is received even if it is an advance on wages, salaries or commissions.

(2) Countable earned income includes:

(a) wages, except Americorps*Vista living allowances are not counted;

(b) salaries;

(d) tips;

(e) sick pay which is paid by the employer;

(f) temporary disability insurance or temporary workers' compensation payments which are employer funded and made to an individual who remains employed during recuperation from a temporary illness or injury pending the employee's return to the job;

(g) rental income only if managerial duties are performed by the owner to receive the income. The number of hours spent performing those duties is not a factor. If the property is managed by someone other than the individual, the income is counted as unearned income;

(h) net income from self-employment less allowable expenses, including income over a period of time for which settlement is made at one given time. The periodic payment is annualized prospectively. Examples include the sale of farm crops, livestock, and poultry. A client may deduct actual, allowable expenses, or may opt to deduct 40% of the gross income from self-employment to determine net income;

(i) training incentive payments and work allowances; and

(j) earned income of dependent children, unless the child is participating in required employment or training activities.

(3) Income that is not counted as earned income:

(a) income for an SSI recipient;

(b) reimbursements from an employer for any bona fide work expense;

(c) allowances from an employer for travel and training if the allowance is directly related to the travel or training and identifiable and separate from other countable income; or

(d) Earned Income Tax Credit (EITC) payments.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-237 Lump Sum Payments

(1) Lump sum payments are one-time windfalls or retroactive payments of earned or unearned income. Lump sums include but are not limited to, inheritances, insurance settlements, awards, winnings, gifts, and severance pay, including when a client cashes out vacation, holiday, and sick pay. They also include lump sum payments from Social Security, VA, UI, Worker's Compensation, and other one-time payments. Payments from SSA that are paid out in installments are not considered lump sum payments but as income, even if paid less often than monthly.

(2) The following lump sum payments are not counted as income or assets:

(a) any kind of lump sum payment of excluded earned or unearned income. If the income would have been excluded, the lump sum payment is also excluded. This includes SSI payments and any EITC; and

(b) insurance settlements for destroyed exempt property when used to replace that property.

(3) The net lump sum payment is counted as income for the month it is received. Any amount remaining after the end of that month is considered an asset.

(4) The net lump sum is the portion of the lump sum that is remaining after deducting:

(a) legal fees expended in the effort to make the lump sum available;

(b) payments for past medical bills if the lump sum was intended to cover those expenses; and

(5) A lump sum paid to an SSI recipient is not counted as income or an asset except for those recipients receiving financial assistance from GA or WTE.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-238 How to Calculate Income

(1) To determine if a client is eligible for, and the amount of, a financial assistance payment, the Department estimates the anticipated income, assets and household size for each month in the certification period.

(2) The methods used for estimating income are:

(a) income averaging or annualizing which means using a history of past income that is representative of future income and averaging it to determine anticipated future monthly income. It may be necessary to evaluate the history of past income for a full year or more; and

(b) income anticipating which means using current facts such as rate of pay and hourly wage to anticipate future monthly income when no reliable history is available.

(3) Monthly income is calculated by multiplying the average weekly income by 4.3 weeks. If a client is paid every two weeks, the income for those two weeks is multiplied by 2.15 weeks to determine monthly income.

(4) The Department's estimate of income, when based on the best available information at the time it was made, will be determined to be an accurate reflection of the client's income. If it is later determined the actual income was different than the estimate, no adjustment will be made. If the client notifies the Department of a change in circumstances affecting income, the estimated income can be adjusted prospectively but not retrospectively.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-239 Determining the Amount of the Financial Assistance Payment

(1)(a) To be eligible for financial assistance, the household's gross countable income must be less than or equal to 185% of the Standard Needs Budget for the size of the household.

(b) "Standard Needs Budget" or "SNB" means the budget level determined by the Department based on a survey of basic living expenses.

(2) If the gross countable income is less than or equal to 185% of the SNB, the following deductions are allowed:

(a) a work expense allowance of $100 for each person in the household unit who is employed;

(b) fifty percent of the remaining earned income after deducting the work expense allowance as provided in Subsection R986-200-239(2)(a), if the individual has received a financial assistance payment from the Department for one or more of the immediately preceding four months; and

(i) a dependent care deduction as described in Subsection R986-200-239(3); and

(ii) child support paid by a household member if legally owed to someone not included in the household.

(3) The amount of the dependent care deduction is set by the Department and based on the number of hours worked by the parent and the age of the dependent needing care.

(a) Dependent care may only be deducted when each of the following elements can be shown.

(i) The care is paid for the care of a child or adult member of the household assistance unit, or a child or adult who would be a member of the household assistance unit if the person did not receive SSI.

(ii) The care is not subsidized, in whole or in part, by a CC payment from the Department.

(iii) The care is not paid to an individual who is in the household assistance unit.

(b) An adult's need for care must be verified by a doctor.

(4)(a) After deducting the amounts allowed under Subsection R986-2002-239(2), the resulting net income must be less than 100% of SNB for the size of the household assistance unit.

(b) If the net income is equal to or greater than the SNB, the household is not eligible.

(5) If the net income is less than 100% of the SNB the following amounts are deducted.

(a) Fifty percent of earned countable income for all employed household assistance unit members if the household was not eligible for the 50% deduction under Subsection R986-200-239(2)(b).

(b) All earned income of all children in the household assistance unit, if not previously deducted, who are:

(i) in school or training full-time; or

(ii) in part-time education or training if they are employed less than 100 hours per month.

(c) For the purposes of this section, "part-time education or training" means enrolled for at least one-half the number of hours or periods considered by the institution to be customary to complete the course of study within the minimum time period. If no schedule is set by the school, the course of study must be no less than an average of two class periods or two hours a day, whichever is less.

(6)(a) The amount of the standard financial assistance payment is set by the Department.

(b) If the household's net countable income following all deductions is more than the full financial assistance payment for the household size, the household is not eligible. If it is less, the net countable income is deducted from the financial assistance payment and the household is paid the difference.

(d) Pursuant to Subsection 35A-3-302(8), the department shall make a report to the Social Services Appropriations Subcommittee on any proposed changes to the amount of cash assistance a family is eligible to receive.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-240 Additional Payments Available Under Certain Circumstances

(1) Each parent eligible for financial assistance in the FEP or FEPTP programs who takes part in at least one enhanced participation activity may be eligible to receive a payment to help defray the costs of that activity in addition to the standard financial assistance payment. Approved enhanced participation activities and the payment amount are listed in Department policy.

(2) An additional payment of $15 per month for a pregnant woman in the third month prior to the expected month of delivery. Eligibility for the allowance begins in the month the woman provides medical proof that she is in the third month prior to the expected month of delivery. The pregnancy allowance ends at the end of the month the pregnancy ends.

(3) A limited number of funds are available to individuals for work and training expenses. The funds can only be used to alleviate circumstances which impede the individual's ability to begin or continue employment, job search, training, or education. The payment of these funds is completely discretionary by the Department. The individual does not need to meet any eligibility requirements to request or receive these funds.

(4) Limited funds are available, up to a maximum of $300, to pay for burial costs if the individual is not entitled to a burial paid for by the county.

(5) A Department Regional Director or designee may approve assistance, as funding allows, for the emergency needs of a non-resident who is transient, temporarily stranded in Utah, and who does not intend to stay in Utah.

(6) A limited number of funds are available for enhanced payments to parents who are eligible for financial assistance in the FEP program or who are eligible for TANF non-FEP training under R986-200-245 and who participate in the HS/GED Pilot Program. The payment of these funds is completely discretionary by the Department and may differ from region to region. The payments may continue until the client completes the HS/GED Pilot Program even if the client is no longer receiving FEP.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-241 Income Eligibility Calculation for a Specified Relative Who Wants to be Included in the Assis tance Payment

(1) The income calculation for a specified relative who wants to be included in the financial assistance payment is as follows:

(a) All earned and unearned countable income is counted, as determined by FEP rules, for the specified relative and his or her spouse, less the following allowable deductions:

(i) one hundred dollars for each employed person in the household. This deduction is only allowed for the specified relative and/or spouse and not anyone else in the household even if working; and

(ii) the child care expenses paid by the specified relative and necessary for employment up to the maximum allowable deduction as set by the Department.

(2) The household size is determined by counting the specified relative, his or her spouse if living in the home, and their dependent children living in the home who are not in the household assistance unit.

(3) If the income less deductions exceeds 100% of the SNB for a household of that size, the specified relative cannot be included in the financial assistance payment. If the income is less than 100% of the SNB, the total household income is divided by the household size calculated under subsection (2) of this section. This amount is deemed available to the specified relative as countable unearned income. If that amount is less than the maximum financial assistance payment for the household assistance unit size, the specified relative may be included in the financial assistance payment.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-242 Income Calculation for a Minor Parent Living with His or Her Parent or Stepparent

(1) All earned and unearned countable income of all parents, including stepparents living in the home, is counted when determining the eligibility of a minor parent residing in the home of the parent(s).

(2) From that income, the following deductions are allowed:

(a) one hundred dollars from income earned by each parent or stepparent living in the home, and

(b) an amount equal to 100% of the SNB for a group with the following members:

(i) the parents or stepparents living in the home;

(ii) any other person in the home who is not included in the financial assistance payment of the minor parent and who is a dependent of the parents or stepparents;

(c) amounts paid by the parents or stepparents living in the home to individuals not living at home but who could be claimed as dependents for Federal income tax purposes; and

(d) alimony and child support paid to someone outside the home by the parents or stepparents living in the home.

(3) The resulting amount is counted as unearned income to the minor parent.

(4) If a minor parent lives in a household already receiving financial assistance, the child of the minor parent is included in the larger household assistance unit.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-243 Counting the Income of Sponsors of Eligible Aliens

(1) Certain aliens who have been legally admitted into the United States for permanent residence must have a portion of the earned and unearned countable income of their sponsors counted as unearned income in determining eligibility and financial assistance payment amounts for the alien.

(2) The following aliens are not subject to having the income of their sponsor counted:

(a) paroled or admitted into the United States as a refugee or asylee;

(b) granted political asylum;

(d) other conditional or paroled entrants;

(e) not sponsored or who have sponsors that are organizations or institutions;

(f) sponsored by persons who receive public assistance or SSI;

(g) permanent resident aliens who were admitted as refugees and have been in the United States for eight months or less.

(3) Except as provided in subsection (7) of this section, the income of the sponsor of an alien who applies for financial assistance after April 1, 1983 and who has been legally admitted into the United States for permanent residence must be counted for five years after the entry date into the United States. The entry date is the date the alien was admitted for permanent residence. The time spent, if any, in the United States other than as a permanent resident is not considered as part of the five year period.

(4) The amount of income deemed available for the alien is calculated by:

(a) deducting 20% from the total earned income of the sponsor and the sponsor's spouse up to a maximum of $175 per month; then,

(b) adding to that figure all of the monthly unearned countable income of the sponsor and the sponsor's spouse; then the following deductions are allowed:

(i) an amount equal to 100% of the SNB amount for the number of people living in the sponsor's household who are or could be claimed as dependents under federal income tax policy; then,

(ii) actual payments made to people not living in the sponsor's household whom the sponsor claims or could claim as dependents under federal income tax policy; then,

(iii) actual payments of alimony and/or child support the sponsor makes to individuals not living in the sponsor's household.

(c) The remaining amount is counted as unearned income against the alien whether or not the income is actually made available to the alien.

(5) Actual payments by the sponsor to aliens will be counted as income only to the extent that the payment amount exceeds the amount of the sponsor's income already determined as countable.

(6) A sponsor can be held liable for an overpayment made to a sponsored alien if the sponsor was responsible for, or signed the documents which contained, the misinformation that resulted in the overpayment. The sponsor is not held liable for an overpayment if the alien fails to give accurate information to the Department or the sponsor is deceased, in prison, or can prove the request for information was incomplete or vague.

(7) In the case where the alien entered the United States after December 19, 1997, the sponsor's income does not count if:

(a) the alien becomes a United States citizen through naturalization;

(b) the alien has worked 40 qualifying quarters as determined by Social Security Administration; or

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-244 TANF Needy Family (TNF)

(1) TNF is not a program but describes a population that can be served using TANF Surplus Funds.

(2) Eligible families must have a dependent child under the age of 18 residing in the home, and the total household income must not exceed 300% of the Federal poverty level. Income is determined as gross income without allowance for disregards.

(3) Services available vary throughout the state. Information on what is available in each region is available at each Employment Center. The Department may elect to contract out services.

(4) If TANF funded payments are made for basic needs such as housing, food, clothing, shelter, or utilities, each month a payment is received under TNF, counts as one month of assistance toward the 36 month lifetime limit. Basic needs also include transportation and child care if all adults in the household are unemployed and will count toward the 36 month lifetime lim it.

(5) If a member of the household has used all 36 months of FEP assistance the household is not eligible for basic needs assistance under TNF but may be eligible for other TANF funded services.

(6) Assets are not counted when determining eligibility for TNF services.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-245 TANF Non-FEP Training (TNT)

(1) TNT is to provide skills and training to parents to help them become suitably employed and self-sufficient.

(2) The client must be unable to achieve self-sufficiency without training.

(3) Eligible families must have a dependent child under the age of 18 residing in the home and the total household income must not exceed 200% of the Federal poverty level. If the only dependent child is 18 and expected to graduate from High School before their 19th birthday the family is eligible up through the month of graduation. Income is counted and calculated the same as for WIOA as found in rule R986-600.

(4) Assets are not counted when determining eligibility for TNT services.

(5) The client must show need and appropriateness of training.

(6) The client must negotiate an employment plan with the Department and participate to the maximum extent possible.

(7) The Department will not pay for supportive services such as child care, transportation or living expenses under TNT. The Department can pay for books, tools, work clothes and other needs associated with training.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-246 Transitional Cash Assistance

(1) Transitional Cash Assistance, (TCA) is offered to help FEP and FEPTP customers stabilize employment and reduce recidivism.

(2) To be eligible for TCA a client must;

(a) have been eligible for and have received FEP or FEPTP during the month immediately preceding the month during which TCA is requested or granted. The FEP or FEPTP assistance must have been terminated due to earned or earned and unearned income and not for nonparticipation under R986-200-212. If the immediately preceding month was during a diversion period, or the client has a termination pending due to non participation as provided in R986-200-212, the client is not eligible for TCA,

(b) be employed and

(i) have income greater than the FEP or FEP TP income guideline

(ii) the FEP or FEP TP assistance was terminated because of that income, and

(iii) the earned income exceeds the unearned income at the time the FEP or FEP TP was terminated, and

(3) TCA is only available if the customer verifies income at the minimum required in subparagraph (2)(b) of this section.

(4) The TCA benefit is available for a maximum of three months in a 12 month period. The three months do not need to be consecutive.

(a) The assistance payment for the first two months of TCA is based on household size. All household income, earned and unearned, is disregarded.

(b) Payment for the third month is one half of the payment available in (4)(a) of this section.

(5) To receive the second and third month of the TCA benefit, the client must remain employed or have had an open FEP case that closed during the prior month due to income described in (2)(b) of this section.

(6) If initial verification is provided and a client is paid one month of TCA but the client is unable to provide documentation to support that initial verification, no further payments will be made under TCA but the one month payment will not result in an overpayment.

(7) TCA does not count toward the 36 month time limit found in R986-200-217.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-248 Wasatch Front North Service Area Pilot: FEP Subsidized Employment (FEP SE)

(1) FEP SE is a voluntary program providing short term subsidized employment for a maximum of three months to an eligible FEP recipient. FEP SE is a pilot program for Wasatch Front North Service Area but may be expanded to other service areas if funding permits. To be eligible, a FEP recipient must:

(a) be currently receiving FEP benefits and have received at least one FEP payment;

(b) have a current employment plan. If the client is working less than 30 hours per week, the employment plan must provide additional activities,

(d) have not worked for the employer where the client is to be hired under this program more than 40 hours in the 60 days immediately preceding the date of hire under the FEP SE program; and

(e) have not previously participated in the FEP SE program.

(2) An employer eligible for a subsidy under this section is an employer that:

(a) is registered with the Department's UI division as an active employer in "good standing". For the purposes of this section, "good standing" means the employer has no delinquent UI contributions or reports;

(b) is a "qualified employer" which is defined as any employer other than the United States, any State, or any political subdivision or instrumentality thereof. A public institution of higher education is considered a "qualified employer" for purposes of this section. The employer cannot be a Temporary Help Company as defined in R994-202-102 or a Professional Employer Organization as defined in R994-202-106;

(c) pays a wage of at least $8 per hour. Commission only jobs may qualify if the employer guarantees $8 per hour or more;

(d) has not displaced or partially displaced existing workers by participating in this program;

(e) has at least one other employee;

(f) will provide the client with at least 20 hours work per week; and

(g) does not hire the client for temporary or seasonal work.

(3) Once it has been verified that a FEP recipient has been hired, a qualified employer will be paid a $500 subsidy and an additional $1,500 subsidy at the conclusion of the third month of employment provided the required DWS invoices have been provided.

(4) FEP SE will continue for as long as funding is available.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-249 Access to Assistance

Financial assistance for FEP and FEPTP is provided through an electronic benefit transfer (EBT) card. The card, instructions on its use, and applicable fees will be provided to all clients. A method for obtaining assistance without a fee will be made available. In other circumstances, minimal fees or/or surcharges will apply. Information about obtaining assistance without a fee or surcharge, when fees or surcharges apply, and the amount of the fee or surcharge is available on the Department's website: jobs.utah.gov.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

Utah Admin. Code R986-200-250 Unauthorized Spending of TANF Financial Assistance Benefits

(1) TANF financial assistance benefits may not be accessed through an electronic benefit transfer, including through an automated teller machine or point-of-sale device, in an establishment in the state that:

(i) exclusively or primarily sells intoxicating liquor,

(ii) allows gambling or gaming, or

(iii) provides adult-oriented entertainment where performers disrobe or perform unclothed.

(2) TANF financial assistance benefits may not be used to purchase beer, intoxicating beverages, cigarettes, or tobacco products.

(3) Unauthorized spending of TANF financial assistance benefits may constitute an Intentional Program Violation. See Section R986-100-117.

History

KEY: family employment program, SNAP
Date of Last Change: October 24, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: Title 35A, Chapter 3, Part 3; PRWORA Pub. L. No. 104-193

R986-300 Refugee Resettlement Program

Utah Admin. Code R986-300-301 Authority for the Refugee Resettlement Program and Other Applicable Rules

(1) The Department provides services to eligible refugees pursuant to 45 CFR Parts 400 and 401 (2000), which are incorporated by reference.

(2) The Department has opted to operate a Publicly-Administered Refugee Cash Assistance Program as provided in 45 CFR 400 Subpart E.

(3) Rule R986-100 applies to RRP.

(4) Applicable provisions of Rule R986-200 apply to RRP except as noted in this rule.

History

KEY: refugee resettlement program, SNAP
Date of Last Change: December 8, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103; 45 CFR 400.65 through 400.68

Utah Admin. Code R986-300-302 Refugee Resettlement Program

(1) RRP provides resettlement assistance to refugees to help them achieve economic self-sufficiency within the shortest possible time after entry into the state.

(2) Financial and medical assistance may be provided to eligible refugees who meet the time limit requirements of Section R986-300-306 as funding permits.

(3) Refugee Social Services as identified in 45 CFR 400 Subpart I may be provided to a refugee who meets the eligibility requirements of 45 CFR 400.150.

(4) Refugee child welfare services will be provided to refugee unaccompanied minor children in accordance with 45 CFR 400 Subpart H.

(5) The following definitions apply to RRP:

(a) "Appropriate employment" means employment that pays a wage which meets or exceeds the applicable federal or state minimum wage law and has daily and weekly hours customary to the occupation, or, if the minimum wage laws do not apply, the wage must equal what is normally paid for similar work and in no case less than three-fourths of the minimum wage rate.

(b) "Good cause" for quitting or refusing work may be established if the client shows:

(i) the job is vacant due to a strike, lockout, or other genuine labor dispute;

(ii) the client is required to work contrary to the client's membership in the union governing that occupation;

(iii) the employment is a risk to the health or safety of the worker;

(iv) the employment lacked Workers' Compensation Insurance; or

(v) the individual cannot to engage in employment due to physical reasons, lack of child care, or transportation.

History

KEY: refugee resettlement program, SNAP
Date of Last Change: December 8, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103; 45 CFR 400.65 through 400.68

Utah Admin. Code R986-300-303 Eligibility, Income Standards, and Amount of Assistance

(1) An applicant for RRP must provide proof, in the form of documentation issued by the United States Citizenship and Immigration Services, of being or having been:

(a) paroled as a refugee or asylee under Subsection 212(d)(5) of the INA, 8 USC 1182(d)(5);

(b) admitted as a refugee under Section 207 of the INA, 8 USC 1157;

(d) a Cuban or Haitian entrant, in accordance with the requirements of 45 CFR Part 401;

(e) an Amerasian from Vietnam admitted to the United States as an immigrant pursuant to Public Law 100-202 and Public Law 100-461;

(f) a victim of trafficking;

(g) admitted for permanent residence, provided the individual previously held one of the statuses listed in Subsections (a) through (f) of this section; or

(h) admitted for permanent residence under Special Immigrant Visas and provided benefits under federal law and in accordance with that federal law.

(2) The following aliens are not eligible for assistance:

(a) an applicant for asylum unless otherwise provided by federal law;

(b) a humanitarian parolee;

(d) a conditional entrant admitted under Section 203 of the INA, 8 USC 1153.

(3)(a) A refugee who is a single parents, a two parent household with one parent who is incapacitated, or a specified relative with a dependent child must meet the eligibility and participation requirements, including cooperating with ORS to establish paternity and establish and enforce child support, of FEP and will be paid financial assistance under that program.

(b) All other refugees, including refugee households with two able-bodied parents and a dependent child, will be paid financial assistance under the RRP and must meet federal RRP participation requirements.

(4)(a) An applicant for RRP who voluntarily quit or refused appropriate employment without good cause within 30 calendar days before the date of application is ineligible for financial assistance for 30 days from the date of the voluntarily quit or refusal of employment.

(b) If an applicant is living with a spouse who is ineligible, the income and assets of the ineligible refugee will be counted in determining eligibility but the amount of financial assistance payment will be made as if the household had one less member.

(5) A refugee who is 65 years of age or older will be referred to SSA to apply for assistance under the SSI program.

(6) Income and asset eligibility and the amount of financial assistance available is determined under FEP rules, Sections R986-200-230 through R986-200-240.

(7) If an otherwise eligible client demonstrates an urgent and immediate need for financial assistance, payment will be made on an expedited basis.

History

KEY: refugee resettlement program, SNAP
Date of Last Change: December 8, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103; 45 CFR 400.65 through 400.68

Utah Admin. Code R986-300-304 Participation Requirements

(1)(a) A refugee applicant shall comply with the assessment and employment plan requirements in Sections R986-200- 207 and R986-200-209.

(b) If the assessment cannot be completed or an employment plan negotiated and signed within the time proscribed because of a lack of staff with language skills, the application shall be approved, the assessment completed, and employment plan negotiated and signed as soon as possible.

(2) The goal of participation is to promote family economic self-sufficiency and social adjustment within the shortest possible time after entrance to the state to enable the family to become self-supporting through the employment of one or more members of the family.

(3) If a refugee claims an inability to participate due to incapacity, medical proof is required. Acceptable proof is the same as for FEP found in Subsection R986-200-202(3).

(4) A efugee who is 65 years of age or older, blind, or disabled, is exempt from the work participation requirements of FEP or RRP.

(5) In addition to the requirements of an employment plan found in Section R986-200-210, a refugee shall, as a condition of receipt of financial assistance:

(a) unless already employed full time, register for work with the Department within 30 days of receipt of refugee financial assistance and participate in employment activities as required by the Department and other appropriate agency providing employment services;

(b) accept an offer of appropriate employment as determined by the Department or the local resettlement agency which was responsible for the initial resettlement of the refugee; and

(c) participate in any available social adjustment service or targeted assistance activity determined to be appropriate by the Department or the local resettlement agency which was responsible for the initial resettlement of the refugee.

(6) Education and training cannot be approved for a program which cannot be completed within one year.

(7) English language instruction funded under RRP must be provided concurrently with employment or employment related services.

History

KEY: refugee resettlement program, SNAP
Date of Last Change: December 8, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103; 45 CFR 400.65 through 400.68

Utah Admin. Code R986-300-305 Failure to Comply with an Employment Plan

(1) If a client who is required to participate in an employment plan consistently fails to show good faith in complying with the employment plan, the client shall participate in the reconciliation process in Section R986-200-212 with the following exceptions.

(a) The client will be disqualified for a period of:

(i) three months for the first occurrence; and

(ii) six months for the second occurrence.

(b) There is no reduction period as provided in Subsection R986-200-212(2).

(2) If there is another household member included in the financial assistance payment, the other household member will continue to receive assistance provided the household member is eligible and complies with each requirement of RRP.

(3) If eligible, SNAP and medical assistance may be continued for a client who is disqualified for failure to comply with the requirements of an employment plan.

History

KEY: refugee resettlement program, SNAP
Date of Last Change: December 8, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103; 45 CFR 400.65 through 400.68

Utah Admin. Code R986-300-306 Time Limits

(1) A refugee's eligibility date for RRP is the date of entry into the United States.

(a) An asylee's entry date is determined to be the date that the individual was granted asylum in the United States.

(b) The date of entry for a victim of trafficking is established by the certification date determined by the U.S. Department of Health and Human Services, Office of Refugee Resettlement (ORR).

(i) a citizen or national of Afghanistan paroled into the United States between July 31, 2021 and September 30, 2022; or

(ii) a spouse or child of a paroled individual described in Subsection R986-300-306(1)(c)(i) who is paroled into the United States after September 30, 2022.

(d) "Ukrainian Humanitarian Parolee" means:

(i) a citizen or national of Ukraine paroled into the United States between February 24, 2022 and September 30, 2023;

(ii) a non-Ukrainian individual who habitually resided in Ukraine and who was paroled into the United States between February 24, 2022 and September 30, 2023;

(iii) a spouse or child of an individual described in Subsection R986-300-306(1)(d)(i) or (ii) who is paroled into the United States after September 30, 2023; or

(iv) a parent, legal guardian, or primary caregiver of an unaccompanied refugee minor or an unaccompanied child described in Subsection R986-300-306(1)(d)(i) or (ii) who was paroled into the United States after September 30, 2023.

(2)(a) A refugee with an eligibility date on or after October 1, 2021, is eligible for RRP financial assistance only during the first 12 months after the eligibility date.

(b) A refugee with an eligibility date before October 1, 2021, is eligible for RRP financial assistance only during the first eight months after the eligibility date.

(c)(i) Notwithstanding Subsections R986-300-303(2)(b), R986-300-306(2)(a), and (2)(b), an Afghan Humanitarian Parolee is eligible for RRP financial assistance only until March 31, 2023, or until the end of the individual's parole term, whichever is later.

(ii) The eligibility date for an Afghan Humanitarian Parolee is October 1, 2021, or the date the parolee entered the community in the United States, as determined by the ORR, whichever date is later.

(d)(i) Notwithstanding Subsections R986-300-303(2)(b), R986-300-306(2)(a), and (2)(b), a Ukrainian Humanitarian Parolee is eligible for RRP financial assistance only until the end of the individual's parole term.

(ii) The eligibility date for a Ukrainian Humanitarian Parolee is May 21, 2022, or the date of humanitarian parole, whichever is later.

(3) Regardless of eligibility date, RRP financial assistance cannot be paid for any months before the date of application for assistance.

History

KEY: refugee resettlement program, SNAP
Date of Last Change: December 8, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103; 45 CFR 400.65 through 400.68

Utah Admin. Code R986-300-307 Refugee Transitional Cash Assistance

(1) Refugee Transitional Cash Assistance (RTCA), is offered to help refugees stabilize employment.

(2)(a) To be eligible for RTCA a client must:

(i) have been eligible for and have received Refugee Cash Assistance (RCA) during the month immediately preceding the month during which RTCA is requested or granted;

(ii) be employed an average of 30 hours per week;

(iii) if RTCA is provided to a client in a two earner household, both earners must be employed an average of 30 hours per week; and

(iv) RCA assistance must have been closed due to earned or earned and unearned income and not for nonparticipation under Section R986-300-305.

(b) If the client has a closure pending due to nonparticipation as provided in Section R986-300-305, the client is not eligible for RTCA.

(3) RTCA is only available if the customer verifies employment and RCA eligibility at the minimum levels required in Subsection R986-300-307(2)(a).

(4)(a) The RTCA benefit is available for a maximum of three months in a 12 month period.

(b) The three months do not need to be consecutive.

(c) The assistance payment for the first two months of RTCA is based on household size. All household income, earned and unearned, is disregarded.

(d) Payment for the third month is one half of the payment available in Subsection R986-300-307(4)(a).

(5) To receive the second and third month of the RTCA benefit, the client must remain employed as described in Subsection R986-300-307(2)(a) or have had an open RCA case that closed during the prior month due to earned or earned and unearned income.

(6) If initial verification is provided and a client is paid one month of RTCA but the client does not provide documentation to support that initial verification, no further payments will be made. Under these circumstances, the one month payment will not result in an overpayment.

History

KEY: refugee resettlement program, SNAP
Date of Last Change: December 8, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103; 45 CFR 400.65 through 400.68

R986-400 General Assistance

Utah Admin. Code R986-400-401 Authority for General Assistance and Applicable Rules

(1) The Department provides General Assistance financial assistance (GA) pursuant to Sections 35A-3-401 through 35A-3-402 as funding permits.

(2) Rule R986-100 applies to GA, except as noted in this rule.

(3) Rule R986-200 applies to GA except as noted in this rule.

(4) The citizenship and alienage requirements of SNAP apply to GA.

(5) Acronyms used in this rule are found in Section R986-100-103. Definitions used in this rule are found in Section R986-100-104.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

Utah Admin. Code R986-400-402 General Provisions

(1) General Assistance provides temporary financial assistance to single persons and married couples who have no dependent children residing with them 50% or more of the time and who have a physical or mental health impairment that prevents the client from working any number of hours at all in any occupation.

(2) The impairment must be expected to last at least 60 days after the date of application.

(3) Drug addiction or alcoholism alone is insufficient to meet the impairment requirement for GA as defined in 42 U.S.C. 423(d)(2)(C).

(4)(a) Married couples meet the impairment criteria and time limits on an individual basis.

(b) If the household includes an ineligible spouse, the income and assets of the ineligible spouse must be counted when determining the eligibility of the household and the ineligible spouse will not be included in the financial payment.

(c) The household may consist of any combination of impaired, non-impaired, short term disabled, or long term disabled as long as at least one spouse meets the eligibility requirements.

(5)(a) GA is only available to a client who is at least 18 years old or is legally or factually emancipated.

(b) Factual emancipation means the client has lived independently from their parents or guardians, has been economically self-supporting for a period of at least 12 consecutive months, and the client's parents or guardians have refused financial support.

(6)(a) A client claiming factual emancipation must cooperate with the Department in locating their parents or guardians.

(b) The parents will be contacted by the Department.

(c) If the parents continue to refuse to support the client, a referral will be made to ORS to enforce the parents' child support obligations.

(7) A person eligible for Bureau of Indian Affairs assistance is not eligible for GA.

(8) In addition to the residency requirements in Section R986-100-106, a resident in a group home that is administered under a contract with a governmental unit or administered by a governmental unit are not eligible for GA.

(9)(a) An individual receiving SSI is not eligible for GA, including a person whose SSI is suspended, has been terminated, or who is not eligible for SSI due to the imposition of a penalty as defined by 20 CFR 416.1320 through 416.1340.

(b) An individual whose SSI benefits are suspended because they have not attained U.S. citizenship, may be eligible for GA if the individual actively pursues U.S. citizenship to regain SSI eligibility.

(c) If SSI was terminated because the client's disability ended, the client may be eligible for GA if an unrelated physical or mental health condition develops and is verified.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

Utah Admin. Code R986-400-403 Proof of Impairment

(1)(a) An applicant must provide current medical evidence of an impairment that prevents basic work activities in any occupation due to a physical or mental health condition and that the impairment is expected to last at least 60 days from the date of application.

(b) Evidence consists of a statement from a medical doctor, a doctor of osteopathy, a licensed Advanced Practice Registered Nurse, a licensed Physician's Assistant, or a licensed Mental Health Therapist as defined in Section 58-60-102.

(c) If an applicant has been approved for SSI or SSDI, and is waiting for the first check, no further medical evidence of impairment is necessary. Verification and evidence of social security approval must be included in the case record.

(2)(a) An applicant must cooperate if a second opinion is requested by the Department.

(b) The Department will pay only the costs associated with a second opinion requested by the Department.

(c) The Department will not pay the costs associated with obtaining a second opinion if the client requests the second opinion.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

Utah Admin. Code R986-400-404 Participation Requirements

(1)(a) A GA client with an impairment that is expected to last 12 months or longer shall sign the GA agreement form within 30 days after the initial GA payment has been issued.

(b) A GA client with an impairment that is expected to last at least 60 days, but less than 12 months, will not be required to sign the general assistance agreement form.

(2) The requirement to sign the general assistance agreement form, complete an assessment, and negotiate an employment plan is limited to clients with long term impairments expected to last 12 months or longer.

(3) If the impairment is expected to last 12 months or longer, the client must apply for SSI/SSDI benefits.

(4)(a) A client must accept all offers of appropriate employment as determined by the Department.

(b) Appropriate employment generally means employment that pays a wage that meets or exceeds the applicable federal or state minimum wage law and has daily and weekly hours customary to the occupation.

(c) If the minimum wage laws do not apply, the wage must equal what is normally paid for similar work and in no case less than three-fourths of the minimum wage rate.

(d) The employment is not appropriate employment if the client cannot perform the work due to physical or mental limitations.

(5) A client must cooperate in obtaining any other source of income to which the client may be entitled including, SSI/SSDI, VA Benefits, and Workers' Compensation.

(6) A client who meets the eligible alien status requirements for GA but does not meet the eligible alien requirements for SSI may participate in activities that may help them to become eligible for SSI such as pursuing citizenship.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

Utah Admin. Code R986-400-405 Interim Aid for SSI Applicants

(1)(a) A client who has applied for SSI or SSDI benefits may be provided with GA pending a determination on the application for SSI or SSDI.

(b) If the client is applying for SSI, the client must sign an agreement to repay interim assistance form and agree to reimburse, or allow SSA to reimburse, the state for GA advanced pending a determination from SSA.

(2) General assistance will be immediately terminated without advance notice when SSA issues a payment or if the client fails to cooperate to the maximum extent possible in pursuing the application which includes cooperating fully with SSA and providing all necessary documentation to insure receipt of SSI or SSDI benefits.

(3)(a) A client must fully cooperate in prosecuting an appeal of an SSI or SSDI denial at least to the Social Security ALJ level.

(b) If the ALJ issues an unfavorable decision, the client is not eligible for GA unless an unrelated physical or mental health condition develops and is verified.

(4) If a client's SSI or SSDI benefits have been terminated due to a physical or mental health condition, the client is ineligible unless an unrelated physical or mental health condition develops and is verified.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

Utah Admin. Code R986-400-406 Failure to Comply with the Requirements of an Employment Plan

(1)(a) If a client fails to comply with the requirements of the employment plan without reasonable cause, GA will be terminated immediately.

(b) Reasonable cause under this section means the client was prevented from participating through no fault of the client or failed to participate for reasons that are reasonable and compelling, including verified illness or extraordinary transportation problems.

(2) If a client's GA has been terminated under this section, the client is not eligible for further assistance as follows.

(a) The first time GA is terminated, the client must resolve the reason for the termination and participate to the maximum extent possible in all required activities of the employment plan. The client does not need to reapply if they resolve the reason for termination by the end of the month following the termination.

(b) The second time GA is terminated, the client will be ineligible for GA for a minimum of one month and may only become eligible again upon completing a new application and participating to the maximum extent possible in the required employment activity.

(c) The third and subsequent time GA is terminated, the client will be ineligible for a minimum of six months and may only become eligible again upon completing a new application and actively participating in the required employment activity.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

Utah Admin. Code R986-400-407 Income and Assets Limits, Amount of Assistance, and Assistance Start Date

(1) Rule R986-200 is used for determining asset and income eligibility except:

(a) the income and assets of an SSI recipient living in the household are counted if that individual is legally responsible for the client;

(b)(i) the total gross income of an alien's sponsor and the sponsor's spouse is counted as unearned income for the alien;

(ii) if a person sponsors more than one alien, the total gross income of the sponsor and the sponsor's spouse is counted for each alien;

(iii) indigent aliens, as defined by 7 CFR 273.4(c)(3)(iv), are not exempt;

(c)(i) one vehicle, with a maximum of $8,000 equity value, is not counted;

(ii) the entire equity value of one vehicle equipped to transport a disabled individual is exempt from the asset limit even if the vehicle has a value over $8,000; and

(iii) beginning October 1, 2007, all motorized vehicles are exempt.

(2) The GA payment level is set by the Department and available for review at all Department local offices.

(3)(i) If otherwise eligible, GA will be paid effective the first day of the month following the month the application is received by the Department provided the application is completed within 30 days.

(ii) If the application is not completed within 30 days, but is completed within 60 days, the first day the client may be eligible is the day all verification requested by the Department is received by the Department.

(iii) If the application is not completed within 60 days, a new application is required.

(4) An application is complete when all information and verification requested by the Department has been provided by the applicant.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

Utah Admin. Code R986-400-408 Time Limits

(1)(a) An individual may not receive GA for more than a total of 12 months out of a rolling 60-month period.

(b) Any month in which a client receives a full or partial GA payment counts toward the 12 month limit.

(c) A client with a short term impairment that prevents basic work activities in any occupation lasting at least 60 days from the date of application but less than 12 months may receive up to six months of GA financial benefits in a rolling 12 month period.

(d) If a client has a long term impairment that prevents basic work activities in any occupation which is expected to last 12 months or more the client may receive a total of 12 months of GA financial benefits in a rolling 60 month period.

(2) There are no exceptions or extensions to the time limit.

(3) Advanced written notice for termination of GA due to time limits is not required.

History

KEY: general assistance (GA), SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-401; 35A-3-402

R986-500 Adoption Assistance

Utah Admin. Code R986-500-501 Authority for Adoption Assistance and Other Applicable Rules

(1) The Department administers the Adoption Assistance program pursuant to the authority granted in Section 35A-3- 308.

(2) Rule R986-100 applies to AA.

(3) Rule R986-200 applies to AA, except as noted in this rule.

(4) Acronyms used in this rule are found in Section R986-100-103. Definitions used in this rule are found in Section R986-100-104.

History

KEY: adoption assistance
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-114

Utah Admin. Code R986-500-502 General Provisions

(1) Adoption Assistance (AA) may be provided to a birth parent who was or would have been the caretaker of a child placed for adoption.

(2) The placement for adoption must have been voluntary. Birth parents who have had their parental rights terminated are not eligible for AA.

(3) The adoption must have met the requirements of Section 78B-6-120.

(4) AA financial assistance may be provided if the birth parent is in the third trimester of pregnancy and is planning to place the child for adoption, and if otherwise eligible.

(5) A parent must apply for AA no later than the end of the second month after the month of adoptive placement. Proof of adoptive placement is required.

(6) adoptive placement may be made for any minor child, however a child age 12 or older must agree to the adoptive placement.

(7) The Department will coordinate services to assist the birth parent in:

(a) receiving appropriate educational and occupational assessment and planning, including enrolling in appropriate education or training programs, high school completion, or adult education programs;

(b) enrolling in programs that provide assistance with job readiness, employment counseling, finding employment, or work skills;

(d) receiving medical assistance under Title 26, Chapter 18, Medical Assistance Act, if the client is otherwise eligible; and

(e) receiving counseling or other mental health services.

(8) If a birth parent relinquishes custody of a child, and before the adoption is finalized takes back custody of the child, the birth parent is no longer eligible for AA.

(9) The rule regarding minor parents found at Section R986-200-213 applies if the parent seeking AA is a minor.

(10) If the minor birth parent seeking AA is living with their parent or parents or the parent or parents of the other parent of the child being placed for adoption, the FEP rule for counting the income of the household found in Section R986-200- 242 applies.

History

KEY: adoption assistance
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-114

Utah Admin. Code R986-500-503 Services Available to Pregnant Parents

(1) The Department will publish and make available to each pregnant parent an easy-to-understand adoption information packet which:

(a) contains information about the public and private organizations that provide assistance with adoption specific to the geographical location of the client;

(b) lists the names, addresses, and telephone numbers of licensed child placement agencies and licensed attorneys who place children for adoption;

(c) explains that private adoption is legal and that the law permits adoptive parents to reimburse the costs of prenatal care, childbirth, neonatal care, and other expenses related to pregnancy; and

(d) describes the services and supports available to the client from the Department and other state agencies.

(2) The Department will refer the client for appropriate prenatal medical care, including maternal health services provided under Title 26, Chapter 10, Family Health Services.

(3) The Department will inform the parent of free counseling about adoption from licensed child placement agencies and licensed attorneys.

History

KEY: adoption assistance
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-114

Utah Admin. Code R986-500-504 Adoption Assistance Financial Assistance Eligibility and Amount

(1) Eligibility and participation are determined by Rule R986-200 except:

(a) the employment plan must contain the requirement that the birth parent enroll in high school or an alternative to high school, if the parent does not have a high school diploma;

(b) the child support enforcement provisions do not apply for the child being placed for adoption;

(c)(i) one vehicle with a maximum of $8,000 equity value is not counted;

(ii) the entire equity value of one vehicle equipped to transport a disabled individual is exempt from the asset limit even if the vehicle has a value over $8,000; and

(iii) beginning October 1, 2007, motorized vehicles are exempt.

(2) If there is another eligible child living in the household assistance unit, the household will receive a monthly supplemental financial AA payment equal to the additional amount the household would have received had the parents not relinquished the child.

(3) If there are no eligible children living in the household, financial AA will be provided equal to a household size of one, even if both birth parents are living in the household.

History

KEY: adoption assistance
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-114

Utah Admin. Code R986-500-505 Time Limits for Adoption Assistance

(1) Financial AA may be provided up to a maximum of 12 consecutive months from the date of adoptive placement.

(2) Payment of financial assistance for part of a month counts as a whole month when calculating the 12 month time limit.

(3) No extensions or exceptions to the time limit will be allowed.

(4) A birth parent who is determined eligible for AA and becomes ineligible during the 12 month payment period may reestablish eligibility up to the twelfth month if the parent reapplies during the 12 month period.

(5) Months during which no payment of financial assistance was made due to ineligibility or disqualification count toward the 12 month time limit.

(6)(i) There is no limit to the number of times a parent may apply for or be found eligible for AA, however months during which a client receives AA before adoptive placement count toward the 36 month time limit for FEP and FEPTP found in Section R986-200-217.

(ii) Months when a parent receives AA after adoptive placement count toward the 36 month time limit if the parent is otherwise eligible to receive FEP or FEPTP because there are eligible children in the home.

History

KEY: adoption assistance
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-114

Utah Admin. Code R986-500-506 Safeguarding Records

(1) Records pertaining to the adoption will not be kept or imaged by the Department including verification of the adoptive placement and anything that would identify any agency, organization, or individual assisting with the adoption.

(2)(a) The Department must review required legal documentation verifying that the parent has placed the child for adoption.

(b) The legal documentation consists of either a court document or statement from the adoption agency.

(3) The parent's file will contain a verification of adoptive placement form signed by the Department employee who viewed and verified the legal documentation.

History

KEY: adoption assistance
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-114

R986-600 Workforce Innovation and Opportunity Act

Utah Admin. Code R986-600-601 Authority for Workforce Innovation and Opportunity Act and Other Applicable Rules

(1) The Department provides services to eligible clients under the authority granted in the Workforce Innovation and Opportunity Act, (WIOA) 29 U.S.C. Sections 3101 through 3344, 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 Department's website. 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) Rule R986-100 applies to WIOA unless expressly noted otherwise even though Rule R986-100 refers to public assistance and WIOA funding does not meet the technical definition of public assistance. The residency requirements of Section R986-100-106 and the additional penalty under Section R986-100-118 do not apply.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-602 Workforce Innovation and Opportunity Act

(1) The goals of WIOA are to:

(a) increase a client's occupational skills, employment, retention, and earnings;

(b) decrease welfare dependency;

(d) increase prosperity of clients, employers, and community; and

(e) 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-603 Youth Services

(1) The goals of WIOA Youth services are to:

(a) reconnect out-of-school youth to education and employment;

(b) provide options for improving educational and skill competencies;

(d) ensure access to mentoring, training opportunities, and support services;

(e) provide incentives for achievement; and

(f) provide opportunities for leadership, citizenship, and community service.

(2) WIOA Youth services may be available to:

(a) an in-school youth, age 14 through 21, who is low income and who has one or more barriers to employment including barriers that interfere with the ability to complete an educational program or to secure and hold employment;

(b) an out-of-school youth, age 16 through 24 and who has one or more barriers to employment including a youth who:

(i) has dropped out of school;

(ii) has attendance issues;

(iii) is an offender;

(iv) is homeless;

(v) is a runaway;

(vi) is in foster care;

(vii) has aged out of foster care;

(viii) is pregnant or parenting;

(ix) is disabled;

(x) has received a high school diploma or GED and is basic skills deficient; or

(xi) is an English language learner after obtaining a high school diploma or GED; or

(i) is Native American;

(ii) is a child of an incarcerated parent;

(iii) has substance abuse issues;

(iv) is a victim of domestic violence; or

(v) is a refugee.

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

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 which, if requested, may be provided after receiving individualized or training services for:

(a) a minimum of 12 months for a youth; or

(b) for a maximum of 12 months following an adult's or dislocated worker's first date of unsubsidized employment.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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;

(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:

(a) WIOA-funded programs;

(b) unemployment insurance benefits;

(d) SNAP; and

(e) supportive services such as child care, medical services, and transportation.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-606 Individualized Career Services

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

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

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

(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;

(d) unpaid internships; and

(e) employment internship opportunities.

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

(a) leadership development;

(b) mentoring;

(d) summer youth employment internship opportunities.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-607 Training Services

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

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-608 Eligibility Requirements, General Definition

(1) Basic career services are available to any client. 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 shall sign and date the training program agreement for the program in which the client is enrolled.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-609 Citizenship and Employment Authorization Requirements

To receive individualized career or training services, a client must be:

(1) a citizen of the United States;

(2) a lawfully admitted permanent resident alien;

(3) a refugee, asylee, or parolee; or

(4) an immigrant authorized by the U.S. Attorney General to work in the United States.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-610 Selective Service Registration Requirements

A male applicant or recipient who is 18 and older must be in compliance with Selective Service registration requirements to receive individualized career or training services.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 services 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 which leads to self-sufficiency, which for the WIOA Adult program 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 which leads to self-sufficiency, which for the WIOA Dislocated Worker program is defined as 80% of the client's layoff wage.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-613 Income Eligibility

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

(2) Applicants for WIOA Youth and Adult programs must meet income eligibility requirements.

(3) A client is deemed to have met the income eligibility requirements for WIOA Youth services or 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 before the application date, unless the client only received expedited SNAP;

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

(d) currently receiving SSI;

(e) in foster care;

(f) basic skills deficient;

(g) for Youth services only: receiving or been determined eligible for free or reduced price lunch; or

(h) for Youth services only: currently living in a high poverty area defined as:

(i) an American Indian Reservation;

(ii) an Oklahoma Tribal Statistical Area, as defined by the U.S. Census Bureau;

(iii) an Alaska Native Village Statistical Area or Alaska Native Regional Corporation Area;

(iv) a Native Hawaiian Homeland Area; or

(v) a county with a poverty rate of at least 25 per cent as set every five years using American Community Survey five- year data.

(4) If a client is not eligible under Subsection R986-600-613(1) or (2), the client must meet the income eligibility guidelines in Subsection R986-600-613(3).

(5) Up to 5% of the youth clients served do not need to meet the income eligibility requirements but must have barriers to employment, as provided by Section R986-600-603 A list of current eligible barriers is available from the Department.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

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

(1) Family size must be determined to establish income eligibility for WIOA Adult and Youth services. Family size is determined by counting the maximum number of family members in a single residence during the six months before the date of application, not including the current month. A dependent of this section is defined as a person who is claimable as an IRS dependent per the client's statement. Family members included in the income determination are:

(a) a married couple and dependent children;

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

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

(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. "Major life activities" are defined as caring for oneself, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning, and working.

(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 the client as an IRS dependent.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-615 Assets

Assets are not counted when determining eligibility for WIOA services but shall be considered in determining whether the client has a need for WIOA funding.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-616 Countable Income

(1) Countable income is total gross income from all sources with the exceptions listed in Subsection R986-600-616(2), "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;

(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) child support;

(s) unemployment compensation;

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

(u) training stipends not listed in Subsection 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;

(d) capital gains;

(e) veterans disability payments other than retirement;

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

(g) foster care payments;

(h) tax refunds;

(i) gifts;

(j) loans;

(k) lump-sum inheritances;

(l) one-time insurance payments or compensation for injury;

(m) earned income credit from the IRS;

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

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

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

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

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

(s) 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 non-cash benefits programs such as Medicare, Medicaid, SNAP, school lunches, and housing assistance; and

(t) other amounts specifically excluded by federal statute.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 before 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 their 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 which were not covered under unemployment compensation law; and

(ii) is unlikely to return to the client's previous industry or occupation, which means the client lacks the skills to re- enter the industry or occupation, or declares they will not return to that industry or occupation;

(b) has received a notice of layoff;

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

(d) is a WIOA displaced homemaker, which means 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 to relocate because of an assignment change of the military service member; and

(i)(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 not covered for unemployment compensation; and

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

(2) The displacement must be no more than 24 months before 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-619 Participation Requirements

Payment of any financial assistance, individualized career, 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-621 Requirements of an Employment Plan

(1) A client shall 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;

(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; or

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

(5) The client must meet the performance expectations of each activity in the employment plan 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 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

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

(1) Employment plans for youth must reflect intentions to assist with preparing for post-secondary education 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 WIOA 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 post-secondary education;

(b) attainment of a degree or certificate; or

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 Section R986- 600-624.

(3) Additional payments 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 Section R986-600-611; and

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

(2) To be deemed appropriate for training services, the client must:

(a) have been determined by the Department to be in need of training services;

(b) have the skills and qualifications to successfully complete the selected training program;

(c) select a program of training which is directly linked to employment opportunities in the area where they plan to work; and

(d) be unable to obtain grant assistance from other sources to pay the costs of such training or while the other grant assistance is pending.

(3) If a 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.

(4) A client who does not meet the requirements of this section will be denied training services by the Department.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 or rescinded by the Department at any time without prior notice to the client.

(2) The Department issues an electronic benefit transfer card to each eligible individualized career and training service client to pay for training and supportive services.

(a) Tuition is paid directly to the training provider through check or direct deposit.

(b) Incentives are paid directly to youth through check or direct deposit.

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

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 Sections R986-100-123 through R986-100-135.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-652 Eligible Training Provider List

(1) To be included on the Utah Eligible Training Provider List (ETPL), a training provider must apply for a specific program or programs, and be found eligible by the Department.

(2) The following training providers may apply to be included in the ETPL:

(a) a postsecondary institution;

(b) an apprenticeship program;

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

(3) Training provider requirements. A training provider seeking initial eligibility must:

(a) have been in business as a training provider and have provided training to students for at least two years;

(b) have less than a 31% federal loan default rate over the past three reported years, or have a plan to reduce the rate under 31%;

(c)(i) be registered with the Utah Division of Consumer Protection as a Postsecondary Proprietary School; or

(ii) be registered as an exempt as a Postsecondary Proprietary School, unless the provider is:

(A) governed by an accrediting body that oversees program instruction;

(B) a basic education provider, or is a school directly supported, to a substantial degree, with funds provided by the state, a local school district, or any other Utah governmental subdivision; and

(d) able to train students without relying on contractors or subcontractors.

(4) A training provider must apply for eligibility for each training program the provider wishes to have included on the ETPL.

(5) A training program is one or more courses or classes, or a structured regimen that leads to:

(a) an industry recognized postsecondary credential;

(b) employment;

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

(6) A training program 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) has a mechanism for student interaction with an instructor; and

(iii) requires students to take periodic tests.

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

(7) A training program shall submit performance data including data from at least one training class that has completed or graduated from the program and the students have been tracked for at least three 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) An out of state training provider that does not have a training location in Utah may apply to be on the Utah ETPL only if the provider maintains provider and program eligibility on the ETPL in the state where the provider's 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 before the training program being found eligible.

(11) When applying and while on the ETPL, a training provider must agree to abide by the training provider Terms and Conditions Agreement.

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

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

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

(d) 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) 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), 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 this section, 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. In 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 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.

(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 90% or more of the value of a training provider.

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

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

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

(1) An application for ETPL shall contain the following information about the training provider:

(a) provider name;

(b) main location address;

(d) website, if applicable;

(e) description of programs or specialties offered and accreditation;

(f) contact name;

(g) contact email; and

(h) contact phone number.

(2) A training provider shall submit the following documentation with the provider's application:

(a) if the provider is not a governmental entity or basic education provider, certification from the Utah Division of Consumer Protection registering the provider as a Postsecondary Proprietary School, or exemption documentation from the Utah Division of Consumer Protection registering the provider exempt as a Postsecondary Proprietary School; and

(b) if registered exempt by the Utah Division of Consumer Protection, documentation of accreditation by a licensing agency that oversees program instruction; and

(i) refund policy;

(ii) equal opportunity policy; and

(iii) a grievance procedure that includes the process for customers to file equal opportunity and discrimination complaints; and

(d) provider's bank account or mailing information to the Utah Finance Division to be set up to receive payment.

(3) A training provider shall submit the following information for each program for which the provider is seeking eligibility:

(a) Classification of Instructional Programs (CIP) code;

(b) name of the program;

(d) length of program;

(e) pre-requisites;

(f) cost, including tuition and fees;

(g) description of the program;

(h) whether or not the program is done in person, online, or a combination of both;

(i) recognized postsecondary credential awarded upon completion, if applicable;

(j) a list of all contractors or subcontractors used for any aspect of the program;

(k) information concerning whether the provider is in partnership with a business for the program of study;

(l) in-demand industry sector and occupations the program of study leads to; and

(m) aggregate performance data for every graduating class in the last full school year for every student.

(4) 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 Section R986-600-659.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code R986-600-654 Registered Apprenticeships

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

(2) A registered apprenticeship program sponsor must request to be included on the ETPL verbally, through email, or hard copy.

(3) A registered apprenticeship program sponsor must submit information on the sponsor, program, and training provider. A registered apprenticeship program sponsor is not required to submit performance standards.

(4) Any registered apprenticeship program sponsor 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, the program will be removed from the ETPL.

(6) A registered apprenticeship program sponsor included on the ETPL will be reviewed every two years.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

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

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

(2) A training provider shall renew eligibility annually or more often as instructed by the Department.

(3) If a training provider already on the ETPL 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 Section R986-600-653 changes, the provider must notify the Department.

(5) To remain eligible for the ETPL, a training provider shall 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) request any unpaid tuition payments from the Department within 90 days of the student completing or withdrawing from the training;

(i) if such a request is made after 90 days, the Department is not responsible to issue payment;

(ii) the Department does not guarantee any payment, as payments are negotiated between the student and the Department;

(d) 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 any 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 any Department audits and requests for information, including unscheduled or unannounced site visits;

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

(k) follow 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, and cooperate with Department unscheduled or unannounced site visits due to complaint allegations from Department-approved students;

(m) not restrict or attempt to restrict Department-approved students from communicating their training experience with Department staff or through any platform including online, written, or verbal;

(n) notify the Department within 10 days of any change to the services the training provider is providing, including:

(i) 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; and

(ii) changes in the identity or status of contractors or subcontractors being used;

(o) notify the Department within 30 days of any changes in ownership, management, or control of the training provider, and changes to the location where a course or program is being offered or held;

(p) ensure all physical facilities, equipment, materials, and staff necessary for operation as a school are adequate and are compliant with applicable laws, including the Americans with Disabilities Act and related authorities;

(q) abide by the Department's Equal Opportunity Clause and the equal opportunity and nondiscrimination requirements of the Workforce Innovation and Opportunity Act, including allowing yearly Equal Opportunity monitoring by the Department;

(r) post the Department's Equal Opportunity Notice;

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

(t) provide Department-approved students with progress and attendance reports upon request;

(u) comply with applicable consumer protection laws, including Title 13, Chapter 34, the Utah Postsecondary Proprietary School Act, and Title 13, Chapter 34a, the Utah Postsecondary School State Authorization Act;

(v) remain in good standing with the Division of Consumer Protection;

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

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

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

(z) not report any false or inaccurate information to the Department; and

(aa) abide by the training provider Terms and Conditions Agreement.

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

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

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

(1) A training provider must certify that all the information previously provided for each program for which they are seeking continued eligibility is current and correct, or update program information for each program, including:

(a) changes in the availability of the programs being offered; and

(b) changes in the cost of attendance, including changes to tuition, fees, or any other costs imposed by the training provider.

(2) As part of continued eligibility a provider must submit performance data by program according to the deadlines set by the Department, including aggregate data for any student participating in or attending ETPL-approved programs.

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

(4) A program that does not meet the minimum standards or provide the required information by the renewal date will be removed from the ETPL. If a provider cannot 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) The Department will notify the training provider of the decision on continued eligibility. If an application is denied, the notification will include information on the appeals process as described in Section R986-600-659.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

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

(1) A training provider shall 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 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 any provision of Title I of WIOA or its implementing regulations, including Equal Opportunity (EO) regulations, the training provider and its programs will be removed from the ETPL. The Department may also do an onsite visit to ensure compliance with WIOA and EO regulations. Onsite visits may be unscheduled or unannounced. Removal from the ETPL under this subsection shall be for a period of at least two years.

(3) If after an onsite visit due to a complaint, any allegation such as insufficient trainers to train or monitor training activities, lack of necessary materials or equipment necessary to train, or training delays as a result of insufficient trainers or lack of necessary materials or equipment is substantiated, the Department will remove the provider or program from the ETPL.

(4) 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.

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

(6) If a training provider or program fails to comply with this rule, or if a complaint is substantiated, the Department may:

(a) remove the training provider or program from the ETPL for a set, 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 this rule and any rehabilitative measures established by the Department; or

(7) Any removal from the ETPL under this rule applies to the training provider or program that is removed as well as any successor training provider or program.

(8) A training provider that receives Department funds during any period of noncompliance with this rule 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), the Department may, in its discretion, suspend or waive all or part of an overpayment.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

Utah Admin. Code 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 under Title 63G, Chapter 4, the Utah Administrative Procedures Act.

(3) Appeal hearings shall be conducted according to the procedures set forth in Sections R986-100-123 through R986- 100-138, 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 Section R986-100-135.

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

(6) All parties to an appeal 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.

History

KEY: SNAP, WIOA, Workforce Innovation and Opportunity Act
Date of Last Change: January 24, 2023
Notice of Continuation: August 11, 2025
Authorizing, and Implemented or Interpreted Law: 35A-5

R986-700 Child Care Assistance

Utah Admin. Code R986-700-701 Authority for Child Care Assistance and Other Applicable Rules

(1) The Department administers CC pursuant to the authority granted in Section 35A-3-310.

(2) Rule R986-100 applies to CC except as noted in this rule.

(3) Rule R986-200 applies to CC except as noted in this rule or where in conflict with this rule.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-701 1. Definitions

(1) The terms used in this rule are defined in Sections 35A-3-102 and 35A-3-201, and in Sections R986-100-103 and R986-100-104.

(2) In addition:

(a) "ADH" means administrative disqualification hearing.

(b) "Applicant" means a person requesting CC.

(d) "CC" means child care assistance.

(e) "CCDF" means Child Care and Development Fund.

(f) "CCQS" means Child Care Quality System, a comprehensive statewide system administered by OCC that provides quality ratings to eligible programs and supports programs in attaining higher levels of quality.

(g) "CCRA" means Child Care Resource Agency, one of several statewide organizations contracted with the Department to provide resources and information to Providers.

(h) "Certification period" as it relates to a recipient of CC is the period for which CC is presumptively approved.

(i) "Client" means an applicant for, or recipient of, CC.

(j) "Child" includes the singular and the plural, child or children.

(k) "Child Care Provider" or "Provider" means a person, individual or corporation, institution, or organization that provides child care services.

(l) "Citation" is a notice issued by OL for serious or repeat noncompliance.

(m) "DHHS" means the Department of Health and Human Services.

(n) "Employment" means a job or providing a service that pays wages, a salary, in-kind benefits, or self-employment income, provided federal or state law does not prohibit the occupation.

(o) "ES CC" means Employment Support Child Care assistance.

(p) "ESG" means Enhanced Subsidy Grant. An ESG is a monthly payment issued to an eligible program serving children covered by CC subsidies and achieving a rating of CCQS High Quality.

(q) "FEP CC" means Family Employment Program Child Care assistance.

(r) "FFN provider" means Family, Friend, and Neighbor provider.

(s) "GED" means General Education Development diploma.

(t) "Licensed-center provider" means a non-hourly, licensed child care center that is regulated through OL.

(u) "Locked-in benefit" means the amount of the first full month of benefits paid on behalf of a client.

(v) "OCC" means Department of Workforce Services, Office of Child Care.

(w) "OL" means the Department of Health and Human Services, Office of Licensing.

(x) "Parent" includes a natural, adoptive, or step parent.

(y) "Recipient" means an individual receiving CC.

(z) "Review or recertification" means the process to determine continued eligibility.

(aa) "Transitional CC" means CC available to a customer whose FEP case closed because of increased income and who meets ES CC eligibility requirements.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-702 General Provisions

(1)(a) CC is provided to support employment for a qualified household with at least one minor dependent child who is a United States citizen or who meets qualified alien status.

(b) CC for approved education and training activities, job search, or for an approved temporary change as defined in Section R986-700-703 may be authorized in accordance with this rule.

(2) CC is available, as funding permits, to a client who is employed or is participating in activities that lead to employment, and is:

(a) a parent, including a foster care parent who receives foster care reimbursement from the Utah Department of Health and Human Services, Division of Child and Family Services, or its successor;

(b) a specified relative;

(c) a client who has been awarded custody or appointed guardian of the child by court order and both parents are absent from the home; or

(d) as determined by the Department on a case-by-case basis, a client acting as a child's guardian although no court order exists and both parents are absent from the home.

(3)(a) Except for FEP CC and transitional CC, household eligibility is determined for a minimum period of 12 months.

(b) The eligibility period and eligibility review may be extended to no more than 12 months, but may not be shortened to less than 12 months.

(d) The application or review is not complete until the client has completed, signed, and returned each necessary application or review form to the local office or through the Department's online portal. The customer must meet all factors of eligibility on the date the application or review is approved.

(e) If the Department determines the household's gross monthly income exceeds the percentage of the state median income as determined by the Department under Subsection R986-700-710(4), the Department may terminate CC even if the certification period has not expired.

(4) The client shall report the need for each child at the time of the application or review.

(a) After the initial approval, the client must file a new application for assistance reporting the need for additional children who were not included in the CC program filing unit at the time of the initial application.

(b) If a client is eligible to receive CC, each of the following children, living in the household unit, are eligible at the time of application or review:

(i) a child under the age of 13 years; and

(ii) a child up to the age of 18 years if the child is under court supervision or meets the requirements of Section R986- 700-717.

(5)(a) CC is provided only for a child who lives in the home of the client and only during hours when no parent or other guardian is available to provide care for the child.

(b) The child must have a need for at least eight hours of child care per month to be eligible for ongoing subsidy payments.

(6) When a request is made for an additional child to be added to an open CC case, a new application is required. The household must meet all eligibility requirements that the household was subject to at the time of the most recent approval. The eligible child may be added for a minimum of 365 days or 12 full months of benefits and the review for the household may be extended, as follows.

(a) If parent participation does not change, the additional child shall be added to the existing locked-in benefit at its current amount and the review will be extended for a minimum of 12 full months from the first full month of the new child's participation.

(b) If parent participation decreases, but continues to meet the minimum work requirement, the new child will be added to the existing locked-in benefit at its current amount and the review will be extended for a minimum of 12 full months from the first full month of the new child's participation.

(c) If adding a child increases the benefit, specifically a decrease in co-pay or increased hours, the household benefit will increase for the next 12 months from the first full month of the new child's participation.

(7) When requesting to add a child to an open case, CC will be denied for the additional child if the household does not meet all eligibility requirements to which the household was subject at the time of the most recent approval. The remaining children who were determined to be eligible will remain eligible through the end of the current review period.

(8)(a) The child care needs of a client who qualifies for CC will be paid if and as funding is available.

(b) When the child care needs of an eligible applicant exceeds available funding, the applicant will be placed on a waiting list.

(i) Eligible applicants on the waiting list will be served as funding becomes available.

(ii) Special needs children, homeless children, and FEP or FEPTP eligible children will be prioritized at the top of the waiting list and will be served first.

(iii) "Special needs child" is defined in Section R986-700-717.

(9)(a) CC is issued monthly based on a client's eligibility for services in that month.

(b) The amount of CC might not cover the entire cost of care.

(10)(a) A client is only eligible for CC if the client has no other options available for child care.

(b) Clients are encouraged to obtain child care at no cost from a parent, sibling, relative, or other suitable provider.

(11)(a) CC may only be provided by an eligible provider approved by the Department and will not be provided for illegal or unsafe child care.

(b) Illegal child care is care provided by a person or facility required to be licensed or certified but where the provider has not fulfilled the requirements necessary to obtain the license or certification.

(12)(a) CC will not be paid for the care of a client's own child during the time the client is working as a caregiver in the same residential setting where care is being provided.

(b) CC will not be approved where the client is working for an approved child care center and regularly watches the client's own children at the center or has an ownership interest in the child care center.

(c) CC will not be paid for the care of a client's own child if the client is also the licensee or is a stockholder, officer, partner, manager, or member of a corporation, partnership, limited liability partnership or company, or similar legal entity providing the child care.

(d)(i) A person who is self-employed as a child care provider cannot receive CC for child care provided for that person's children during the time the person is working as a child care provider, regardless of where the person's child receives child care.

(ii) A person who is self-employed as a child care provider may receive CC when needed for approved activities while the person is not engaged in child care.

(13) Neither the Department nor the state is liable for an injury that may occur when a child is placed in child care even if the parent receives CC from the Department.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-703 Client Rights and Responsibilities

In addition to the client rights and responsibilities found in Rule R986-100, the rights and responsibilities listed in this section apply.

(1) A client may select the type of child care that best meets the family's needs, including reporting the client's choice of provider to the Department and start date of care, if known. If no start date is reported or a discrepancy in start dates exists, the Department may use the start date verified with the client's chosen provider.

(2) If a client requests help in selecting a provider, the Department will refer the client to the local CCRA.

(3)(a) A client must verify identity.

(b)(i) A client is not required to provide a Social Security Number.

(A) The Department will verify a Social Security Number supplied by a client.

(B) The Department will request further verification to confirm an individual's identity if a Social Security Number cannot be verified.

(ii) Benefits will not be denied or withheld if a client chooses not to provide a Social Security Number if the client is otherwise eligible.

(4) A client is responsible for monitoring the child care provider.

(5)(a) A client is responsible to pay all costs of care charged by the provider.

(b) If the CC payment provided by the Department is less than the amount charged by the provider, the client is responsible for paying the provider the difference.

(6) Within ten days of occurrence, a client shall report any of the changes listed in this subsection.

(a) The household's gross monthly income exceeds the percentage of the state median income as determined by the Department in Subsection R986-700-710(4).

(b) The client no longer needs child care.

(d) A child receiving child care:

(i) moves out of the home; or

(ii) has stopped attending child care.

(e) A change in the child care provider, including when care is provided at no cost.

(f) Employment or other Department-approved activity has ended.

(7) Allowable temporary changes.

(a) The following are allowable temporary changes:

(i) time-limited absences from work due to medical or other emergency, including maternity leave, bed rest, or temporary medical issues of the client or an immediate family member living in the client's home if the client is responsible for the immediate family member's care;

(ii) temporary fluctuations in earnings or hours, including summer break for teachers or seasonal hours changes for IRS employees, that would otherwise have the effect of causing the client to fail to meet the minimum work requirements for eligibility;

(iii) scheduled holidays or breaks in a client's educational training schedule; and

(iv) an eligible child turning 13 years old during an eligibility review period, unless the child no longer has a need for child care.

(b) A client who experiences an allowable temporary change after having been approved for ongoing ES CC may continue to receive CC at the same level for the rest of the certification period if the child attends child care at least eight hours each month.

(8)(a) Once an eligibility determination is made and a full month's payment and copayment is assessed, benefits will be paid at the same level during the rest of the certification period if the client remains eligible and participates in employment or an allowable, Department-approved activity.

(b) The Department may act on reported changes that result in a participation increase or copayment decrease.

(c) Benefits may be reduced if a child care provider reports a lower monthly charge or the client changes to a different child care provider.

(9)(a) If an overpayment is established and it is determined that the client was at fault in the creation of the overpayment, the client must repay the overpayment to the Department.

(b) The Department may find that the client and provider are jointly liable for the overpayment.

(d) The client ' s case may be closed before the certification period ends if the client is:

(i) not eligible;

(ii) not experiencing an allowable temporary change; or

(iii) no longer participating in employment or an allowable, Department-approved activity.

(10) The Department may release the following information to the designated provider:

(a) limited information regarding the status of a CC payment including that no payment was issued or services were denied;

(b) the date the CC payment was issued;

(d) the copayment amount;

(e) information available in the Department Provider Portal;

(f) the month the client is scheduled for review;

(g) the date the client's application was received; and

(h) general information about what additional information or verification is needed to approve CC including the client's work schedule and income.

(11)(a) If a client changes providers, the change will be made based upon reporting requirements for the following month's subsidy payment.

(b) No additional payment will be made to another provider for any days remaining in the current benefit month, unless the maximum subsidy payment amount for the month will not be exceeded by paying the second provider or if one of the exceptions listed in this subsection applies.

(i) The Department was notified of the change in the month before the change.

(ii) The initial provider is no longer an approved provider or has been disqualified by the Department.

(iii) The initial provider is not holding the child's space for the rest of the month.

(iv) The client relocates to a different residence and it is no longer reasonably feasible to continue using the initial provider due to travel time or distance.

(v) There is a substantial change in the days or times of day when child care is needed, including a change in the timing of the shifts the client is working, that cannot be accommodated by the initial provider.

(vi)(A) The Department determines a change in child care providers is necessary due to a report of endangerment for the child.

(B) The Department may, in its discretion, approve payment to a second provider due to a report of endangerment even if the maximum subsidy payment amount would be exceeded.

(vii) The Department determines a change in child care providers is necessary due to circumstances related to a pandemic, natural disaster, or other state of emergency.

(12) A client may select an authorized representative.

(a) An authorized representative is an individual selected by a client to conduct business on the client's behalf.

(b) An authorized representative may provide verifications and complete forms for the client.

(c) A client's child care provider may act as an authorized representative for the client after the client has been informed of the provider's potential conflict of interest.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-704 Establishment of Paternity

The sections of Rules R986-100 and R986-200 pertaining to cooperation with ORS in the establishment of paternity and collection of child support do not apply to ES CC.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-707 Copayment

(1) "Copayment" means a dollar amount which is deducted by the Department from the standard CC subsidy for ES CC. The copayment is determined on a sliding scale and the amount of the copayment is based on the parent's countable earned and unearned income and household size.

(2) The parent is responsible for paying the amount of the copayment directly to the child care provider.

(3) If the copayment exceeds the cost of child care, the family is not eligible for CC.

(4) The Department will deduct the full monthly copayment from the subsidy even if the client receives CC for only part of the month.

(5) The following clients are not subject to the copayment requirement:

(a) clients at or below 100% of the poverty level;

(b) clients receiving transitional CC and FEP CC as provided in Section R986-700-708; or

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-707 1. Initial Registration Fee Assistance

(1) The Department may pay an initial registration fee per child to an approved provider.

(2) A provider must indicate on the Care About Childcare website that the provider charges an initial registration fee per child. If the indicator is marked, the provider must enter the amount of the initial registration fee per child.

(3)(a) An initial registration fee may be paid up to the allowed amount for the provider type. The allowable amount is a set amount determined by the Department.

(b) The fee paid by the Department may not cover the full initial registration charge.

(c) If a client has already paid an initial registration fee, the provider will be expected to reimburse the parent for any portion of the fee paid by the Department.

(4) The Department will only pay for one initial registration fee per child within a 12-month period.

(5) Annual registration fees are not covered.

(6) Initial registration fees will not be paid retroactively or before the date stated on the Care About Childcare website.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-708 Family Employment Program Child Care and Transitional Child Care

(1) FEP CC may be provided to clients receiving financial assistance from FEP or FEPTP. FEP CC will only be provided to cover the hours a client needs child care to support the activities required by the employment plan.

(2) Transitional child care is available during the six months immediately following a FEP or FEPTP termination if the termination was due to increased earned income and the household meets the work requirement and income rules for ES CC.

(3) Clients receiving transitional child care are not subject to the copayment requirement.

(a) The copayment will resume in the seventh month after the termination of FEP or FEPTP.

(b) The six-month time limit is the same regardless of whether the client receives TCA or not.

(4) A client does not need to fill out a new application for child care during the six-month transitional period even if there is a gap in services during those six months.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-709 Employment Support Child Care Assistance

(1) Parents who are not eligible for FEP CC may be eligible for ES CC.

(2) ES CC is available in the following circumstances:

(a) In a single-parent household, the single parent must be the custodial parent of the eligible child and must be:

(i) employed an average of at least 15 hours per week;

(ii) employed to the single parent's full capacity if the single parent has a disability that has been verified and confirmed by the Department;

(iii) enrolled and participating in either an in-person, formal course of study or online courses with a set class schedule to obtain a high school diploma or GED;

(iv) employed an average of at least 15 hours per week and participating in education and training activities as defined in Section R986-700-711; or

(v) enrolled in a WIOA or TANF non-FEP funded training or educational program approved by the Department.

(b) Two-parent households.

(i) In a two-parent household, the parents must be:

(A) employed, with one parent employed an average of at least 30 hours per week and the second parent employed an average of at least 15 hours per week;

(B) employed to both parents' full capacities if one or both parents has a disability that has been verified and confirmed by the Department;

(C) employed, with one parent employed an average of at least 30 hours per week and the second parent employed an average of at least 15 hours per week and participating in education and training activities as defined in Section R986-700-711;

(D) enrolled and participating in an in-person, formal course of study or online courses with a set class schedule to obtain a high school diploma or GED; or

(E) enrolled in a WIOA or TANF non-FEP funded training or educational program approved by the Department.

(ii)(A) The Department shall authorize ES CC to two-parent households only when neither the parents' work schedules nor course schedules can be changed to provide care for the parents' child.

(B) The Department may authorize ES CC when both parents are enrolled and participating in a formal course of study to obtain a high school diploma or GED.

(C) The Department may authorize ES CC when one parent is working and the second parent is participating in the formal course of study to obtain a high school diploma or GED.

(D) The Department may authorize ES CC when both parents are enrolled and participating in approved WIOA or TANF non-FEP funded training or education.

(E) The Department may authorize ES CC when one parent is working and the second parent is participating in approved WIOA or TANF non-FEP funded training or education.

(i) Self-employed parents may receive ES CC if they meet the minimum work requirements and earn wages or profit from self-employment at a rate equal to at least minimum wage, calculated by dividing the wage or profit earned through self- employment by the number of hours worked in the timeframe used to determine eligibility.

(ii) A self-employed parent shall submit business records for the most recent three-month period of self-employment to establish that the self-employed parent is earning at least minimum wage.

(iii) An exception to the requirement that a self-employed parent earn at least minimum wage may apply if the self- employed parent has a barrier to other types of employment.

(3) ES CC shall be provided to cover the hours the parent needs child care for employment or approved educational or training activities.

(4) Disability.

(a) A household may verify a disability under this section by establishing:

(i) the disabled parent has an inability to earn a minimum of $500 per month;

(ii) the disabled parent has a temporary physical, emotional, or mental incapacity expected to last 30 days or longer that has been verified by the household by submitting the following, and the incapacity is confirmed by the Department:

(A) evidence that the disabled parent receives disability benefits from SSA if it proves the incapacity prevents the parent from providing care for the parent's child;

(B) a determination by VA that the parent is 100% disabled if it proves the incapacity prevents the parent from providing care for the parent's child; or

(I) medical doctor;

(II) doctor of osteopathy;

(III) mental health therapist as defined in Section 58-60-102;

(IV) advanced practice registered nurse; or

(V) physician assistant; and

(iii) in a two-parent household, the disabled parent cannot provide care for the child while the other parent is employed.

(b) A parent who is employed and earning more than $500 per month or participating in educational or training activities will not be considered disabled under this section unless the Department confirms the disability.

(5) As used in this section the term "employment" does not include:

(a) AmeriCorps* Vista, Job Corps and other similar training activities; or

(b) Work Study activities.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-710 Household Assistance Unit, Income, and Asset Limits for Employment Support Child Care

(1) For the purposes of this section, "common facilities" means essential household utilities including water, electricity, heating, and other utilities, or parts of a physical structure including kitchen, restroom, and other portions of a residential building shared by a household or group of individuals.

(2)(a) Except as provided in this section, Rule R986-200 is used to determine who must be included as part of the household assistance unit to determine income that must be counted to establish the household's eligibility.

(i) Determining household composition for an ES CC household may be different from determining household composition for a FEP or FEPTP household.

(ii) Employment Support CC follows the parent and the child. If a parent in the household is ineligible for ES CC, the entire household assistance unit is ineligible.

(3) Household Assistance Unit.

(a) An eligible child and one or more of the following residing in the same structure with common facilities is considered a household assistance unit:

(i) a parent;

(ii) specified relative;

(iii) unrelated adults with a child in common; or

(iv) unrelated adult with legal custody of a child.

(b) Any person living on the same property or at the same address and sharing common facilities with other individuals is part of a household assistance unit, even if the person lives in a separate structure, unless:

(i) a court has entered an order requiring a nesting or transition agreement under which the child remains in the home and the parents rotate in and out of the home; and

(ii) a second verifiable address is provided for one of the parents.

(c) An absent parent or provider is part of the household assistance unit if the Department determines that the individual does not have a separate verifiable address, or lives in a structure without common facilities separate from the household.

(d) Notwithstanding Subsection R986-700-710(3)(a), a parent under the age of 18 with an eligible child is a household assistance unit, even if the parent under the age of 18 lives with a parent or guardian and shares common facilities.

(e) A specified relative may not opt out of the household assistance unit when determining eligibility for CC.

(f) Recipients of SSI benefits are included in the household assistance unit.

(g) Foster care parents, their children and foster care children may not opt out of the household assistance unit when determining eligibility for CC.

(4) Countable Income.

(a)(i) If both parents are living in the household, the income of both parents is counted.

(ii) If only one parent lives in the household, only the income of that parent is counted as income.

(b) The income of each specified relative in the household must be counted.

(d)(i) Child support is counted as unearned income of the child, even if it exceeds the amount ordered by a court or ORS, if the payment is made directly to a parent or member of the household.

(ii) If a child support payment is paid to a third party, only the amount up to the court or ORS ordered child support amount is counted.

(e)(i) If a non-applicant parent pays a portion of the child care costs directly to the applicant parent, that amount is counted as income.

(ii) If the non-applicant parent pays the child care provider directly, that amount will be deducted from the amount the provider reports to the Department as the charge for the child.

(e) SSI benefits paid to an SSI recipient are not countable income.

(f) The earned income of a child who is not a parent is not counted.

(g) An independent living grant paid by DHHS to a minor parent is not counted as income.

(5) Income deductions allowed on a monthly basis.

(a) The first $50 of child support received by the family.

(b) Court ordered and verified child support and alimony paid out by the household.

(d)(i) $100 automatic medical deduction.

(ii) The medical deduction does not require proof of expenditure.

(6)(a) The household assistance unit must meet the CCDF asset limit.

(b) The household's countable income, less applicable deductions in this section, must be at, or below, a percentage of the state median income as determined by the Department.

(d) The state median income used to determine eligibility and copayment amounts are available on the Department's website.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-711 Employment Support Child Care Assistance to Support Education and Training Activities

(1) ES CC may be provided when the client is engaged in education or training and employment, provided the client meets the work requirements under Section R986-700-709.

(2) The work requirement may be waived as provided in Subsection R986-700-709(2)(a)(iii), R986-700-709(2)(a)(v), or R986-700-709(2)(b)(i)(C) for a client who is unemployed and is enrolled in a formal course of study to obtain a high school diploma or GED.

(a) The 24-calendar month time limit in Subsection R986-700-711(4) does not apply to high school or GED completion.

(b) The client must provide verification of satisfactory progress to receive continued ES CC beyond 12 months.

(3) The education or training is limited to courses approved by the Department that directly relate to improving the parent's employment skills.

(4) ES CC will only be paid to support education or training activities for a total of 24 calendar months.

(a) The months do not need to be consecutive.

(b) On a case-by-case basis, and for a reasonable length of time, months do not count toward the 24-month time limit when the client is meeting the work requirements of Section R986-700-709 and is enrolled in a formal course of study for any of the following:

(i) obtaining a high school diploma or GED;

(ii) adult basic education; or

(iii) learning English as a second language.

(c) Months during which the client received FEP CC while receiving education and training do not count toward the 24-month time limit.

(d)(i) CC is not ordinarily used to support short-term workshops unless they are required or encouraged by the employer.

(ii) If a short-term workshop is required or encouraged by the employer, and approved by the Department, months during which the client receives child care to attend such a workshop do not count toward the 24-month time limit.

(5) Education or training can only be approved if the client can realistically complete the course of study within 24 months and demonstrates progress in the program.

(6) Any CC payment to cover training participation hours made for a calendar month, or a partial calendar month, counts as one month toward the 24-month limit.

(7) Except as provided in Section R986-700-711, there are no exceptions to the 24-month time limit, and no extensions may be granted.

(8) Only the last two years of a four-year program may be supported.

(9) CC is not allowed to support education or training if the client already has a bachelor's degree.

(10) CC cannot be approved for graduate study or obtaining a teaching certificate if the client already has a bachelor's degree.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-712 Child Care Assistance for Certain Homeless Families

(1) CC can be provided for homeless families with one or two parents when the family meets the following criteria:

(a)(i) The family must present a referral for CC from an agency known by the local office to be an agency that works with homeless families, including shelters for abused women and children.

(ii) This referral will serve as proof of the family's homeless state.

(iii) Local offices will provide a list of recognized homeless agencies in the local office area.

(b) The family must meet ES CC relationship and income eligibility criteria, but the minimum work requirements are waived.

(2) CC for homeless families is provided for up to 12 months.

(3) Qualifying families may use CC for any activity including employment, job search, training, shelter search, or working through a crisis situation.

(4) If the family is eligible for a different type of CC, the family will be paid under the other type of CC.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-713 Amount of Child Care Assistance

CC will be paid at the lower of the following levels.

(1) The maximum monthly local market rate as calculated using the Local Market Survey.

(2) The rate established by the provider for services and reported in the Care About Childcare web application or to the Department, provided that CC cannot pay more for services than is charged to the public for the same service.

(3)(i) The unit cost multiplied by the number of hours approved by the Department.

(ii) The unit cost is determined by dividing the maximum monthly local market rate by 137.6 hours.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-714 Child Care Assistance Payment Method

(1)(a) The provider must provide a valid financial account and routing number to allow for payment by direct deposit.

(b) For open, ongoing cases, payment will be issued on the first day of the month for services to be provided during that month.

(c) The provider is not an employee of the Department, the Office of Child Care, or the state even if the provider is only providing care for one client.

(2)(a) Under unusual or extraordinary circumstances, the Department may issue payment by check.

(b) If a provider cannot obtain a financial account for direct deposit, the provider must contact the Department and explain why direct deposit is not possible.

(3)(a) If a check is reported as lost or stolen, the provider shall sign a statement that they have not received funds from the original check before a replacement check can be issued.

(b) The check must be reported as lost or stolen within 60 days of the date the check was mailed. The statement must be signed on an approved Department form.

(c) If the original check has been redeemed, the Department will conduct an investigation and the provider may be required to provide a sworn, notarized statement that the signature on the endorsed check is a forgery.

(d) If the Department determines the redeemed check was a forgery, the Department may require a waiting period before issuing a replacement check.

(4) The Department may stop payment on a CC check without prior notice if:

(a) the Department has determined that the client or the provider was not eligible for the CC payment, the Department has confirmed with the provider that no services were provided for the month in question or the provider cannot be located, and the Department has made an attempt to contact the provider;

(b) when the check has been outstanding for at least 90 days; or

(5) No stop payment will be issued by the Department without prior notice to the provider unless the provider is not providing services or cannot be contacted.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-716 Child Care Assistance in Unusual Circumstances

(1)(a) ES CC may be authorized to support clients in education or training activities and study time, or for time between classes if the parent has classes scheduled in such a way that it is not feasible or practical to pick up the child between classes.

(b) The Department will only approve ES CC for study time hours up to the same number of hours the client is enrolled in approved classes, except as authorized in Subsection (1)(a).

(c) For customers enrolled in a WIOA or TANF FEP funded programs, the Department may authorize additional CC than would be approved under Subsection (1)(b).

(d) The Department may authorize ES CC for approved class activities away from home.

(2)(a) ES CC may be authorized to support employment for clients who work graveyard shifts and need child care services during the day for sleep time.

(b) If no other child care options are available, child care services may be authorized for the graveyard shift or during the day, but not for both.

(3)(a) ES CC may be authorized to support telework or self-employment, except as otherwise provided by rule, for clients who work at home if the client makes at least minimum wage from the at-home work and the client has a need for child care services.

(b) The client must choose a provider setting outside the home, unless a child in the home has special needs and has been approved for special needs child care as defined in Section R986-700-717.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-717 Child Care Assistance for Children With Special Child Care Needs

(1) The Department will fund CC for children with special child care needs at a higher rate if the child has a physical, social, or mental condition or special health care need that requires:

(a) outside of age-appropriate abilities:

(i) assistance with basic movements, including standing, sitting, moving up or down stairs, or walking;

(ii) assistance with toileting;

(iii) assistance with eating or drinking; or

(iv) assistance due to limited vision or hearing, including being blind, deaf, or nonverbal;

(b) use of a feeding tube;

(d) use of special medical equipment while in child care;

(e) intensive supervision, which requires additional staff or specialized training; or

(f) any other condition that substantially limits one or more major life activities of the child.

(2) To be eligible under this section, the client must submit a written statement from one of the following documenting the child's disability and special child care needs:

(a) Social Security Administration showing that the child is an SSI recipient, along with additional supporting documentation of the child's special needs;

(b) Division of Services for People with Disabilities;

(d) Baby Watch, Early Intervention Program; or

(e) by submitting a written statement from:

(i) a licensed medical physician;

(ii) a licensed advanced practice registered nurse;

(iii) a licensed physician's assistant;

(iv) a licensed or certified psychologist; or

(v) a mental health professional.

(3) Verification to support that the child is disabled and has a special need must be dated and signed by the preparer and include the following:

(a) the child's name;

(b) a description of the child's disability;

(d) the special provisions that justify a higher payment rate.

(4) The Department may require additional information and may deny requests if adequate or complete information or justification is not provided.

(5) The higher rate is available through the month the child turns 18 years of age.

(6) A client qualifies for CC under this section if the household is at or below 85% of the state median income.

(7) The higher rate in effect for each CC category is available on the Department's website.

(8) The Department shall review the client's eligibility for special needs child care.

(a) Except as provided in S ubsection (b), the client must submit an updated verification every 12 months or at the next review, whichever is later.

(b) If the child has a permanent disability requiring special child care accommodations, only one special needs verification is required.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-720 Provider General Provisions

(1) The Department will only pay CC to a client who selects an eligible provider who:

(a) is providing care in an eligible setting; and

(b) has approved provider status.

(2) In addition to the requirements in this section, an eligible provider must meet all CCDF requirements.

(3) CC is only available for care provided in the state.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-721 Eligible Provider

A provider may only be eligible if the provider is:

(1) a provider regulated through OL including a licensed:

(a) home provider;

(b) child care center, including an out-of-school time program and excluding an hourly center;

(d) home with a residential certificate; or

(2) a license exempt center, school-age program, or home provider which is not required by law to be licensed and is either;

(a) a license exempt center or school-age program as defined in Section R430-8-3, that has a current letter of exempt status from OL identifying the provider as Department-Approved; or

(b) a Department FFN provider as approved by OL.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-722 Ineligible Provider

(1) A provider is not eligible for any CC payment if the provider is:

(a) an undocumented alien; or

(b) under age 18.

(2) A provider who has been disqualified pursuant to Sections R986-700-733 and R986-700-734 is not eligible for any CC payment. The disqualification will remain in effect until the disqualification period has run, any related overpayment has been satisfied, and the provider is otherwise eligible.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-723 Ineligible Provider Setting

(1) A provider is not eligible to receive a CC payment for a particular client if the provider is:

(a) living in the same home as the parent client and providing child care in the home where they live, unless the provider is caring for a child who has special needs as determined by the Department and who cannot be otherwise accommodated;

(b) a sibling of the child living in the home, even for a special needs child;

(d) providing care for the child in another state; or

(e) living in the same home as a non-custodial parent and providing child care for a child of that parent.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-724 Family, Friend, and Neighbor Provider

(1) A FFN provider must comply with all CCDF and Department requirements and will not be approved for a CC payment unless each of the following requirements have been successfully completed and verification has been provided to OL:

(a) complete, sign, and submit an application to OL;

(b) complete New Provider orientation and agree to comply with Department requirements and policy, including ongoing training, as explained in the orientation;

(d) complete an infant and child CPR training;

(e) complete first aid training; and

(f) ensure the provider and all individuals 12 years old or older living in the home where care is provided submit to and pass a background check as provided in Sections R986-700-751 through R986-700-756.

(2) A FFN provider must also comply with all Department policies including abiding by the ratio requirements.

(3)(a) FFN approval must be renewed annually.

(b) The FFN CC Provider must complete an announced inspection and show compliance with all regulations at least 30 calendar days before the expiration date of the current approval.

(4) FFN OL provider approval is for the provider and the location or locations and is not assignable or transferable.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-725 Appeals of OL Adverse Action

If a provider has any adverse action taken against it by OL, the provider's appeal shall be made to OL according to OL's procedures.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-726 Approved Provider Status

(1) If an eligible provider chooses not to comply with the following requirements, OCC will presume the provider has voluntarily chosen not to receive payment for CC clients. To obtain and retain approved provider status, an eligible provider shall comply with each of the following provisions.

(a) CCQS. A licensed-center provider must participate in the CCQS pursuant to Section R986-700-741.

(b) Care About Childcare. A provider, except a FFN provider, shall report its monthly, full-time child care rates in the Care About Childcare web application.

(i) A provider must provide verification information to the OL and the Department to determine initial and continuing eligibility, which includes submission of a completed Internal Revenue Service Form W-9.

(ii) Payment may be withheld from a provider who fails to provide verification information until verification information is provided.

(d) Provider Guide.

(i) A provider must read and agree to the terms and conditions contained in the Provider Guide. A provider that has not previously received CC payment must comply with this subsection before being approved and receiving payment.

(ii) An approved provider will be notified of any substantial change to the terms and conditions of the Provider Guide.

(iii) An approved provider will be provided at least 30 days' notice of any substantial change to the terms and conditions of the Provider Guide.

(iv) An approved provider shall agree to the terms and conditions of the Provider Guide during the subsequent provider certification period pursuant to Subsection R986-700-727(5).

(v) If an approved provider fails to agree to any changes, CC payment will be withheld pursuant to Section R986-700- 729.

(e) Certification.

(i) A provider must complete any ongoing certification in the Provider Portal, including any certification described in Subsection R986-700-727(5).

(ii) If a provider fails to complete a required certification, CC payment may be withheld pursuant to Section R986-700- 729.

(iii) If a provider fails to complete a required certification, the provider may be subject to an audit conducted by the Department.

(2) The Director of OCC may recommend disqualifying a provider pursuant to Sections R986-700-733 and R986-700- 734 if a provider:

(a) fails to provide necessary information or cooperate with a Department investigation or audit pursuant to Section R986-700-730;

(b) has an established pattern of overpayments pursuant to Section R986-700-731;

(d) demonstrates a pattern of behavior indicating an inability or unwillingness to fulfill the provider's responsibilities under Section R986-700-727.

(3) If a provider is no longer an approved provider and the provider has accrued overpayments that have not been repaid and later seeks to become an approved provider, approval will not be granted until any overpayment is paid in full.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-727 Approved Provider Responsibilities

(1)(a) The provider shall assume the responsibility to collect any copayment and any other fee for child care services.

(b) Neither the Department nor the state assumes responsibility for private payment to a provider.

(2) Time and Attendance Records.

(a) A licensed family provider or licensed center shall track attendance using an electronic system which meets Department criteria and provide these records to the Department upon request. The Department will not accept nonconforming attendance records. A provider's failure to provide acceptable attendance records shall result in the assessment of an overpayment unless the provider overcomes the presumption in Subsection (c).

(b) An accurate record of time and attendance for each CC client shall be kept for at least three years.

(c) If a provider does not produce an accurate time and attendance record for a specific CC client for a specific month, there is a rebuttable presumption that the provider did not provide child care for that CC client during that month.

(d) "Accurate record" means a record that:

(i) was made at or near the time of the event;

(ii) was made by, or from information transmitted by, someone with knowledge; and

(iii) neither the source of information nor the method or circumstances of preparation of the record indicate a lack of trustworthiness.

(3) To receive a CC payment for an eligible household, the provider must contact the Department to report the children in care and their start date in care.

(4) Provider Portal.

(a) The provider has an ongoing responsibility to access the Provider Portal located at the Department website to:

(i) submit ongoing, monthly certification;

(ii) submit and manage bank account information, including reading and agreeing to the Financial Terms and Conditions contained in the Provider Portal;

(iii) view CC payment information; and

(iv) manage Provider Portal user access to ensure only a user with authority to make changes can do so.

(b) The provider is liable for any change made and information provided through the Provider Portal.

(5) Change reporting. Except as otherwise provided, a provider shall report any of the changes listed in this subsection to the Department within ten calendar days after the changes are known to the provider.

(a) A reduced or part-time rate for an individual child in care.

(b) Any rate change or other update that occurs for each child once a rate has been submitted in the Provider Portal.

(i) Each child who attended less than eight hours of child care in the first month that a subsidy was paid and who is not expected to attend in the next month.

(ii) Each child who attended less than eight hours of child care in the first month that a subsidy was paid, and who attends or is expected to attend at least eight hours in the next month.

(iii) Each child who did not attend at least eight hours of child care in the current month and the provider determines that the child will not be returning.

(iv) If a child did not attend at least eight hours in a month and the provider cannot communicate with the parent to determine if the child will be returning to care, the provider shall report by the 25th of the month.

(v) Each child who is not expected to attend at least eight hours in the next month.

(vi) When the provider ceases to provide child care for a child.

(d) If the provider received a greater CC payment amount than what was charged to the client for the month of service.

(e) If the provider changes its financial institution account information for direct deposit.

(6) Certification.

(a) A licensed provider shall certify between the 20th of each month and the last day of the month, in a manner specified by the Department, the following:

(i) the provider has reviewed each child's attendance; and

(ii) the provider has reported any reportable change in each child's attendance, including any future change known or expected by the provider.

(b) The provider shall certify that the provider agrees to the terms and conditions specified in the most current Provider Guide.

(c)(i) If a provider fails to certify by the last day of the month, CC payment may be withheld until certification is completed pursuant to Section R986-700-729.

(ii) The Department may also increase monitoring or take other remedial action pursuant to OCC policy to ensure future compliance.

(7) A provider who is assessed an overpayment or IPV pursuant to Section R986-700-731 or R986-700-732 may be subject to increased monitoring or other remedial action pursuant to OCC policy to ensure future compliance with program rules.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-728 Appropriate use of CC

(1) CC is to support an eligible client's monthly employment and any allowed training activity and allows for temporary absences and unforeseen circumstances.

(2) A provider must provide at least eight hours of care during the initial benefit month for which a CC payment was issued to be eligible for CC payment.

(a) A provider has the burden of proof to demonstrate the provider provided care to each CC client for which it receives CC payment.

(b) Pursuant to Subsection R986-700-727(2), if a provider is not able to produce a time and attendance record for a specific CC client for a specific month, there is a rebuttable presumption that the provider did not provide child care for that CC client during that month.

(3) Inappropriate use of a CC payment.

(a) Applying the CC payment to a:

(i) copayment;

(ii) registration fee;

(iii) late fee;

(iv) field trip; or

(v) client's out of pocket expenses.

(b) Carrying forward the CC payment for future months of service.

(4)(a) An excess CC payment cannot be used to cover an outstanding balance, a copayment, a registration fee, a late fee, a field trip, or future services.

(b) If excess funds are issued for a month of service, the excess funds must be returned to the Department.

(5) A provider who receives a CC payment when the child has not attended at least eight hours in a month may be responsible for repayment of any resulting overpayment under Title 35A, Chapter 3, Part 6, Administrative Determination of Overpayment Act, and Sections R986-700-731 and R986-700-731.1, and there may be a disqualification period pursuant to Sections R986-700-733 and R986-700-734, and potential criminal prosecution under Title 76, Chapter 8, Part 12, Public Assistance Fraud.

(6) A provider who provides services for any part of a month and then terminates services with the client or for a child during the month may be required to reimburse the Department for the days when care was not provided.

(a) If it was necessary to remove the child from care because the child or others were endangered, and the incident was reported to OL or local authorities, the Department may waive repayment.

(7) The Department will issue a IRS Form 1099 annually where applicable to each eligible provider who received a CC payment during the year.

(8) A provider who applies CC funds inappropriately may be subject to an overpayment and possible disqualification pursuant to Sections R986-700-731, R986-700-733, and R986-700-734.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-729 Withholding of CC Payment

(1) Pursuant to Section R986-700-731.1, CC payment may be withheld if a provider is found to have been overpaid and:

(a) fails to repay the overpayment; or

(b) fails to enter into a repayment or recoupment plan in accordance with Department policy; or

(2) CC payment may be withheld if a provider fails to comply with each requirement of Sections R986-700-726 and R986-700-727.

(3) CC payment withheld pursuant to Section R986-700-729 will be released once the provider complies with the requirement.

(4) A provider may not charge a client for a withheld CC payment. Although the client remains eligible, the provider will not receive CC payment until the provider complies with all participation requirements as provided by Sections R986-700- 726, R986-700-727, R986-700-729, and R986-700-731.1.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-730 Audits and Investigations

(1) The Department has the right to investigate a provider and audit a provider's records.

(a) An audit or investigation may be performed by a person or entity under contract with the Department, a Department employee, or other person authorized by the Department to obtain information on behalf of the Department.

(b) A provider shall cooperate with an investigation or audit to determine ongoing client eligibility or if client eligibility was correctly determined.

(2) A client or a provider shall cooperate with any investigation or audit in a timely manner.

(a) A timely manner means ten business days for written or electronic documentation and two business days to return a phone call or email request.

(b) Cooperation means timely:

(i) providing information and verification of any record as requested by the Department;

(ii) returning a telephone call; and

(iii) responding to an email request.

(c) Cooperation with an audit includes submitting a written statement that the person chooses not to respond to an audit finding included in a draft audit report.

(3) If a client fails to cooperate with an investigation or audit without good cause, the case will be referred to the public assistance overpayments unit and the client may be found liable for an overpayment.

(4)(a) If a provider fails to cooperate with an investigation or audit without good cause, or fails to keep an accurate and complete time and attendance record for three years without good cause, CC payment may be withheld until the provider cooperates and the Director of OCC may recommend disqualifying the provider pursuant to Sections R986-700-733 and R986- 700-734.

(b) The provider will also be referred to the public assistance overpayments unit and the provider may be found liable for an overpayment.

(c) If a provider significantly impairs or unnecessarily delays an audit or investigation, CC payment may be withheld and the Director of OCC may recommend disqualifying the provider pursuant to Sections R986-700-733 and R986-700-734.

(5) Good cause. Good cause is limited to circumstances where the client or provider can show that the reason for the failure to cooperate, to timely respond to a request, or to provide or keep a record was due to circumstances beyond the client or provider's control or were compelling and reasonable.

(6) Providing incomplete or incorrect information will be treated as a failure to cooperate if the incorrect or insufficient information results in an improper decision with regard to eligibility.

(7) A provider has the burden of proof to demonstrate the provider actually provided care to any CC client for which it receives CC payment.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-731 Overpayments

(1) An overpayment may occur when:

(a) a client or provider receives CC for which the client was not eligible;

(b) a provider receives a CC payment but does not provide care for at least eight hours during the initial benefit month of CC;

(d) a provider receives a greater CC payment amount than the client is charged for the month of service; or

(e) a provider applies CC to nonallowable costs pursuant to Section R986-700-728.

(2)(a) Pursuant to Section 35A-3-603 of the Administrative Determination of Overpayments Act, any provider, client, or other person who receives an overpayment shall return the overpaid funds to the Department, regardless of fault.

(b) The client and provider shall be jointly and severally responsible for repayment of any overpayment except when:

(i) an overpayment is caused by an IPV solely by the client or solely by the provider; or

(ii) a provider receives a CC payment, provides at least eight hours of child care during the month, and provides an attendance record to verify the provision of care, unless the provider terminated services during the month as described in Subsection R986-700-728(6).

(3) A provider who is assessed an overpayment pursuant to this section may be subject to increased monitoring or other remedial action pursuant to Subsection R986-700-727(6).

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-731 1. Collection of Overpayments

(1) A CC overpayment must be repaid to the Department pursuant to Section 35A-3-603.

(a) The Department reserves the right to pursue collection of any overpayment pursuant to Title 35A, Chapter 3, Part 6, Administrative Determination of Overpayment Act.

(b) For the purposes of this section "recoupment" or "recoup" means applying a CC payment or grant funds to an overpayment balance.

(c) For the purposes of this section "withholding" means delaying payment until a specified condition is met. Once the condition is met, the payment will be released.

(2) A client who is receiving CC and has an outstanding CC overpayment balance may be subject to recoupment of the overpayment from ongoing CC payment.

(3) If a provider does not repay an overpayment within 30 days of the order establishing that overpayment, the Department may take one of the following actions:

(a) for a provider receiving an ESG, recoup grant funds pursuant to Subsection R986-700-742(3), regardless of whether the provider agrees to recoupment;

(b) recoup a CC payment, if the provider voluntarily agrees to recoupment;

(d) if the provider is not receiving an ESG and does not establish a repayment plan or voluntary recoupment, or fails to comply with a repayment plan, withhold any CC payment until the provider establishes a repayment plan or voluntary recoupment, the provider complies with the repayment plan, or the overpayment is paid in full; or

(e) file an abstract of the final administrative order and pursue a lien pursuant to Section 35A-3-606.

(4) Providers with adjudicated overpayments and who are not current on a repayment plan are ineligible to apply for grants administered through OCC.

(5) Overpayment assessed against a provider before May 8, 2020. For a provider that accrued any overpayment that has not been repaid before May 8, 2020, the following provisions apply.

(a) A provider shall repay an overpayment within 12 months of the order establishing that overpayment or enter into and comply with a repayment plan.

(b) A provider that does not repay an overpayment within 12 months of the order establishing the overpayment or comply with a repayment plan shall be subject to one of the following:

(i) for a provider receiving an ESG, involuntary recoupment of an ESG pursuant to Subsection R986-700-742(3), regardless of whether the provider agrees to recoupment;

(ii) voluntary recoupment of a CC payment, if the child care provider agrees to the voluntary recoupment;

(iii) the Department may withhold CC payment until the overpayment is paid in full; or

(c) the Department may file an abstract of the final administrative order and pursue a lien pursuant to Section 35A-3- 606.

(6) A provider may not penalize any current CC client as a result of a Department collection action.

(i) "Penalize" includes:

(A) requiring a client to pay new or additional fees for service, excluding the copayment or amount exceeding the CC payment; or

(B) terminating services with the client.

(7) If the client or provider files a timely appeal, collection procedures will be stayed during the appeal process.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-732 Intentional Program Violation

(1) An IPV occurs when a person:

(a) either personally or through a representative;

(b) intentionally, knowingly, or recklessly, as defined in Section 76-2-103 concerning definitions of culpable conduct;

(d) in an attempt to:

(i) obtain;

(ii) maintain;

(iii) increase; or

(iv) prevent the decrease or termination of CC payment.

(2) The evidentiary standard for determining an IPV is clear and convincing evidence.

(3) Acts which may constitute an IPV include:

(a) making a false or misleading statement;

(b) misrepresenting, concealing, or withholding information;

(d) taking, using, or accepting a CC payment the person knew they were not eligible to receive;

(e) not reporting the receipt of a CC payment the person knew they were not eligible to receive;

(f) not reporting a material change as required by Sections R986-700-727 and R986-100-113; and

(g) committing an act intended to mislead, misrepresent, conceal or withhold a fact, or propound a falsity.

(4) When an IPV is alleged, the Department may:

(a) refer the case for criminal prosecution;

(b) in the case of a client IPV, issue a notice of agency action finding the person committed an IPV, which the person may appeal through the fair hearing process set forth in Rule R986-100;

(c) in the case of a provider IPV which occurred before May 8, 2020, or for which the Director of OCC does not recommend disqualifying the provider, in addition to any increased monitoring or remedial action pursuant to Subsection R986- 700-727(6), issue a notice of agency action establishing an overpayment and penalty finding the provider committed an IPV, which the provider may appeal via the fair hearing process set forth in Rule R986-100; or

(d) in the case of a provider IPV for which the Director of OCC recommends disqualifying the provider, in addition to any increased monitoring or remedial action pursuant to Subsection R986-700-727(6), refer the case for an administrative disqualification hearing (ADH) pursuant to Section R986-700-733.

(5) The Department may not disqualify a provider unless an ADH has been held and the ALJ has ordered disqualification or the provider has been criminally convicted.

(6)(a) The Department may not make a concurrent referral for an ADH and a criminal prosecution.

(b) If a case referred for criminal prosecution is dismissed or referred back to the Department without prosecution, the Department may issue a notice of agency action or refer the case for an ADH pursuant to Subsection R986-700-732(4).

(7) A provider found to have committed an IPV will be responsible for repayment of both any related overpayment and a civil penalty pursuant to Subsection 35A-3-603(4).

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-733 Administrative Disqualification Hearing

(1) An ADH will be held if the Director of OCC recommends disqualifying a provider pursuant Subsection R986-700- 726(2), R986-700-730(4), or R986-700-732(4).

(2) The hearing procedures set forth in Rule R986-100 apply to an ADH unless otherwise specified or inconsistent with this section.

(3)(a) The Division of Adjudication will schedule an ADH. Each party will be given 30-days' notice of the date and time of the ADH.

(b) The Department may withdraw a request for an ADH at any time before the scheduled hearing by sending written notice to the Division of Adjudication and all parties.

(4) The Division of Adjudication may combine a fair hearing and an ADH into a single hearing if the relevant factual issues arise out of the same or related circumstances.

(a) The notice of hearing shall indicate whether a fair hearing and an ADH will be combined into a single hearing.

(b) If the hearings are combined, the applicable filing deadline and hearing timeframe are those contained in this section to the extent of any conflict.

(c) If the provider fails to appear or participate in the combined hearing, the fair hearing will be dismissed but the ADH will still be held.

(5) The ALJ shall advise a witness that the witness has the right to refuse to answer any question during the hearing, and that the ALJ may draw any reasonable adverse inference based on a party's refusal to answer a question during the hearing.

(6) A qualified employee of the Department shall represent the Department at the ADH.

(7)(a) If the provider does not participate in the ADH, the ALJ will make a decision based solely on the evidence before the ALJ.

(b) If any party fails to participate in the hearing and disagrees with the hearing decision, the party may request reopening of the hearing as provided in Section R986-100-131.

(8)(a) Within 90 days of the date the notice of hearing is issued, the ALJ shall conduct the hearing, arrive at a decision, and issue written notice of the decision to the Department and each party. If the ADH is postponed for any reason, the 90-day time limit will be extended by as many days as the ADH is postponed.

(b) The ALJ shall determine if the provider should be disqualified pursuant to Section R986-700-734.

(9)(a) The ALJ is not required to disqualify a provider based solely upon a finding of IPV.

(b) If the ALJ determines the provider's conduct does not warrant disqualification, the Department may establish an overpayment pursuant to Section R986-700-731, assess a penalty pursuant to Section R986-700-732, and take remedial action pursuant to Subsection R986-700-727(6).

(10) Any party, including the Department, may request a further appeal pursuant to Section 63G-4-402, Section R986- 100-135, and Subsection R986-100-735(3).

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-734 Approved Provider Disqualification

(1) When determining whether to disqualify a provider from approved provider status the Department may consider:

(a) the seriousness of offense or offenses;

(b) the extent of offense or offenses;

(d) previous imposition of increased monitoring or remedial action by the Department;

(e) failure to comply with monitoring or remedial action by the Department;

(f) the extent of notice, education, or warning given to the provider by the Department pertaining to the offense or offenses for which the provider is being considered for disqualification;

(g) the adequacy of assurances by the provider that the provider will comply prospectively with each Department and OCC requirement related to the offense; and

(h) whether a lesser sanction will be sufficient to remedy the problem.

(2) Disqualification period.

(a) The first disqualification assessed against a provider shall be 12 months.

(b) The second disqualification assessed against a provider shall be 24 months.

(3) A provider that has been disqualified pursuant to Sections R986-700-733 and R986-700-734:

(a) may not receive an ESG, a state-funded grant, or other CCDF funding during the disqualification period; and

(b) will remain ineligible for any CC payment, ESG, state-funded grant, or other CCDF funding until any overpayment and penalty established in conjunction with the disqualification has been satisfied in full.

(4) A disqualification is effective two benefit months from the date of the ALJ order.

(5) A disqualification will take effect even if the provider files an appeal pursuant to Section 63G-4-402, Section R986-100-135, and Subsection R986-100-735(3).

(6) Disqualifications run concurrently.

(7) A disqualification assessed to a provider will follow the facility, any successor facility, and a principal of the facility.

(a) A "successor facility" is any facility that acquires the business or acquires substantially all the assets of a facility that has been disqualified. This includes a facility whose provider changes from one status to another.

(b)(i) "Acquired" means to come into possession of, obtain control of, or obtain the right to use the assets of a business by any legal means including a gift, lease, repossession, or purchase.

(ii) For purposes of succession, a purchase through bankruptcy court proceedings where assets are being liquidated is not considered an acquisition, if the court places restrictions on the transfer of liability to the purchaser.

(iii) It is not necessary to purchase the assets to have acquired the right to their use, nor is it necessary for the predecessor to have actually owned the assets for the successor to have acquired them. The right to the use of the asset is the determining factor.

(c) "Assets" include any property, tangible or intangible, which has value. Assets may include the acquisition of the name of the business, customers, accounts receivable, patent rights, goodwill, employees, or an agreement by the predecessor not to compete.

(d) "Substantially all" means acquisition of 90% or more of the predecessor's assets.

(e) A "principal" is an individual who is responsible for the day to day business of a child care center, if that individual has an ownership interest in the center. An ownership interest includes a shareholder, director, or officer of a corporation, and a partner, member, or manager of a limited liability partnership or company.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-735 Appeals

(1) A client may appeal an adverse agency action pursuant to Rule R986-100.

(2) A provider may appeal an overpayment pursuant to Rule R986-100. An appeal must be filed in writing within 30 days of the date of the notice of agency action establishing the overpayment.

(3) A provider may appeal an ADH disqualification pursuant to Section 63G-4-402, Section R986-100-135, and Subsection R986-100-735(3). Any appeal must be filed in writing within 30 days of the date of the ALJ order.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-740 Child Care Quality System Definitions and Acronyms

In addition to the definitions and acronyms found in Title 35A, Chapter 3, Employment Support Act, Sections R986- 100-103, R986-100-104, and R986-700-701.1, the following definitions apply to CCQS:

(1) "CC subsidy" means a Child Care assistance subsidy payment.

(2) "Certified quality rating" means the CCQS rating determined by applying the CCQS framework and assigned by OCC.

(3) "Certified Quality Rating Review Committee" or "Review Committee" means a committee consisting of one representative from OCC, one representative from a licensed private program; and one expert in the field of early childhood education or school-age children, which reviews disputed quality ratings and makes recommendations to the Director of Adjudication concerning final certified quality rating decisions.

(4) "CCQS status" means the status assigned by OCC to a program without a default rating or certified quality rating.

(5) "Eligible program" or "eligible provider" means a provider who:

(a) is classified as a CCQS-eligible license type from OL, in accordance with OCC policy;

(b) meets CCDF eligibility requirements;

(d) has followed the OL process to indicate the program will accept funding from OCC, including funding for children covered by CC subsidy; and

(e) can potentially receive CC subsidy and OCC grants, including ESG, if approved.

(6) "License in good standing" means a program is currently licensed by OL, but not with a conditional license.

(7) "Not participating" is a CCQS status referring to a program that:

(a) has opted out of participation in the CCQS;

(b) is not classified as a CCQS-eligible license type from OL, in accordance with OCC policy;

(d) has not applied for a certified quality rating and has not elected to become CCQS-eligible.

(8) "Denied participation" is a CCQS status referring to an eligible program that is operating on a conditional license from OL.

(9) "Program" refers to an individual location of a child care business.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-741 Child Care Quality System Rating and Status

(1) Each program of an eligible license type from OL shall receive a CCQS rating or status, unless the program withdraws from participation following the process established by OCC policy.

(a) A licensed center program that chooses not to apply for a certified quality rating will receive a default Foundation of Quality rating.

(b) An eligible child care program shall participate in CCQS by maintaining at least a default Foundation of Quality rating. An eligible program is not required to apply for a certified quality rating.

(d) An eligible child care program that withdraws from participation in CCQS will become ineligible to receive CC subsidy and CCQS grants or funding.

(2) A program may apply for a certified quality rating in accordance with OCC policy through the Care About Childcare website.

(a) A rating shall be awarded or a status shall be assigned no later than 180 days after the application was submitted.

(b) Certified quality ratings will be published publicly on the first day of the month of the certified quality rating period.

(3) A certified quality rating shall remain in place during the 12-month certified quality rating period unless a program:

(a) loses its license in good standing and goes on conditional license; or

(b) is disqualified from accepting funds from CCDF.

(4) A program with a certified quality rating of high quality that is assessed a citation with an assigned risk level of high or extreme from OL shall be reduced to a certified quality rating of growing quality for the rest of the 12-month certified quality rating period during which the citation was assessed.

(5) The 12-month certified quality rating period may be modified when a program is receiving CCQS technical assistance and support from OCC, in accordance with OCC policy.

(6) Recertification. A program must recertify to maintain a certified quality rating.

(a) A program must follow the recertification procedures established by OCC policy.

(b) A program failing to recertify in a timely manner may receive one of the following ratings or statuses until a certified quality rating is awarded:

(i) a default Foundation of Quality rating for an eligible program;

(ii) not participating status for a program that is not eligible; or

(iii) denied participation status for a program operating on a conditional license at the time of recertification.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-742 Enhanced Subsidy Grant

(1) To receive an ESG a program must:

(a) receive a certified quality rating of High Quality;

(b) serve children for whom child care was paid for with CC subsidy during the 12-month period used to calculate the ESG;

(d) maintain status as a Department-Eligible child care program during the 12-month certification period;

(e) agree to comply with each requirement outlined in the certified quality rating award notice;

(f) agree to the amount of the ESG stated on the certified quality rating award notice;

(g) agree to receive the ESG through the process established by OCC policy;

(h) not be disqualified pursuant to Sections R986-700-733 and R986-700-734;

(i) not have a pending administrative review on the awarded certified quality rating; and

(j) not have a pending referral from the Director of OCC for an administrative disqualification hearing pursuant to Sections R986-700-733 and R986-700-734.

(2) Upon final disposition of a pending administrative review, an ESG may be issued retroactively where all other ESG requirements are met and the program has not been disqualified pursuant to Sections R986-700-733 and R986-700-734.

(3) An ESG for a program that has an outstanding adjudicated overpayment or other debt owing to OCC shall be issued as follows:

(a) if the overpayment amount is less than the monthly ESG amount, the ESG shall be reduced by the amount of outstanding overpayment due; or

(b) if the overpayment amount is greater than the monthly ESG, a monthly ESG shall continue to be reduced until the overpayment is fully repaid.

(4) If a program is a party to a pending administrative review or appeal of an overpayment that does not involve a suspected IPV, the Department may not reduce the program's ESG as provided in Subsection (3) until final disposition of the action is issued.

(5) The monthly ESG will be calculated in accordance with OCC policy.

(6) Continuing receipt of ESG is subject to the program satisfying the requirements in Subsection (1).

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-743 Child Care Quality System Rating Administrative Review

(1) A program may request a review of a certified quality rating following the process established by OCC policy.

(2) A review request shall be submitted within 30 calendar days of the date of the certified rating award notice except where there is good cause for failing to request a review within this timeframe.

(a) Good cause for failing to timely request review is limited to circumstances that are:

(i) beyond the party's control; or

(ii) compelling and reasonable.

(b) Good cause excludes ordinary illness, lack of transportation, and temporary absences.

(3) Quality Rating Pending Review. The certified quality rating issued in the quality rating award notice shall be published by OCC and remain published until the review is complete. Issuance of an ESG shall be temporarily suspended until the review is complete.

(4) OCC Review. Each request for review submitted to OCC shall be subject to an OCC review. Upon final determination of the OCC review, a notice of determination shall be sent to the program.

(5) If a program does not agree with the OCC review determination, the program may request a review by the Certified Quality Rating Review Committee.

(a) A review request shall be submitted within 30 calendar days of the date of the OCC review determination, except where there is good cause for failing to request a review within this timeframe pursuant to Subsection R986-700-743(2).

(b) A review by the Review Committee is an informal adjudicative proceeding under the Utah Administrative Procedures Act.

(i) include an OCC staff member to present the conclusions of the OCC review;

(ii) provide an opportunity for the program to present their reasons and evidence for the review request; and

(iii) include witnesses or legal representatives, as applicable; and

(iv) a request for any additional documentation relevant to the review, from either OCC or the program.

(d) Failure by the program to respond to any request by the Review Committee may result in a dismissal of the review request.

(e) The Review Committee will issue a recommendation to the Department of Workforce Services Director of Adjudication once the review process is complete.

(6) The Director of Adjudication will make a final certified quality rating decision based upon the recommendation of the Review Committee. The Director of Adjudication decision is the final agency action pursuant to the Utah Administrative Procedures Act.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-751 Background Checks

(1) Sections R986-700-751 through R986-700-756 apply to a provider identified in Subsection 35A-3-310.5(1), a license-exempt provider, or other program or grantee not subject to OL requirements.

(2) The following persons must submit to a background check:

(a) the provider;

(b) each person age 12 years old or older who is living in the household where the child care is provided; and

(c) each person who is employed or volunteering at the facility where the child care is provided, if the person's activities involve care or supervision of children or unsupervised access to children.

(3) If child care is provided in the child's home, a background check must be done on each person age 12 years old or older living in the child's home who is not on the client's child care case.

(4) A client is not eligible for CC if the client chooses a provider and any person described in Subsection R986-700- 751(2) has:

(a) a supported finding of severe abuse or neglect by DHHS, a substantiated finding by a juvenile court under Section 80-3-404 or a criminal conviction related to neglect, physical abuse, or sexual abuse of any person; or

(b) a conviction for an offense as identified in Section R986-700-754; or

(c) an adjudication in juvenile court of an act which if committed by an adult would be an offense identified in Section R986-700-754.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-752 Definitions

Terms used in Sections R986-700-751 through R986-700-756 are defined as followed:

(1) "Convicted" includes a conviction by a jury or court, a guilty plea or a plea of no contest, an adjudication in juvenile court, or an individual who is currently subjected to a deferred judgment and sentence agreement, a deferred prosecution agreement, a deferred adjudication agreement, or a plea in abeyance.

(2) "Covered Individual" means:

(a) a person providing child care;

(b) an individual 12 years old or older residing in a residence where child care is provided; or

(c) a person who is employed or volunteering at the facility where child care is provided, if the person's activities involve care or supervision of children or unsupervised access to children.

(3) "Supported" means a finding by DHHS, at the completion of an investigation by DHHS, that there is a reasonable basis to conclude that one or more of the following severe types of abuse or neglect has occurred:

(a) if committed by a person 18 years of age or older;

(i) severe or chronic physical abuse;

(ii) sexual abuse;

(iii) sexual exploitation;

(iv) abandonment;

(v) medical neglect resulting in death, disability, or serious illness;

(vi) chronic or severe neglect; or

(vii) chronic or severe emotional abuse; or

(b) if committed by a person under the age of 18:

(i) serious physical injury, as defined in Subsection 76-5-109(1) to another child which indicates a significant risk to other children; or

(ii) sexual behavior with or upon another child which indicates a significant risk to other children.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-753 Criminal Background Checks

(1) The Department will contract with OL to perform a criminal background check, which includes a review of the Bureau of Criminal Identification (BCI) database maintained by the Department of Public Safety pursuant to Title 53, Chapter 10, Part 2, Bureau of Criminal Identification; and if a fingerprint card, waiver, and fee are submitted, OL will submit the fingerprint card and fee to the Department of Public Safety for submission to the FBI for a national criminal history record check.

(2)(a) Each client requesting approval of a covered provider must submit to OL a form, which will include a certification, completed and signed by the provider as part of the DWS FFN approved provider process.

(i) Additional household members must give permission to run the background check.

(ii) The provider shall pay applicable background check fees.

(iii) A fingerprint card and fee, prepared either by the local law enforcement agency or an agency approved by local law enforcement, shall also be submitted if required by Subsection R986-700-753(4).

(iv) If the fingerprints are submitted electronically, they must be submitted in conformity with the OL guidelines regarding electronic submissions.

(b) Fingerprints are not required to be submitted if:

(i) the covered individual has previously submitted fingerprints to OL for a Next Generation national criminal history record check;

(ii) the covered individual has resided in Utah continuously since the fingerprints were submitted; and

(iii) the covered individual has not permitted their background check to lapse or expire since the fingerprints were submitted.

(3)(i) The provider must state in writing, based upon the provider's best information and belief, that no covered person, including the provider's own children, has ever been convicted of a felony, misdemeanor, or had a supported finding from DHHS or a substantiated finding from a juvenile court of severe abuse or neglect of a child.

(ii) If a provider is aware of any such conviction or supported or substantiated finding, but is not certain it will result in a disqualification, OL will obtain information from the provider to assess the threat to children.

(iii) If a provider knowingly makes false representations or material omissions to OL regarding a covered individual's record, the provider will be responsible for repayment to the Department of CC paid by the Department.

(iv) If a provider signs an attestation, a disqualification based on a covered individual who no longer lives in the home can be cured under certain conditions.

(4) A provider, caregiver who is 16 years old and older, or covered individual who is 18 years and older shall submit fingerprints under Sections R986-700-751 through R986-700-756 as requested.

(5) If OL takes an action adverse to a covered individual based upon a background check, OL will send a denial letter to the provider and the covered individual.

(6) A background check must be submitted for each covered individual:

(a) before the date the person becomes a covered individual, unless:

(i) the person is turning 12 years old and resides in the facility where child care is being provided, in which case the background check form must be submitted and authorized within ten business days of the date the child turns 12 years old;

(ii) the person is currently employed by another child care provider within the state and has a current background check; or

(iii) the person has been separated from employment from another child care provider within the state for no more than 180 days and has a current background check; and

(b) on an annual basis.

(7)(i) A person may not begin work as a covered individual until the person has completed a fingerprint-based check and the results have been received.

(ii) After the fingerprint-based check has been completed but before full completion of the background check process, a covered individual must be supervised by a person who has fully completed and passed the background check process.

(8) The Department may conduct background checks annually.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-754 Exclusion from Child Care Due to a Criminal Conviction

(1) As required by Subsection 35A-3-310.5(4), if a criminal conviction was a felony, or is a misdemeanor that is not excluded under Subsection R986-700-754(2) or R986-700-754(3), a covered individual may not provide child care or reside in a home where child care is provided.

(2) As allowed by Subsection 35A-3-310.5(5), the Department excludes the following misdemeanors and determines that a misdemeanor conviction listed below does not disqualify a covered individual from providing child care:

(a) a class B or C misdemeanor offense under Title 32B, Alcoholic Beverage Control Act, except for Section 32B-4- 403, Unlawful sale, offer for sale, or furnishing to minor;

(b) a class B or C misdemeanor offense under Title 41, Chapter 6a, Traffic Code except for Section 41-6a-502, Driving under the influence of alcohol, drugs, or a combination of both or with specified or unsafe blood alcohol concentration, when the individual had a child in the car at the time of the offense;

(d) a Class B or C misdemeanor offense under Title 58, Chapter 37a, Utah Drug Paraphernalia Act;

(e) a class B or C misdemeanor offense under Title 58, Chapter 37b, Imitation Controlled Substances Act;

(f) a class B or C misdemeanor offense under Title 76, Chapter 4, Inchoate Offenses, except for Section 76-4-401, Enticing a Minor;

(g) a class B or C conviction under Title 76, Chapter 6, Offenses Against Property,;

(h) a class B or C conviction under Title 76, Chapter 6a, Pyramid Scheme Act,;

(i) a class B or C conviction under Title 76, Chapter 8, Offenses Against the Administration of Government, Utah Criminal Code, except Sections 76-8-1201 through 76-8-1207, Public Assistance Fraud; and 76-8-1301 False statements regarding unemployment compensation;

(j) a class B or C conviction under Title 76, Chapter 9, Offenses Against Public Order and Decency, except for:

(i) 76-9-301, Cruelty to Animals;

(ii) 76-9-301.1, Dog Fighting;

(iii) 76-9-301.8, Bestiality;

(iv) 76-9-702, Lewdness;

(v) 76-9-702.5, Lewdness Involving Child; and

(vi) 76-9-702.7, Voyeurism; and

(k) a class B or C conviction under Title 76, Chapter 10, Offenses Against Public Health, Welfare, Safety and Morals, except for the following sections:

(i) 76-10-509.5, Penalties for providing Certain Weapons to a Minor;

(ii) 76-10-509.6, Parent or guardian providing firearm to violent minor;

(iii) 76-10-509.7, Parent or guardian knowing of minor's possession of dangerous weapon;

(iv) 76-10-1201 through 1229.5, Pornographic and Harmful Materials and Performances;

(v) 76-10-1301 through 1314, Prostitution; and

(vi) 76-10-2301, Contributing to the delinquency of a minor; and

(l) a class A misdemeanor where the conviction occurred more than ten years before the background check and the offense would be an excludable offense listed in this section.

(3) The Department will rely on the criminal background screening as conclusive evidence of the conviction and the Department may revoke or deny approval for a provider based on that evidence.

(4)(a) If a covered individual causes a provider to be disqualified as a provider based upon the criminal background screening and the covered individual disagrees with the information provided by BCI, the covered individual may challenge the information by contacting BCI directly.

(b) If the information causing the disqualification came from a Utah court, the covered individual must contact that court or seek an expungement as provided in Title 77, Chapter 40a, Expungement.

(5)(a) A provider shall report any felony and misdemeanor arrest, charge, or conviction of a covered individual to DHHS within 48 hours of the arrest, notice of the charge, or conviction.

(b)(i) A provider shall report a person aged 12 or older moving into the home where child care is provided within ten calendar days of that person moving in.

(ii) A release for a background check shall be provided for that person within the time requested by the Department or DHHS.

(6)(a) Pursuant to Subsection 35A-3-310.5(5)(b), the Department's designee for considering and exempting individual cases is the Child Care Licensing Administrator within DHHS.

(b) The Department's designee may exempt a covered individual from being excluded from providing child care due to a criminal conviction if the Department's designee determines that the nature of the background check finding or relevant mitigating circumstances indicate the covered individual does not pose a risk to children.

(c) Notwithstanding Subsection R986-700-754(6)(b), the Department's designee shall not exempt a covered individual convicted of any of the following:

(i) an offense specifically not excluded under Subsection R986-700-754(2);

(ii) a "violent felony" as that term is used in Subsection 76-3-203.5(1)(c);

(iii) a felony against a child, including child pornography;

(iv) a felony involving abuse or neglect of a spouse, child, or vulnerable adult;

(v) a felony involving rape or sexual assault;

(vi) a felony involving kidnapping;

(vii) a felony involving arson;

(viii) a felony involving physical assault or battery;

(ix) a drug-related felony, unless the offense was a nonviolent offense and occurred at least ten years before the date of the background check; or

(x) a violent misdemeanor committed as an adult against a child, including offenses involving child abuse, child endangerment, sexual assault, or child pornography.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-755 Covered Individual with an Arrest or Pending Criminal Charge

If OL determines there exists credible evidence that a covered individual has been arrested or charged with a felony or a misdemeanor that would not be excluded under Section R986-700-754, the Department will act to protect the health and safety of children in child care that the covered individual may have contact with. The Department may revoke or suspend approval of the provider if necessary to protect the health and safety of children in care.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-756 Exclusion From Child Care Due to Finding of Abuse, Neglect, or Exploitation

(1) Pursuant to Subsection 80-2-708(2)(a)(v), OL will screen each covered individual, including any child residing in a home where child care is provided, for a history of a supported finding of severe abuse, neglect, or exploitation from the licensing information system maintained by DHHS and the juvenile court records. The juvenile court records need only be accessed as provided in Subsection 35A-3-310.5(3)(b).

(2) If a covered individual appears on the licensing information system, the threat to the safety and health of children will be assessed. The Department or OL may revoke any existing approval and refuse to permit child care in the home until the Department or OL is reasonably convinced that the covered individual no longer resides in the home.

(3) If the Department or OL denies or revokes approval of CC based upon the licensing information system, the Department will send a written decision to the client.

(4)(a) If DHHS determines a covered individual has a supported finding of severe abuse, neglect, or exploitation after the Department approves CC, the covered individual has ten calendar days to notify OL.

(b) Failure to notify OL may result in the provider being liable for an overpayment for CC paid to the client between the finding and when it is reported or discovered.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-770 Provider Grant Eligibility

To be eligible for a CCDF-funded OCC grant from the Department a provider must:

(1) meet each CCDF requirement;

(2) participate in CCQS, if applicable;

(3)(a) have no outstanding overpayment pursuant to Section R986-700-731; or

(b) have an established repayment plan or recoupment with the Department and be current in repayment pursuant to Section R986-700-731.1;

(4) hold a license in good standing from OL;

(5) not have a pending referral from the Director of OCC for an administrative disqualification hearing pursuant to Sections R986-700-733 and R986-700-734; and

(6) not be disqualified from receiving CC payment pursuant to Sections R986-700-733 and R986-700-734.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-771 Grants for Child Care Start-up Costs

(1) In addition to the definitions found in Section 35A-3-212, the following definitions apply to this section:

(a) "Start-up Costs" means one-time expenses incurred to plan, organize, and launch a new eligible child care business or to expand an existing business, including initial acquisition of materials and supplies for the business, furnishings, minor renovations needed to comply with health and safety requirements, and licensing and inspection fees.

(b) "Start-up Costs" does not mean ongoing expenses for a provider, including property purchase or rent, office equipment and furnishings, vehicles, legal expenses, salaries, advertising, insurance, utilities, food, and other operating costs.

(2) OCC may contract with an organization to administer the grants.

(3)(a) OCC will announce the availability of the grants, and establish a due date for applications.

(b) OCC or the organization contracted to administer the grant shall develop grant application forms and make them available.

(4) To be considered for a grant an eligible child care provider shall submit the following information:

(a) the provider's name, address, phone, and email;

(b) the name and contact information for a responsible person;

(d) licensed capacity, expected staffing levels, hours of operation, anticipated charges to parents, and the applicant's experience as a child care provider;

(e) a valid child care facility identification number from the Department of Health and Human Services, Division of Licensing and Background Checks;

(f) if applicable, proof the provider has a contract with an employer to provide child care services; and

(g) a detailed explanation of the requested amount for start-up costs, including:

(i) estimates from reliable sources showing the costs of the projects proposed to be funded with the grant, including materials, labor, or licensing and inspection fees;

(ii) a budget detailing how the requested funds would be used;

(iii) the need for the proposed project; and

(iv) other funding sources for the proposed child care provider.

(5) Each application will be evaluated based on availability of COVID-19 relief funds, viability of the proposed child care provider, and amount of requested grant funds.

(6) This grant program expires on September 30, 2024. All grant funds must be awarded before that date.

(7) The Office may provide start-up cost grants to existing child care providers, to expand physical capacity or open a new location.

(8)(a) An applicant whose application is denied may protest by submitting a written request to OCC.

(i) OCC shall review the decision to deny the application and may uphold, reverse, or modify the decision.

(ii) An applicant may protest the OCC review decision to the executive director or the director's designee.

(b) The executive director or designee shall determine if the information provided in the application justifies OCC's decision to deny the application. The executive director or designee may uphold, reverse, or modify the decision. The decision of the executive director or designee is final.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

Utah Admin. Code R986-700-778 Training and Scholarships for Early Childhood Teachers

The Department may contract without outside entities, as funding permits, to provide training, scholarships, and consulting services to assist individuals who intend to receive a Child Development Associate credential.

History

KEY: child care, grant programs
Date of Last Change: July 1, 2026
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-203; 35A-3-209; 35A-3-310; 35A-3-312; 45 C.F.R. 98.21

R986-900 Supplemental Nutrition Assistance Program (SNAP)

Utah Admin. Code R986-900-901 Authority for SNAP and Applicable Rules

(1)(a) SNAP provides assistance to eligible individuals in accordance with the requirements found in:

(i) the Food Stamp Act of 1977, 7 USC 2011 through 2036d;

(ii) the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA), Pub. L. 104-193, 110 Stat. 2105 (1996); and

(iii) 7 CFR pt. 271 through 7 CFR pt. 285.

(b) The complete text of applicable federal laws and regulations may be found at:

(i) the United States Department of Agriculture web site;

(ii) the Department of Workforce Services, Division of Adjudication and Appeals, 2nd Floor, 140 E 300 S, Salt Lake City UT, 84145; or

(iii) the Office of Administrative Rules, 4120 S 2700 West, Taylorsville UT, 84114-1007.

(c) The Department maintains a policy manual describing the benefits and eligibility requirements for receipt of SNAP. The policy manual is available on the Department's web site.

(2) 7 CFR pt. 271 through 7 CFR pt. 283 (2000) is incorporated by reference.

(3) Rule R986-100 applies to SNAP except where specifically noted otherwise.

(4) Acronyms used in this rule are found in Section R986-100-103. Definitions used in this rule ae found in Section R986-100-104.

History

KEY: public assistance, SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103

Utah Admin. Code R986-900-902 Options and Waivers

The Department administers SNAP in compliance with federal law with the following exceptions or clarifications.

(1) The following options not otherwise found in Rule R986-100 have been adopted by the Department where allowed by the applicable federal law or regulation.

(a) The Department holds hearings at the state level and not at the local level.

(b) The Department does not offer a workfare program for Able Bodied Adults Without Dependents (ABAWDs).

(d) The Department uses the Simplified Standard Utility Allowance found in 7 USC 2014(e)(6)(C)(iii).

(i) The Department has a mandatory standard utility allowance, which allows households in subsidized housing and households in shared living arrangements to receive the full appropriate utility allowance.

(ii) The Department has three utility standards that are updated annually and are available upon request.

(A) A customer is eligible for an appropriate utility allowance at the time of application. Eligibility for the appropriate allowance is re-determined at recertification or if a household moves to a different place of residence.

(B) A customer may not use actual utility expenses.

(e) The Department does not use photo ID cards; however, ID cards are available upon request to a homeless, disabled, and elderly customer so that the customer may use SNAP benefits at a participating restaurant.

(f) The Department provides SNAP benefits through the use of an electronic benefit transfer system (EBT).

(g) The Department counts diversion payments in the SNAP allotment calculation.

(h) The Department uses Utah's TANF vehicle allowance rules in conjunction with the SNAP vehicle allowance regulations at 7 CFR 273.8.

(i) The Department counts all of an ineligible alien's resources and all but a pro rata share of the ineligible alien's income and deductible expenses as provided in 7 CFR 273.11(c)(3)(ii)(A).

(j) A customer may waive their right to an administrative disqualification hearing.

(k) A customer may deduct actual, allowable expenses from self-employment, or may opt to deduct 40% of the gross income from self-employment to determine net income.

(l) The Department aligns SNAP with FEP when counting educational assistance income, as provided in Subsection R986-200-235(3)(q).

(m) The Department uses simplified reporting as provided in 7 CFR 273.12(a)(5).

(n)(i) The Department operates a Simplified SNAP program (S-SNAP) authorized by 7 CFR 273.25.

(ii) Under S-SNAP, a customer receiving both SNAP and FEP or FEPTP, must participate as required in Section R986-200-210.

(iii) A customer found ineligible due to non-compliance under Section R986-200-212 will also be subject to the SNAP sanctions found in 7 CFR 273.7(f)(2) unless the customer meets an exemption under SNAP regulations.

(o) Effective July 1, 2010, the Department will count the full income of an ineligible alien household member for both the gross and net income tests and for determining the level of benefits.

(i) The deductible expenses of an ineligible alien household member will not be prorated and the full value of all assets will continue to be counted, including ineligible aliens who are unable or unwilling to provide documentation of their alien status.

(ii) This subsection does not apply to the following ineligible aliens:

(A) an alien who is lawfully admitted as a permanent resident;

(B) an alien who is granted asylum under Section 208 of the INA, 8 USC Section 1158;

(D) an alien who is paroled in accordance with Section 212(d)(5) of the INA, 8 USC Section 1182(d)(5);

(E) an alien whose deportation or removal has been withheld in accordance with Section 241 of the INA, 8 USC Section 1231;

(F) an alien who is aged, blind or disabled and is admitted for temporary or permanent residency under Section 245A of the INA, 8 USC Section 1255a; or

(G) an alien who is a special agricultural worker admitted for temporary residence under Section 210 of the INA, 8 USC Section 1160.

(iii) For an ineligible alien listed in Subsection R986-900-902(1)(o)(ii), a prorated share of the ineligible alien's income and expenses will be counted for purposes of applying the gross and net income tests and to determine the level of benefits, and the full amount of the ineligible alien's assets will count.

(p) The Department allows the following exemptions from the Employment and Training (E and T) program for individuals who:

(i) are Refugee Cash Assistance participants;

(ii) are on a temporary layoff from their place of employment;

(iii) live more than 35 miles from an employment center;

(iv) lack child care, either because it is not available or the customer is not eligible for child care assistance;

(v) are not appropriate for E and T as determined by a manager or designee;

(vi) are age 47 through the month of their 60th birthday;

(vii) are low functioning or have developmental disabilities, or are socially dysfunctional and who have obvious functional limitations that are a substantial handicap to employment;

(viii) have current domestic violence issues;

(ix) have limited language skills or speak a primary language other than English;

(x) lack public or private transportation;

(xi) are in the application or appeals process for SSI;

(xii) have earned income, regardless of the amount earned;

(xiii) have no fixed address;

(xiv) are pregnant, regardless of trimester;

(xv) are on probation or parole and are required to complete court-ordered activities such as work release or drug court; or

(xvi) are participating in a program with a Department partner, such as case management by Vocational Rehabilitation, or are participating in a Title V or Choose to Work program.

(q) Beginning July 1, 2012, individuals who meet the requirements of an exemption will not be allowed to receive services on a voluntary basis or receive a work reimbursement.

(2) The Department has been granted the following waivers from the Food and Nutrition Service.

(a)(i) A household need only report changes in earned income if there is a change in source, the hourly rate or salary, or if there is a change in full-time or part-time status.

(ii) A customer shall report any change in unearned income over $25 or a change in the source of unearned income.

(b) The Department uses a combined notice of expiration and shortened recertification form.

(i) Notice of expiration is required by 7 CFR 273.14(b).

(ii) The recertification application is provided by 7 CFR 273.14(b).

(c) The Department conducts the Family Nutrition Education Program for individuals even if they are otherwise ineligible for SNAP.

(d) The Department may deduct overpayments that resulted from an IPV from a household's monthly entitlement.

(e)(i) If an application was received before the 15th of the month and the customer has earned income, the certification period can be no longer than six months.

(ii) The initial certification period may be as long as seven months if the application was received after the 15th of the month.

(f)(i) A household which had its SNAP benefits terminated shall be reinstated during the calendar month following the month assistance was terminated without completing a new application if the reason for the termination is fully resolved. The reason for the termination does not matter.

(ii) Assistance will be prorated to the date on which the customer reported that the disqualifying condition was resolved if verification is received within ten days of the report.

(iii) Assistance is reinstated for the remaining months of the certification period and the certification period must not be changed.

(g) If the Department cannot obtain proper documentary evidence from an employer, the Department may use Utah quarterly wage data as the primary verification of income when calculating overpayments.

(h) The Department may hold disqualification hearings by telephone.

(i) All initial interviews, and recertification interviews for households certified for 12 months or less, will have their initial or recertification interviews conducted by telephone, unless the household requests an in-person interview or the Department determines that an in-person interview is necessary to resolve issues that would be better facilitated face-to-face.

(j)(i) The federal regulation requiring all interviews be scheduled for a specific date and time is waived for initial telephone interviews.

(ii) Customers may call anytime Monday through Friday from 8 a.m. to 5 p.m., except for federal and state holidays, to complete the required initial interview.

(iii) Households selected for the "Assessment of the Contributions of an Interview to the Supplemental Nutrition Assistance Program (SNAP) Eligibility and Benefits Determinations" study, also known as the No Interview Pilot, will be exempt from the interview requirement. Customer contact may be needed to complete the application or recertification process. This waiver shall be in place September 1, 2012 - November 30, 2013.

(k)(i) To meet the student work exemption, a student enrolled in post-secondary education half-time or more must work an average of 20 hours per week.

(ii) The work hours must be averaged over the 30 days immediately before the date of application or recertification.

(l)(i) Certain Utah counties have been granted a waiver which exempts ABAWDs from the work requirements of Section 824 of PRWORA.

(ii) The counties granted this waiver change each year based on Department of Labor statistics.

(iii) A list of counties granted this waiver is available from the Department.

History

KEY: public assistance, SNAP
Date of Last Change: September 27, 2022
Notice of Continuation: August 14, 2025
Authorizing, and Implemented or Interpreted Law: 35A-3-103

R988 Homeless Services

R988-100 Homeless Services General Provisions

Utah Admin. Code R988-100-1 Authority

This rule is authorized under Section 35A-16-202, which directs the office to define terms, and Section 35A-16-205.1, which requires the board to establish standards for the prioritization of homeless shelter beds.

History

KEY: homelessness, homeless shelter
Date of Last Change: December 26, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-202; 35A-16-205.1

Utah Admin. Code R988-100-2 Definitions

(1) Terms used in this rule are defined in Title 35A, Chapter 1, Department of Workforce Services, Title 35A, Chapter 16, Office of Homeless Services, and Section 26B-5-301.

(2) In addition:

(a) "Neutral exit" means minimal progress was made toward improving the stability of a client's housing or addressing issues that may make the client more likely to experience homelessness.

(b) "Successful exit" means significant progress was made toward improving the stability of a client's housing or addressing issues that may make the client more likely to experience homelessness.

(d) "Unsuccessful exit" means no progress was made toward improving the stability of the client's housing or addressing issues that may make the client more likely to experience homelessness.

History

KEY: homelessness, homeless shelter
Date of Last Change: December 26, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-202; 35A-16-205.1

Utah Admin. Code R988-100-3 Exit Destination Outcomes

(1) OHS will ensure compliance with the U.S. Department of Housing and Urban Development system performance measures. Exit outcomes will be evaluated using the last exit recorded in HMIS for an individual to ensure the greatest degree of accuracy and timeliness possible, and to avoid duplication, across the following project types:

(a) emergency shelter;

(b) rapid rehousing;

(d) permanent supportive housing;

(e) street outreach;

(f) homeless prevention; and

(g) other.

(2) The office will evaluate each standard exit destination type recorded in HMIS to determine if the outcome type meets the definition of successful, neutral, or unsuccessful exit in Section R988-100-2.

(3) The office will provide guidance to service providers regarding standard exit destination types in HMIS that the office has determined meet the definitions in Section R988-100-2.

History

KEY: homelessness, homeless shelter
Date of Last Change: December 26, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-202; 35A-16-205.1

Utah Admin. Code R988-100-4 Temporary Assistance for Needy Families Bed Prioritization

(1) An emergency shelter that receives TANF funding for shelter operations shall:

(a) subject to available funding, allocate an average of 85% of the total number of beds located in the shelter to individuals eligible for TANF;

(b) determine prioritization for beds based on TANF eligibility requirements; and

(2) If an emergency shelter does not receive TANF funding for shelter operations, the office, in coordination with the shelter operator, will determine the feasibility of verifying the TANF eligibility of a shelter user.

History

KEY: homelessness, homeless shelter
Date of Last Change: December 26, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-202; 35A-16-205.1

Utah Admin. Code R988-100-5 State Hospital Shelter Bed Prioritization

(1) An emergency shelter shall prioritize a referral client who is discharged from the state hospital.

(2)(a) At least yearly, the office shall contact the state hospital about the state hospital's client discharge process.

(b) The office shall encourage the state hospital to coordinate with the local mental health authority, as applicable, to ensure that:

(i) discharge to an emergency shelter is an appropriate exit for the client; and

(ii) all other options for the client have been exhausted.

(3) When accepting a referral client from the state hospital, the emergency shelter operator shall document the referral from the state hospital in HMIS.

History

KEY: homelessness, homeless shelter
Date of Last Change: December 26, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-202; 35A-16-205.1

R988-400 Homeless Shelter Cities Mitigation Restricted Account

Utah Admin. Code R988-400-1 Authority

This rule is authorized under Subsection 35A-16-401(4) which directs the office to provide additional detail to the definition of "eligible services" and Subsection 35A-16-403(3) which requires the office to make rules governing the process for calculating the amount of funds that an eligible municipality may receive under Subsection 35A-16-402(4).

History

KEY: grants, Homeless Shelter Cities Mitigation Restricted Account
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-401; 35A-16-403

Utah Admin. Code R988-400-2 Definitions

Terms used in this rule have the meanings given them in Title 35A, Chapter 16, Office of Homeless Services. In addition:

(1) "Eligible services" includes social services, public sanitation services, and community or neighborhood programs that, in the office's judgment, mitigate the impacts of the location of an eligible shelter. Such services may include:

(a) client services for persons experiencing homelessness;

(b) medical staff to serve clients of the eligible shelter;

(d) garbage collection services; or

(e) managing relationships with local businesses or neighborhood associations.

(2) "Full capacity" means that an eligible shelter has assigned or filled 95% of beds on average, as determined by the office, unless:

(a) the shelter is dedicated to a specific population or type of household; and

(b) the majority of the unsheltered individuals in the municipality where the shelter is located are not the type of population or household served by the shelter.

(3) "HIC" means Housing Inventory Count, which is defined as a point-in-time inventory of provider programs that provide beds for people experiencing homelessness.

(4) "Point-in-time count" means a count of sheltered and unsheltered people experiencing homelessness on a single night in January, as defined by the U.S. Department of Housing and Urban Development.

History

KEY: grants, Homeless Shelter Cities Mitigation Restricted Account
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-401; 35A-16-403

Utah Admin. Code R988-400-3 Determination of Number of Individuals Experiencing Homelessness

For purposes of Subsections 35A-16-402(4)(a)(i)(A) and (4)(a)(ii)(A), for eligible shelters that submit data to HMIS the office shall determine the "total number of individuals experiencing homelessness who are served by eligible shelters within each municipality" by referring to the consolidated annual performance and evaluation report prepared by HMIS. For eligible shelters operated by domestic violence service providers, which do not submit information to HMIS, any information necessary to make the determination shall be reported directly to the office.

History

KEY: grants, Homeless Shelter Cities Mitigation Restricted Account
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-401; 35A-16-403

Utah Admin. Code R988-400-4 Determination of Total Population of Municipality

For purposes of Subsections 35A-16-402(4)(a)(i)(B) and (4)(a)(ii)(B), the office shall determine the total population of a municipality using information provided to it by the Utah State Tax Commission.

History

KEY: grants, Homeless Shelter Cities Mitigation Restricted Account
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-401; 35A-16-403

Utah Admin. Code R988-400-5 Determination of Year-Round Capacity of Eligible Shelters Within Each Municipality

For purposes of Subsections 35A-16-402(4)(a)(i)(C) and (4)(a)(ii)(C), the office shall determine the "total year-round capacity of all eligible shelters within each municipality" by referring to the most recent HIC. Any municipality that begins operating an eligible shelter after the most recent HIC and would like to be considered for allocation from the Restricted Account must contact the office in writing. The office will then work with the municipality to determine the capacity.

History

KEY: grants, Homeless Shelter Cities Mitigation Restricted Account
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-401; 35A-16-403

Utah Admin. Code R988-400-6 Formula for Disbursal of Funds to Third-Tier Eligible Municipalities

(1) The funds set aside under Subsection 35A-16-402(4)(a)(iii) shall be disbursed proportionately among applicants based on the number of beds available in eligible shelters within the applicable third-tier municipality as compared to the total number of beds available in eligible shelters in all third-tier eligible municipalities in Utah combined, as determined by the office.

(2) In determining the number of available beds in any third-tier eligible municipality, the office shall have broad discretion to use whatever sources it deems relevant, and shall have authority to request information from shelters and verify the information received.

History

KEY: grants, Homeless Shelter Cities Mitigation Restricted Account
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-401; 35A-16-403

Utah Admin. Code R988-400-7 Application for Funds

(1) To apply for funds under Section 35A-16-403, an eligible municipality shall submit a request that outlines the impact of the location of the eligible shelter and demonstrates the need for funding to mitigate that impact.

(2) To demonstrate compliance under Subsection 35A-16-403(2)(g), an eligible municipality shall report in its funding application the following information related to:

(a) enforcing a camping ordinance:

(i) the municipality's reported number of camping-related non-enforcement contacts;

(ii) the municipality's reported number of camping-related enforcement contacts;

(iii) reported year-over-year trends for camping-related contacts with unsheltered populations in the relevant county;

(iv) shelter resources available within the eligible municipality's local homeless council region; and

(v) shelter utilization rates within the eligible municipality's local homeless council region; and

(b) prohibiting conduct that impedes:

(i) traffic in violation of Subsection 41-6a-1009(4):

(A) the municipality's reported number of traffic impediment-related non-enforcement contacts;

(B) the municipality's reported number of traffic impediment-related enforcement contacts; and

(ii) sidewalks and building entrances in violation of the Americans with Disabilities Act of 1990:

(A) the municipality's reported number of sidewalk and business entrance impediment-related non-enforcement contacts;

(B) the municipality's reported number of sidewalk and business entrance impediment-related enforcement contacts; and

(C) reported year-over-year trends for sidewalk and business entrance impediment-related contacts in the relevant county.

History

KEY: grants, Homeless Shelter Cities Mitigation Restricted Account
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-401; 35A-16-403

R988-500 Overflow Plan Requirements

Utah Admin. Code R988-500-1 Authority

This rule is authorized under Section 35A-16-503 which requires the office to make rules governing the submission and review of an overflow plan; the process of sending a notice of noncompliance; and the location, establishment, and operation of a temporary overflow shelter.

History

KEY: overflow shelter, homelessness
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-503

Utah Admin. Code R988-500-2 Definitions

Unless otherwise specified, terms used in this rule have the meanings given them in Title 35A, Chapter 16, Office of Homeless Services.

History

KEY: overflow shelter, homelessness
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-503

Utah Admin. Code R988-500-3 Submission of Overflow Plan

Councils of governments shall submit the overflow plan via email to the office's assistant director and at least one additional member of office staff on or before August 1.

History

KEY: overflow shelter, homelessness
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-503

Utah Admin. Code R988-500-4 Review of Overflow Plan

The office shall review the overflow plan and make a determination of compliance with statutory requirements by August 15.

History

KEY: overflow shelter, homelessness
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-503

Utah Admin. Code R988-500-5 Transmission of Notice of Noncompliance

When the office's assistant director and the state homelessness coordinator determine that an overflow plan does not comply with statutory requirements, office staff shall notify via email the parties listed at Subsection 35A-16-502(5).

History

KEY: overflow shelter, homelessness
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-503

Utah Admin. Code R988-500-6 Location, Establishment, and Operation of Temporary Overflow Shelter

(1) When contracting with an entity for the operation of a temporary overflow shelter as permitted by Section 35A-16- 502.5, the office shall first try to contract with a non-profit entity. If the office cannot contract with a non-profit entity, the office shall contract with a local government entity associated with the municipality or county in which the temporary overflow shelter is located. If the office cannot contract with either a non-profit entity or a local government entity, other qualified entities shall be considered.

(2) When determining the location of a temporary overflow shelter, the office shall consult with the Utah Homeless Network steering committee and the local homeless council ("LHC") with jurisdiction over the applicable municipality or county. The office shall give preference to sites with adequate access to transportation, food, and services, as determined in the office's sole discretion. The office shall also, in conjunction with the LHC, determine an overflow shelter's capacity. All other factors being equal in the office's sole discretion, the office shall give preference to the shelter with the most capacity.

History

KEY: overflow shelter, homelessness
Date of Last Change: January 2, 2024
Authorizing, and Implemented or Interpreted Law: 35A-16-503

R988-600 Administration of COVID-19 Homeless Housing and Services Grant Program

Utah Admin. Code R988-600-1 Authority

This rule is authorized under Subsection 35A-16-602(2) which requires the office to make certain rules governing the administration of the COVID-19 Homeless Housing and Services Grant Program.

History

KEY: grants, COVID-19, homelessness
Date of Last Change: August 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-16-602

Utah Admin. Code R988-600-2 Grant Application Requirements

Applications must be submitted via the established process outlined in the request for grant applications approved by the Utah Homelessness Council (Council) and published on the Utah Public Notice website.

History

KEY: grants, COVID-19, homelessness
Date of Last Change: August 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-16-602

Utah Admin. Code R988-600-3 Procedures to Approve a Grant

Office staff will review each application to ensure the application meets the statutory requirements detailed in Section 35A-16-602. A review committee established by the Council will review and score eligible application and make recommendations to the Council. The Council shall have exclusive authority to approve or deny applications.

History

KEY: grants, COVID-19, homelessness
Date of Last Change: August 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-16-602

Utah Admin. Code R988-600-4 Procedures for Distributing Money to Grant Recipients

A list of approved applications will be published on the Utah Public Notice website. The office shall directly distribute the awarded grants to approved applicants ("recipients"). The grants shall comply with applicable federal and state guidelines. The grants shall include a recapture provision that requires a recipient to return the full grant amount to the office if the recipient's use of the grant violates any statute, rule, or regulation.

History

KEY: grants, COVID-19, homelessness
Date of Last Change: August 22, 2022
Authorizing, and Implemented or Interpreted Law: 35A-16-602

Utah Admin. Code R988-700-1 Authority

This rule is authorized under Section 35A-16-212, which authorizes the office to make rules governing the fund.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-2 Definitions

(1) Terms used in this rule are defined in Title 35A, Chapter 1, Department of Workforce Services, and Title 35A, Chapter 16, Office of Homeless Services.

(2) As used in this rule:

(a) "Cost" means the fair market cost for goods or services.

(b)(i) "Direct result of the presence of a homeless services facility" means attributable to the facility itself, or attributable to known clients of the facility in the area because of the facility.

(ii) "Direct result of the presence of a homeless services facility" does not mean caused by a person not shown to be affiliated with a facility.

(c) "Service or support mechanism" means in-kind or financial assistance, including insurance, victim's compensation fund, or volunteer assistance.

(d) "Value" means fair market value.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-3 Scope

(1) The fund is intended to provide no-interest loans on a short-term basis to directly compensate property owners and businesses for documented property loss that is a direct result of the presence of a homeless services facility.

(2)(a) A loan may not be used to reimburse compensation provided by a service or support mechanism, even if the compensation is for property loss that is the direct result of the presence of a homeless services facility.

(b) A loan may supplement compensation provided by a service or support mechanism that is insufficient to provide full compensation for the property loss, but only up to the total documented value of the property loss.

(3) A loan may not be used to purchase fencing, security equipment, or security monitoring services, except as compensation for equipment damaged as a direct result of the presence of a homeless services facility.

(4) A loan may not be used as compensation for loss of property value or loss of business, even if the loss is attributable to the presence of a homeless service facility within 1/5 mile of the property.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-4 Loan Application Requirements

(1) An application for a loan shall be made on a form provided by the office.

(2) An application must include:

(a) documentation of the property loss that was a direct result of the presence of a homeless services facility;

(b) the applicant's identification, contact information, and documentation of ownership or legal interest in the affected property;

(d) documentation of the value of the loss or cost to clean, sanitize, repair, or restore the property.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-5 Time Limits for Applications

(1) An application for a loan must be submitted within 90 days after the closed insurance claim related to the reported loss or damage.

(2) An application received after 90 days will not be considered.

(3) After an application is submitted, the applicant may submit additional relevant information to the office before the office issues a final decision.

(4) The office may request additional information it deems necessary to complete a review.

(5) The office shall issue a decision on an application within 30 days after all requested information is received.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-6 Criteria for Confirming the Amount of Property Loss

(1) The office shall determine eligibility for a loan based on the criteria in Section 35A-16-212 and this rule.

(2) The office may consider any relevant information related to the claimed property loss, including:

(a) police reports;

(b) insurance reports;

(d) appraisals;

(e) repair estimates; or

(f) witness statements.

(3) The applicant must report any compensation for the property loss from other sources, including goods and services donated.

(4)(a) The office may approve a loan if the preponderance of the information submitted establishes that the property loss was the direct result of the presence of a homeless services facility.

(b) The office shall determine the amount of a loan based on the established value of the personal property loss or the cost to clean, sanitize, repair, or restore real property.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-7 Distributing Money to Loan Recipients

(1) Loan funds may be disbursed to the property or business owner only.

(2) Loan funds may not be disbursed to contractors, suppliers, or insurance companies.

(3) In its discretion, the office may require security for a loan in a form and amount as the office determines is reasonably necessary to secure repayment.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-8 Priority of Loan Disbursements in the Event of Limited Funds

If requested loan amounts exceed the amount of available funds, the office shall fund loans in the order of the following priorities:

(1) severity of loss;

(2) urgency of loss, including financial need of the property owner;

(3) impact of the loss on public health, safety, or essential services; and

(4) date of loan application.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

Utah Admin. Code R988-700-9 Loan Repayment

(1) Loan repayment shall be the responsibility of the property owner.

(2) Loans shall be repaid within one year of disbursement.

(3) If the loan is not fully repaid after one year, the borrower shall pay a 5% late fee on the loan balance.

(4)(a) The office may initiate collection actions to recover unpaid loans.

(b) As provided by law, interest on the judgment amount, court costs, and attorney's fees may be included in a judgment.

History

KEY: homeless services, property loss
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-212

R988-1000 Homeless Services Provider Ombudsman

Utah Admin. Code R988-1000-1 Authority

This rule is authorized under Section 35A-16-1002, which authorizes the office to make rules governing the Homeless Services Provider Ombudsman.

History

KEY: homeless services, ombudsman
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-1002

Utah Admin. Code R988-1000-2 Definitions

Terms used in this rule are defined in Title 35A, Chapter 1, Department of Workforce Services, and Title 35A, Chapter 16, Office of Homeless Services.

History

KEY: homeless services, ombudsman
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-1002

Utah Admin. Code R988-1000-3 Scope

(1) The ombudsman is a neutral party who investigates complaints to resolve disputes between clients and homeless service providers.

(2) The ombudsman is not an advocate for clients or service providers, but exists to investigate complaints, resolve disputes, and improve delivery of homeless services.

(3) The ombudsman serves as a resource to service providers and public agencies and may coordinate with other public agencies throughout the state to provide training and make recommendations for improvement of services.

(4) The ombudsman may not:

(a) transport a client;

(b) provide services to a client beyond investigating or mediating a complaint;

(d) act as a payee;

(e) sign a consent form;

(f) sign a medical directive; or

(g) exercise a client's power of attorney.

History

KEY: homeless services, ombudsman
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-1002

Utah Admin. Code R988-1000-4 Complaint Procedure

(1) No later than 90 days from the date of the alleged circumstances giving rise to the complaint, a complainant may file a written, oral, or electronic complaint with the office at any of the following:

(a) an employment center;

(b) an email address or telephone number provided by the office; or

(2) A complaint should include:

(a) a summary of the reasons for the complaint;

(b) the names of persons involved;

(d) the complainant's desired outcome;

(e) whether the complainant requests the ombudsman to contact the complainant directly; and

(f) whether the complainant authorizes the ombudsman to release personally identifiable information concerning the complainant.

(3) A complaint may be filed by any person, including a client, a family member or close associate of a client, an advocacy group, or employee or volunteer of a homeless service provider.

(b) A complaint may be filed anonymously.

(4)(a) The ombudsman may request additional information from the complainant or the service provider.

(b) The ombudsman may decline to investigate a complaint that fails to provide sufficient information to allow further investigation.

(5) The ombudsman shall maintain data and records regarding the ombudsman's activities and complaints received.

History

KEY: homeless services, ombudsman
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-1002

Utah Admin. Code R988-1000-5 Time Limits for Complaints and Reviews

(1) Complaints should be filed within 90 days after the act or omission complained of occurred.

(2) Absent reasonable cause, complaints received after 90 days may not be considered.

(3) If requested, the ombudsman will generally try to contact the complainant within three business days of receiving a complaint.

(4) The ombudsman shall prioritize complaints alleging acts or omissions that place a client's health or safety at risk.

(5) If the ombudsman accepts a complaint for investigation, the ombudsman shall document the ombudsman's findings and recommendations, if any, within 90 days after receiving the complaint.

History

KEY: homeless services, ombudsman
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-1002

Utah Admin. Code R988-1000-6 Mediation of Disputes

(1) The ombudsman may conduct mediation to resolve disputes and settle complaints.

(2) The ombudsman is not required to verify a complaint to seek a resolution.

History

KEY: homeless services, ombudsman
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-1002

Utah Admin. Code R988-1000-7 Protection of Personal Information

(1) Records maintained by the ombudsman shall only be disclosed at the discretion of the ombudsman and in accordance with applicable laws governing the privacy and disclosure of government data and records.

(2) The identity of a complainant, client, or individual named in a complaint may be disclosed as part of an investigation involving the client to an agency that:

(a) has statutory responsibility for the client, or over the action alleged in the complaint;

(b) can assist the ombudsman to resolve the complaint; or

(3) The ombudsman shall report to the office substantiated findings that a provider has willfully interfered with an investigation or retaliated against any individual for the filing of a complaint or cooperation with the ombudsman.

History

KEY: homeless services, ombudsman
Date of Last Change: December 8, 2025
Authorizing, and Implemented or Interpreted Law: 35A-16-1002

R990 Housing and Community Development

R990-8 Permanent Community Impact Fund Board Review and Approval of Applications for Funding Assistance

Utah Admin. Code R990-8-1 Purpose

The Permanent Community Impact Fund Board (the Board) provides loans and/or grants to State agencies and subdivisions of the State which are or may be socially or economically impacted, directly or indirectly, by mineral resource development. Authorization for the Board is contained in Section 35A-8-301 et seq.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

Utah Admin. Code R990-8-2 Eligibility

Only those applications for funding assistance which are submitted by an eligible applicant for an eligible project shall be funded by the Board.

Eligible projects include: a) planning; b) the construction and maintenance of public facilities; and c) the provision of public services. "Public Facilities and Services" means public infrastructure or services traditionally provided by local governmental entities.

Eligible applicants include state agencies and subdivisions of the state and Interlocal agencies as defined in Subsection 35A- 8-302, which are or may be socially or economically impacted, directly or indirectly, by mineral resource development.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

Utah Admin. Code R990-8-3 Application Requirements

A. Applicants shall submit funding requests on the Board's most current application form, furnished by the Housing and Community Development Division (HCDD). Applicants submitting incomplete applications will be notified of deficiencies and their request for funding assistance will be held by the Board's staff pending submission of the required information by the applicant.

Complete applications that have been accepted for processing will be placed on one of the Trimester's upcoming "Application Review Meeting" agendas.

B. Additional general information not specifically covered by the application form should also be furnished to the Board and its staff when such information would be helpful to the Board in appraising the merits of the project.

C. For proposed drinking water and sewer projects, sufficient technical information must be provided to the Utah Department of Environmental Quality (DEQ) to permit its review. The Board will not act on any drinking water or sewer project unless it receives such review from DEQ.

D. Planning grants and studies normally require a fifty percent cash contribution by the applicant. Planning assistance requests shall be reviewed or provided by the Community Development Office.

E. The Board requires each applicant to have a vigorous public participation effort. Each applicant shall hold at least one formal public hearing to solicit comment concerning the size, scope and nature of any funding request prior to its submission to the Board. In that public hearing, the public shall be advised the financing may be in the form of a loan, even if the application requests a grant.

Complete and detailed information shall be given to the public regarding the proposed project and its financing. The information shall include the expected financial impact including potential repayment terms and the costs to the public as user fees, special assessments, or property taxes if the financing is in the form of a loan. The Board may require additional public hearings if it determines the applicant did not adequately disclose to the public the impact of the financial assistance during the initial public hearing.

When the Board offers an applicant a financial package that is substantially different in the amounts, terms or conditions initially requested by the applicant, the Board may require additional public hearings to solicit public comment on the modified funding package.

A copy of the public notice and transcript or minutes of the hearing shall be attached to the funding request. Public opinion polls may be submitted in addition to the transcript or minutes.

F. Letters of comment outlining specific benefits or problems to the community and the state may be submitted with the application.

G. Each applicant shall notify in writing the applicable Association of Governments of the applicant's intention to submit a funding request to the Board. A copy of any comments made by the Association of Governments shall be attached to the funding request. The Board encourages regional review and prioritization of funding requests to help ensure the timely consideration of all worthwhile projects.

H. Section 9-8-404 requires state agencies, before expending any state funds or approving any undertaking, to take into account the effect of the undertaking on any district, site, building structure or specimen that is included in or eligible for inclusion in the National Register of Historic Places or the State Register and to allow the state historic preservation officer (SHPO) a reasonable opportunity to comment on the undertaking or expenditure. To comply with that duty, the Board requires each applicant to provide the Board's staff with a detailed description of the proposed project attached to the application. The Board's staff will provide the SHPO with descriptions of applications which may have potential historic preservation concerns for the SHPO's review and comment in compliance with the Community Impact Board and SHPO Programmatic Agreement. The state historic preservation officer's comments on individual applications will be provided to the Board as part of the review process outlined in R990-8-4. If during the construction of the project the applicant discovers any cultural or paleontological resources, the applicant shall cease project activities which may affect or impact the cultural or paleontological resource, notify the Board and the SHPO of the discovery, allow the Board to take into account the effects of the project on cultural or paleontological resources, and not proceed until further approval is given by the Board.

I. Each applicant must provide evidence and arguments to the Board as to how the proposed funding assistance provides for planning, the construction and maintenance of public facilities, or the provision of public services.

J. Each applicant must demonstrate that the facilities or services provided will be available and open to the general public and that the proposed funding assistance is not merely a device to pass along low interest government financing to the private sector.

K. Each applicant must demonstrate that any arrangement with a lessee of the proposed project will constitute a true lease, and not a disguised financing arrangement. The lessee must be required to pay a reasonable market rental for the use of the facility. The applicant shall have no arrangement with the lessee to sell the facility to the lessee, unless fair market value is received.

L. Each applicant must submit evidence and legal opinion that it has the authority to construct, own, and lease the proposed project. In the case of a request for an interest-bearing loan, the applicant must provide an opinion of nationally-recognized bond counsel that the interest will not be subject to federal income taxes.

M. Each applicant shall certify to the Board that the applicant will comply with the provisions of Titles VI and VII of the Civil Rights Act of 1964, 42 USC 2000d et seq., which prohibit discrimination against any employee or applicant for employment or any applicant or recipient of services, on the basis of race, religion, color, or national origin. Each applicant shall comply with 41 CFR 60-1 (July 1968), which prohibits discrimination on the basis of sex; 45 CFR 90 (June 1979), which prohibits discrimination on the basis of age; Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, and 28 CFR 35 (July 1991), which prohibit discrimination on the basis of disability; and the Utah Antidiscrimination Act, Section 34A-5-101 through 34A-5-112, which prohibits discrimination against any employee or applicant for employment because of race, color, sex, age, religion, national origin, or handicap. Each applicant shall certify compliance with the Americans with Disabilities Act to the Board on an annual basis and upon completion of the project.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

Utah Admin. Code R990-8-4 Board Review Procedures

A. The Board will review applications and authorize funding assistance on a "Trimester" basis. The initial meetings of each "Trimester" are "Project Review Meetings". The final meeting of each "Trimester" is the "Project Funding Meeting". Board meetings shall be held monthly on the 1st Thursday of each month, unless rescheduled or cancelled by the chairman or by formal motion of the board. The Trimesters shall be as follows:

1st Trimester: application deadline, June 1st; Project Review Meetings, July, August, September; Project Funding Meeting October.
2nd Trimester: application deadline, October 1st; Project Review Meetings, November, December, January; Project Funding Meeting, February.
3rd Trimester: application deadline, February 1st; Project Review Meetings, March April, May; Project Funding Meeting, June.

B. The process for review of new applications for funding assistance shall be as follows:

Submission of an application, on or before the applicable deadline to the Board's staff for technical review and analysis.
Incomplete applications will be held by the Board's staff pending submission of required information.
Complete applications accepted for processing will be placed on one of the Trimester's upcoming "Project Review Meeting" agendas.
At the "Project Review Meeting" the Board may either:

a. deny the application;

b. place the application on the "Pending List" for consideration at a future "Project Review Meeting" after additional review, options analysis and funding coordination by the applicant and the Board's staff;

c. place the application on the "Priority List" for consideration at the next "Project Funding Meeting".

C. Applicants and their representatives shall be informed of any "Project Review Meeting" at which their applications will be considered. Applicants shall make formal presentations to the Board and respond to the Board's questions during the "Project Review Meetings". If an applicant or its representatives are not present to make a presentation, the board may either:

deny the application;
place the application on the "Pending List" for consideration at a future "Project Review Meeting".

D. No funds shall be committed by the Board at the "Project Review Meetings", with the exception of circumstances described in Subsection F.

E. Applications for funding assistance which have been placed on the "Priority List" will be considered at the "Project Funding Meeting" for that Trimester. At the "Project Funding Meeting' the Board may either:

deny the application;
place the application on the "Pending List" for consideration at a future "Project Review Meeting".
authorize funding the application in the amount and terms as determined by the Board.

F. In instances of bona fide public safety or health emergencies or for other compelling reasons, the Board may suspend the provisions of this section and accept, process, review and authorize funding of an application on an expedited basis.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

Utah Admin. Code R990-8-5 Community Impact Board (CIB) Application Lists

A. A consolidated list of the anticipated capital needs for eligible entities, the CIB application list, shall be submitted by each county area, or in the case of state agencies, by HCDD. This list shall be produced as a cooperative venture of eligible entities within a county area.

B. The CIB application list shall contain a one-year short-term component, which shall be submitted to the Board, and a five-year medium-term component, which shall be maintained by the Association of Governments responsible for the CIB application list.

C. The CIB application list shall contain the following items: statement of jurisdiction, summary description, project time frame, anticipated time of submission to the Board, projected overall cost of project, anticipated funding sources, the individual applicant's priority for the applicant's projects, and the county area priority for each project. The county area priority for each project shall be developed as a cooperative venture of eligible entities within a county area.

D. Projects not identified in a county area's or HCDD's CIB application list will not be funded by the Board, unless the project addresses a bona fide public safety or health emergency, or for other compelling reasons.

E. The CIB application list shall be submitted to the Board annually and no later than May 1st of each year. The annual list shall be submitted in the uniform format required by the Board.

F. If the CIB application list from a county area does not contain the information required in Subsection R990-8-5(C), or is not in the uniform format required in Subsection R990-8-5(E), all applications from the affected county area will be held by the Board's staff until a future Trimester pending submission of the required information in the uniform format.

G. The Board has authorized its staff to hold any application that does not appear on the applicable CIB application list.

H. The regional Association of Governments is the compiler of the CIB application list for each region and may not amend the annual CIB application list, unless the CIB application list submitted to the Board is incomplete or in the incorrect format as provided in Subsection R990-8-5(F), then the Association of Governments may amend the CIB application list to submit the required information in the uniform format.

I. An applicant whose project addresses a bona fide public safety or health emergency, or who presents other compelling reasons for project funding, may request "Special Consideration" to have the project placed on a Board agenda.

J. "Special Consideration" projects on a Board agenda will be considered by the Board only if the Board passes a motion to consider the project.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

Utah Admin. Code R990-8-6 Modification or Alteration of Approved Projects

A recipient of PCIFB grant funds may not, for a period of ten years from the approval of funding by the Board, change or alter the use, intended use, ownership or scope of a project without the prior approval of the Board. A recipient of PCIFB loan funds may not, for the term of the loan, change or alter the use, intended use, ownership or scope of a project without the prior approval of the Board. The recipient shall submit a written request for such approval and provide such information as requested by the Board or its staff, including at a minimum a description of the modified project sufficient for the Board to determine whether the modified project is an eligible use of PCIFB funds.

The Board may place such conditions on the proposed modifications or modified project as it deems appropriate, including but not limited to modifying or changing the financial terms, requiring additional project actions or participants, or requiring purchase or other satisfaction of all or a portion of the Board's interests in the approved project. Approval shall only be granted if the modified project, use or ownership is also an eligible us of PCIFB funds, unless the recipient purchases or otherwise satisfies in full the Board's interest in the previously approved or the proposed project.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

Utah Admin. Code R990-8-7 Procedures for Electronic Meetings

A. These provisions govern any meeting at which one or more members of the Board or one or more applicant agencies appear telephonically or electronically pursuant to Section 52-4-207.

B. If one or more members of the Board or one or more applicant agencies may participate electronically or telephonically, public notices of the meeting shall so indicate. The notice shall specify the anchor location where the members of the Board not participating electronically or telephonically will be meeting and where interested persons and the public may attend, monitor, and participate in the open portions of the meeting. The Board may convene and conduct an electronic meeting without an anchor location in compliance with Subsection 52-4-207(4).

C. Notice of the meeting and the agenda shall be posted at the anchor location. Written or electronic notice shall also be provided to at least one newspaper of general circulation within the state and to a local media correspondent. These notices shall be provided at least 24 hours before the meeting.

D. Notice of the possibility of an electronic meeting shall be given to the members of the Board and applicant agencies at least 24 hours before the meeting. The notice shall describe how the members of the Board and applicant agencies may participate in the meeting electronically or telephonically.

E. When notice is given of the possibility of a member of the Board appearing electronically or telephonically, any member of the Board may do so and shall be counted as present for purposes of a quorum and may fully participate and vote on any matter coming before the Board. At the commencement of the meeting, or at such time as any member of the Board initially appears electronically or telephonically, the Chair shall identify for the record all those who are appearing telephonically or electronically. Votes by members of the Board who are not at the anchor location of the meeting shall be confirmed by the Chair.

F. The anchor location shall be designated in the notice. The anchor location is the physical location from which the electronic meeting originates or from which the participants are connected. The anchor location must have space and facilities so that interested persons and the public may attend, monitor, and participate in the open portions of the meeting.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

Utah Admin. Code R990-8-8 Major Infrastructure Set Aside Fund

A. Creation of Fund

There is hereby created within the Permanent Community Impact Fund the Major Infrastructure Set Aside Fund.
The Purpose of this Fund is to allow the Board to participate and fund major transportation and other significant infrastructure studies and projects where the Board participation may exceed five million dollars ($5,000,000).

B. Transfer of Monies to the Fund

At each funding meeting, after action is taken on all projects on the prioritization list, the Board shall consider whether to transfer any money in the Permanent Community Impact Fund to the Major Infrastructure Set Aside Fund. The Board may transfer such amounts as it deems appropriate, in its discretion, based on motion and a majority vote of the Board.
When money is transferred to the Major Infrastructure Set Aside Fund the Board shall identify whether the money being transferred is Bonus or Mineral Lease money. The status of the money as Bonus monies or Mineral Lease monies shall continue while the monies are in the Major Infrastructure Set Aside Fund and may only be granted or loaned in accordance with that status.
The Division shall maintain an accounting of the funds in the Major Infrastructure Set Aside Fund as bonus funds or mineral lease funds and shall separately identify the status of the money in the Major Infrastructure Set Aside Fund in its briefings to the Board.

C. Use of the Fund

Money in the Major Infrastructure Set Aside Fund may only be used to fund major transportation and other significant infrastructure studies and projects. These projects would include pipelines, roadways, rail lines, and other major infrastructure activities where the cost may exceed five million dollars ($5,000,000) and where the project is within the purposes for the creation and use of the Fund. The Board, on motion and majority vote, shall designate and allow the use of the money from the Fund, specifying whether the money comes from the Bonus or Mineral Lease monies in the Fund.
Repayment on any loans from the Major Infrastructure Set Aside Fund shall be credited to and placed in the Major Infrastructure Set Aside Fund. Payments on Bonus money loans shall maintain their status as Bonus monies. The Division shall maintain a separate accounting of all loan payments in the Major Infrastructure Set Aside Fund.

D. Reconversion of Monies from the Fund

The Board may, at any time on motion and majority vote, reconvert and transfer funds from the Major Infrastructure Set Aside Fund back to the general Permanent Community Impact Fund. The motion and action of the Board shall specify if the money being transferred back to the general Permanent Community Impact Fund is Bonus or Mineral Lease money, and that status of the money shall continue in the general Permanent Community Impact Fund.

History

KEY: grants
Date of Last Change: July 1, 2021
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-305; 35A-8-306; 35A-8-307

R990-9 Policy Concerning Enforceability and Taxability of Bonds Purchased

Utah Admin. Code R990-9-1 Enforceability

In providing any financial assistance in the form of a loan, the (Board/Committee) representing the State of Utah (the "State") may purchase Bonds or other legal obligations (the "Bonds") of various political subdivisions (interchangeably, as appropriate, the "Issuer" or "Sponsor") of the State only if the Bonds are accompanied by a legal opinion of recognized municipal bond counsel to the effect that the Bonds are legal and binding under applicable Utah law.

History

KEY: grants
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-9-2 Tax-Exempt Bonds

In providing any financial assistance in the form of a loan, the (Board/Committee) may purchase either taxable or tax- exempt Bonds; provided that it shall be the general policy of the (Board/Committee) to purchase Bonds of the Issuer only if the Bonds are tax-exempt and are accompanied by a legal opinion of recognized municipal bond counsel to the effect that interest on the Bonds is exempt from federal income taxation. This does not apply for Bonds carrying a zero percent interest taxation. This tax opinion must be provided by the Issuer in the following circumstances:

a. When Bonds are issued and sold to the State to finance a project which will also be financed in part at any time by the proceeds of other Bonds, the interest on which is exempt from federal income taxation.

b. When (i) Bonds are issued which are no subject to the arbitrage rebate provision or Section 148 of the Internal Revenue Code of 1986 (or any successor provisions of similar intent) (the "Code"), including, without limitation, Bonds covered by the "small governmental units" exemption contained in Section 148 (f) (4) (c) of the Code, and (ii) when Bonds are issued which are not subject to arbitrage rebate because the gross proceeds from the loan will be completely expended within six months after the issuance of the Bonds.

Notwithstanding the above, the (Board/Committee) may purchase taxable Bonds if it determines, after evaluating all relevant circumstances including the Issuer's ability to pay, that the purchase of the taxable Bonds is in the best interests of the State and the Issuer.

History

KEY: grants
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-9-3 Parity Bonds

In addition to the policy stated above, it is the general policy of the (Board/Committee) that Bonds purchased by the (Board/Committee) shall be full parity Bonds with other outstanding Bonds of the Issuer. Exceptions to this parity requirement may be authorized by the (Board/Committee) if the (Board/Committee) makes a determination that

(i) the revenues or other resources pledged as security for the repayment of the Bonds are adequate (in excess of 100% coverage) to secure all future payments on the Bonds and all debt having a lien superior to that of the Bonds and

(ii) the Issuer has covenanted not to issue additional Bonds having a lien superior to the Bonds owned by the (Board/Committee) without the prior written consent of the (Board/Committee), and

(iii) requiring the Issuer to issue parity bonds would cause undue stress on the financial feasibility of the project.

History

KEY: grants
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

R990-10 Procedures in Case of Inability to Formulate Contract for Alleviation of Impact

Utah Admin. Code R990-10-1 Purpose

A. The following procedures are promulgated and adopted by the Permanent Community Impact Fund Board ("Board") of the Department of Workforce Services of the State of Utah pursuant to Section 35A-8-306(4), UCA 1953 as amended.

B. In the event a project entity or a candidate ("Complainant") submits a request for determination to the Board under Section 11-13-306, UCA 1953 as amended, the Board shall hold a hearing on the questions presented. These proceedings shall be conducted informally, in accordance with the requirements of the Utah Administrative Procedure Act ("Act"), Section 63G-4- 202(1), UCA 1953 as amended, unless the Board at its discretion converts the proceeding to a formal proceeding, in accordance with Section 63G-4-202(3) UCA 1953 as amended, if such action is deemed to be in the public interest and does not unfairly prejudice the rights of any party.

C. The only grounds available for relief are those set forth in Section 11-13-306, UCA 1953 as amended, or those reasonably inferred therefrom.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

Utah Admin. Code R990-10-2 Commencement of the Procedure Requesting a Determination

A. Commencement of the procedure to request a determination from the Board shall be conducted in conformity with Section 63G-4-201(3).

A complainant requesting a determination from the Board must submit such a request:

a. In writing;

b. Signed by the person invoking the jurisdiction of the Board or by that person's representative; and

c. Including the following information:

The names and addresses of all parties to whom a copy of the request for a hearing is being sent;
The Board's file number or other reference number;
The name of the adjudicative proceeding, if known;
The date the request for the hearing was mailed;
A statement of the legal authority and jurisdiction under which action by the Board is requested;
A statement of relief sought from the Board; and
A statement of facts and reasons forming the basis for relief.

B. The Complainant shall file the request for a determination with the Board and at the same time, shall serve a copy of the request upon the party complained against (the "Respondent"). The Complainant shall also mail a copy of the request to each person known to have a direct interest in the request for a determination by the Board.

C. The Respondent shall serve a response within fifteen (15) days after the request is served upon the Respondent. The Respondent may admit, deny or explain the point of view of Respondent as to each allegation in the request. Not to respond to any allegation is to admit that allegation. The Respondent may pose a counteroffer to Complainant's request for relief. Any counteroffer must be supported by reasons. Requests and responses may be directed at multiple parties.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

Utah Admin. Code R990-10-3 Notification of Parties

A. The Board shall promptly give notice by mail to all parties that the hearing will be held, stating the following:

The Board's file number or other reference number;
The name of the proceedings;
Designate that the proceeding is to be conducted informally according to the provisions or rules enacted under Section 63G-4-202 and Section 63G-4-202, UCA 1953 as amended, with citation to Section 63G-4-202 authorizing the designation;
State the time and place of the scheduled hearing, the purpose for which the hearing is to be held, and that a party who fails to attend or participate may be held in default; and
Give the name, title, mailing address and telephone number of the presiding officer for the hearing.

B. At any time twenty (20) or more days before the hearing begins, either party may serve upon the adverse party an offer to agree to specific terms and payments. If, within ten (10) days after the service of the offer, the adverse party serves written notice that the offer is accepted, either party may then file the offer and notice of acceptance, together with proof of service thereof, and the Board shall enter a corresponding order. An offer not accepted shall be deemed withdrawn and evidence concerning it is not admissible except in a proceeding to determine costs. If the order finally obtained from the offeree is not more favorable than the offer, the offeree shall pay the costs incurred after the making of the offer, including a reasonable attorney's fee. The fact that an offer is made but not accepted does not preclude a subsequent offer.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

Utah Admin. Code R990-10-4 Informal Hearing Procedures

A. Within forty (40) days after receiving a request for determination, the Board shall hold a public hearing on the questions at issue.

B. The Board may appoint an administrative law judge to preside in its stead at the hearing and to hear such preliminary motions and manage such ancillary matters as the Board deems necessary and appropriate.

C. In the hearing, the parties named in the request for determination shall be permitted to testify, present evidence, comment on the issues and bring forth witnesses who may be examined and cross-examined. The hearing may be adjourned from time to time in the interest of a full and fair investigation of the facts and the law.

D. Discovery is prohibited, and the Board may not issue subpoenas or other discovery orders.

E. All parties shall have access to information contained in the Board's files and to all materials and information gathered by any investigation to the extent permitted by the law.

F. Any intervention is prohibited.

G. All hearings shall be open to all parties.

H. Within twenty (20) days after the close of the hearing, the Board or the administrative law judge shall issue a signed order in writing that states:

The decision;
The reasons for the decision;
A notice of any right for administrative or judicial review available to the parties; and
The time limits for filing a request for reconsideration or judicial review.

I. The order issued by the Board or by the administrative law judge shall be based on the facts appearing in the Board's files and on the facts presented in evidence at the hearing.

J. Any determination order issued by the Board or by the administrative law judge shall specify:

The direct impacts, if any, or methods determining the direct impacts to be covered; and
The amounts, or methods of computing the amounts, of the alleviation payments, if any, or the means to provide for impact alleviation, provisions assuring the timely completion of the facilities and the furnishing of the service, if any; and
Other pertinent matters.

K. A copy of the Board's or the administrative law judge's order shall be promptly sent to all parties.

L. All hearings shall be recorded at the Board's expense. Any party, at his own expense, may have a reporter approved by the Board prepare a transcript from the Board's record of the hearing.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

Utah Admin. Code R990-10-5 Formal Hearing Procedures

A. At any time prior to issuance of the final order, the Board at its discretion may convert the informal adjudicative hearing into a formal adjudicative hearing, as allowed in Section 63G-4-202(3). The procedures to be followed in such a formal adjudicative hearing are given below.

C. A party may be represented by an officer or the party or by legal counsel.

D. In the hearing, the parties named in the request for determination shall be permitted to testify, present evidence, comment on the issues and bring forth witnesses who may be examined and cross-examined. The hearing may be adjourned from time to time in the interest of a full and fair investigation of the facts and the law.

E. Utah Rules of Evidence shall be in effect; however,

Copies of original documents may be introduced into evidence unless objected to for reasons of illegibility or tampering.
Hearsay will be considered for its weight but will not be conclusive in and of itself as to any matter subject to proof.

F. Discovery in formal proceedings shall be limited. Because negotiation between the parties shall have been proceeding prior to a request for determination being submitted, the Board or the administrative law judge shall assume that discovery is complete when a request is submitted. However, upon motion and sufficient cause shown, the Board or the administrative law judge may extend the period of discovery.

G. All parties shall have access to information contained in the Board's files and to all materials and information gathered by any investigation to the extent permitted by the law.

H. The Board or the administrative law judge may give a person not a party to the proceeding the opportunity to present oral or written statements at the hearing.

I. All testimony presented at the hearing, if offered as evidence to be considered in reaching a decision on the merits, shall be given under oath.

J. All hearings shall be open to all parties.

K. Intervention into the formal hearing will be allowed on the following basis:

Any person not a party may file a signed, written petition to intervene in a formal adjudicative hearing with the Board. The person who wishes to intervene shall mail a copy of the petition to each party. The petition shall include:

a. The Board's file number or other reference number;

b. The name of the proceeding;

c. A statement of facts demonstrating that the petitioner's legal rights or interests are substantially affected by the formal adjudicative hearing, or that the petitioner qualifies as an intervenor under any provision of law; and

d. A statement of the relief the petitioner seeks from the Board.

The Board or the administrative law judge shall grant a petition for intervention if it determines that:

a. The petitioner's legal interests may be substantially affected by the formal adjudicative hearing; and b. The interests of justice and the orderly and prompt conduct of the adjudicative hearing will not be materially impaired by allowing the intervention.

Any order granting or denying a petition to intervene shall be in writing and sent by mail to the petitioner and each party.
An order permitting intervention may impose conditions on the intervenor's participation in the adjudicative hearing that are necessary for a just, orderly, and prompt conduct of that hearing. Such conditions may be imposed by the Board or the administrative law judge at any time after the intervention.

L. Within twenty (20) days after the close of the hearing, the Board or the administrative law judge shall issue a signed order in writing that states:

The decision based upon findings of fact and conclusions of law;
The reasons for the decision;
A notice of any right for administrative or judicial review available to the parties; and
The time limits for filing a request for reconsideration or judicial review.

M. The order issued by the Board or by the administrative law judge shall be based on the facts appearing in the Board's files and on the facts presented in evidence at the hearing.

N. Any determination order issued by the Board or by the administrative law judge shall specify:

The direct impacts, if any, or methods determining the direct impacts to be covered; and
The amounts, or methods of computing the amounts, of the alleviation payments, if any, or the means to provide for impact alleviation, provisions assuring the timely completion of the facilities and the furnishing of the service, if any; and
Other pertinent matters.

O. A copy of the Board's or the administrative law judge's order shall be promptly sent to all parties.

P. All hearings shall be recorded at the Board's expense. Any party, at his own expense, may have a reporter approved by the Board prepare a transcript from the Board's record of the hearing.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

Utah Admin. Code R990-10-6 Default

A. The Board or the administrative law judge may enter an order of default against a party if that party fails to participate in the adjudicative proceedings.

B. The order shall include a statement of the grounds for default and shall be mailed to all parties.

C. A defaulted party may seek to have the Board set aside the default order according to procedures outlined in the Utah Rules of Civil Procedure.

D. After issuing the order of default, the Board or the administrative law judge shall conduct any further proceedings necessary to complete the adjudicative proceeding without the participation of the party in default and shall determine all issues in the adjudicative proceeding, including those affecting the defaulted party.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

Utah Admin. Code R990-10-7 Reconsideration by the Board

Within ten (10) days after the date that a final order is issued by the Board or the administrative law judge, any party may file a written request for reconsideration in accordance with the provisions of Section 63G-4-302, UCA 1953 as amended. Upon receipt of the request, the disposition by the Board of that written request shall be in accordance with Section 63G-4- 302(3), UCA 1953 as amended. With the exception of reconsideration, all orders issued by the Board or the administrative law judge shall be final. There shall be no other review except for judicial review as provided below.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

Utah Admin. Code R990-10-8 Judicial Review

An aggrieved party may also obtain judicial review of final orders issued by the Board or by the administrative law judge by filing a petition for judicial review of that order in compliance with the provisions and requirements of Section 63G-4- 401 and Section 63G-4-402, UCA 1953 as amended.

History

KEY: impacted area programs
Date of Last Change: July 9, 2012
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-306; 35A-8-1004

R990-100 Community Services Block Grant Rules

Utah Admin. Code R990-100-1 Authority

This rule is authorized under Title 35A, Chapter 8, Part 10, State Community Services Act, which allows the Housing and Community Development Division to receive funds for and to administer federal aid programs.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-1a Acronyms

(1) "HCDD" means Housing and Community Development Division.

(2) "CSBG" means Community Services Block Grant.

(3) "SCSO" means State Community Services Office.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-1b Definitions

In addition to the definitions of terms found in Section 35A-8-1002 and the Community Services Block Grant Program, 42 U.S.C. Sec. 9902, the following definitions apply to this rule:

(1) "Community Action Programs" means local private and public non-profit organizations that carry out the Community Action Program (CAP), which was founded by the 1964 Economic Opportunity Act to fight poverty by empowering the low-income as part of the War on Poverty.

(2) "CSBG Act" means the Community Opportunities, Accountability, and Training and Educational Services Act of 1998, also known as the COATES Act, Pub. L. No. 105 et seq., 42 U.S.C., Chapter 106.

(3) "Department" means the Department of Workforce Services.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-2 Purpose

The purpose of this rule is to establish standards and procedures for the CSBG authorized under the CSBG Act, contracted to eligible entities within counties or combinations of counties and Community Action Programs to provide a range of services and activities having a measurable and potentially major impact on causes of poverty in the local communities.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-3 Eligible Grantees for CSBG Programs and Projects

(1) Utah shall distribute at least 90% of available funds as pass-through grants to eligible entities to administer directly or, at the eligible entity's option, to sub-contract, for the performance of eligible activities. Eligibility for the 5% discretionary funds will be established by the state plan.

(2) When a public eligible entity chooses to sub-contract all program operations to a private entity, the private entity must be a non-profit organization directed by a board whose composition complies with 42 U.S.C. Sec. 9910.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-4 Assurances Required by CSBG Act

Each eligible entity shall be required through the application and agreement process to submit a certification of assurances based on CSBG programmatic, administrative, and financial requirements of the CSBG Act as outlined by CSBG Program Directives prepared by the SCSO.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-5 Compliance

Each eligible entity must maintain its eligibility to receive CSBG funds by being in compliance with applicable laws, regulations, performance requirements, CSBG organizational standards as defined by the Department of Health and Human Services' Office of Community Services, and contractual agreements. The state may examine any aspects of CSBG funded activities to ensure compliance.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-6 Qualifications

(1) Each eligible entity shall demonstrate that it has in place, or shall have in place before undertaking CSBG funded program activities, management systems adequate to ensure that CSBG funds are spent efficiently and effectively.

(2) When activities are sub-contracted, the eligible entity shall have in place a system and assume the responsibility for monitoring and evaluating sub-contracts.

(3) Files must be retained containing the monitoring and evaluation results and be available for the state's review for at least three years after the completion of the contract.

(4) In no case shall the state provide funds to a grantee if available evidence suggests that the grantee cannot fulfill its obligations under the terms of the assurances required by the CSBG Act and the state plan for the use of CSBG funds.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-7 Program Participant Eligibility

Income eligibility at or below 125% of the federal poverty level for program participation shall be based on the Office of Management and Budget official poverty guidelines as described in 42 U.S.C. Sec. 9902. Income verification shall be consistent with the income verification policy established by SCSO.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-8 Funds Allocation

(1) CSBG funds shall be allocated on the basis of federal fiscal years beginning October 1 to eligible entities by the formula in Subsection R990-100-8(2).

(2) Formula for allocating CSBG funds.

(a) Each eligible entity selected for funding shall be awarded an equal, minimum base amount.

(b) The amount remaining after subtraction of the sum of the minimum base amount shall be allocated among the eligible entities based on a poverty formula developed by SCSO.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-9 Approval Process

(1) Criteria shall be used to review applications for CSBG funds and shall be distributed to eligible entities as SCSO Program Directives.

(2) Each eligible entity shall annually submit an application and community action plan based on needs identified within the community.

(3) Application and action plans are reviewed by SCSO staff for consistency with program requirements and community needs.

(4) A CSBG eligible entity shall be notified of application status 30 days or less after the closing date of application submissions.

(5) An application found to be incomplete or inadequate will be returned to the eligible entity for appropriate changes.

(6) The SCSO will provide technical assistance to any eligible entity that demonstrates need throughout the application process.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-10 Award Procedures

The state shall contract with an eligible entity on October 1 contingent upon federal authorization and appropriation for CSBG. Once signed, this contract shall be binding on both parties.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-11 Fiscal Operations Procedures

(1) Each eligible entity shall have an acceptable procedure describing functions of its fiscal office and including at a minimum:

(a) purchasing procedure;

(b) system of cash control;

(d) internal and external reporting systems.

(2) Fiscal procedures shall be in compliance with applicable state and federal regulations, including 45 CFR Part 75, and conform with generally accepted accounting procedures.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-12 Financial Reports and Reimbursements

(1) Financial reports must be submitted on a no more frequently than monthly and no less frequently than quarterly basis.

(2) Each eligible entity shall receive reimbursement based on a monthly financial status report and certification of work program activities.

(3) Each report must be signed by either:

(a) the contract signatory; or

(b) someone designated by the signatory, with a letter of designation filed with the state.

(4) Final reimbursement requests shall be due by the date stipulated by SCSO contract.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-13 Administrative Cost

Administrative costs include expenditures allowed by 45 CFR Part 75, incurred to administer the CSBG through an indirect cost rate, approved by a federal agency or a cost allocation plan approved by the SCSO.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-14 Travel and Per Diem

Travel, per diem, and allowances for staff and board members shall be determined by approved eligible entity guidelines which establish rates of reimbursement.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-15 Purchasing, Receiving, and Accounts Payable

(1) An eligible entity shall develop and have approved procedures for handling purchasing, receiving, and accounts payable that comply with 45 CFR Part 75. In the absence of a local procedure, the state procedure shall be followed. These procedures shall include:

(a) pre-numbered purchase orders and vouchers for any items of cost and expense;

(b) procedures to insure procurement at competitive prices;

(d) effective review following prescribed procedures for program coding, pricing, and extending vendors' invoices;

(e) invoices matched with purchase orders and receiving reports;

(f) adequate controls, such as checklists for statement closing procedures to insure that open invoices and uninvolved amounts for goods and services are properly accrued or recorded in the books or controlled through worksheet entries; and

(g) adequate segregation of duties in that different individuals are responsible for:

(i) purchase;

(ii) receipt of merchandise or services; and

(iii) voucher approval.

(2) A list of anticipated equipment purchases must accompany the application for funding. Purchases over $1,000 must receive written state approval.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-16 Property and Equipment

(1) Each eligible entity shall develop procedures for control of property and equipment that comply with 45 CFR Part 75.

(2) The procedures described in Section R990-100-16 shall include:

(a) an effective system of authorization and approval of equipment purchase;

(b) accounting practices for recording assets;

(c) detailed records of individual assets which are maintained and periodically balanced with the general ledger accounts;

(d) effective procedures for authorizing and accounting for equipment disposal; and

(e) secure storage of property and equipment.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-17 Purchase or Improvement of Land or Buildings

Funds shall not be used for purchase or improvement of land, or the purchase, construction, or permanent improvement other than low-cost residential weatherization or other energy related home repairs of any building or other facility except as this prohibition may be waived under conditions described in 42 U.S.C. Sec. 9918.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-18 Personnel Policies

(1) Each eligible entity shall maintain written personnel policies, available for review.

(2) The policies described in Section R990-100-18 shall include:

(a) classification and pay plan;

(b) policies governing selection, appointment, and written evaluation;

(d) employee benefits;

(e) employee-management relations including procedures for filing and handling grievances, complaints, and rights of appeal;

(f) personnel records and payroll procedures;

(g) job description for each position;

(h) Drug Free Work Place Policy; and

(i) Whistle Blower Policy.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-19 Civil Rights

(1) A CSBG funded program shall comply with the nondiscrimination provisions contained in 42 U.S.C. Sec. 9918.

(2) An eligible entity shall have on file an affirmative action plan that describes what the entity will do to ensure that current and prospective employees and program participants are treated in a non-discriminatory manner. This plan shall also include a grievance procedure to address allegations of discrimination by prospective and current staff members or program participants.

(3) This Section R990-100-19 shall apply to each grantee and sub-grantee, except where special conditions apply, such as those for Indians, migrants, or seasonal farm workers.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-20 Prohibition of Political Activities

(1) Each eligible entity shall be responsible for assuring adherence to political activity prohibitions contained in 42 U.S.C. Sec. 9918.

(2) Monitoring of sub-grantees shall be required as a part of the eligible entity's administrative responsibilities.

(3) A description of the eligible entity's process shall be available for state review during monitoring visits or upon request.

(4) Violations shall be reported to the SCSO immediately along with reports of measures taken by the eligible entity to restore compliance.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-21 Audits and Inspection

Each eligible entity shall have performed by an independent certified public accounting firm, an annual audit that conforms with 45 CFR Part 75, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards. The audit shall be submitted no later than one year following the end of the grantee's fiscal year.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-22 Suspension or Termination of Funds

(1) If monitoring reports or independent audit reports show continuing, substantial non-compliance with contract requirements, accounting procedures, or fiscal control requirements, HCDD may require the eligible entity to submit and implement a Quality Improvement Plan within 60 days of notice of deficiency.

(a) HCDD will not act to suspend or terminate funding unless timely and reasonable communication with the eligible entity fails to produce corrective action to HCDD's satisfaction.

(b) The eligible entity shall not be relieved of liability to the state for funds expended for an improper purpose or federal audit exceptions sustained by the state by virtue of a breach of the contract by the agency, and the state may withhold or recover payments to the eligible entity until the exact amount of damage due the state from the eligible entity is determined.

(2) Pursuant to the contract between the state and eligible entity, delegation of funds and activities to others may not be made without prior approval of HCDD and SCSO.

(3) If HCDD acts to suspend or terminate funding to an eligible entity, HCDD will issue a notice of agency action detailing the reasoning for terminating or suspending funding, including information concerning any Quality Improvement Plan and communication concerning the failure to produce corrective action.

(4) An entity that receives a notice of agency action may request a hearing on the record, pursuant to 42 U.S.C. Sec. 9908(b)(8).

(a) The request for hearing must be in writing, approved and signed by the entity's elected officials, and must set forth the grounds for the request.

(b) The request for hearing must be filed with the Department Division of Adjudication within 30 calendar days from the date of the notice of agency action.

(c) In computing the time allowed for filing a request for hearing, the date as it appears in the notice of agency action is not included. The last day of the request period is included in the computation unless it is a Saturday, Sunday, or legal holiday when the offices of the Department are closed. If the last day permitted for filing a request falls on a Saturday, Sunday, or legal holiday, the time permitted for filing an appeal will be extended to the next day when the Department offices are open.

(d) The date of receipt of a request is the date the request is actually received by the Department Division of Adjudication, as shown by the Department's date stamp on the document or other credible evidence such as a written or electronic notation of the date of receipt, and not the post mark date from the post office. If the appeal is faxed to the Department Division of Adjudication, the date of receipt is the date recorded on the fax.

(e) If an eligible entity does not request a hearing within the 30-day period, the notice of agency action will be effective at the end of the 30 days.

(5) The hearing on the record will be conducted in accordance with the procedures outlined in Sections R986-100-124 through R986-100-133.

(6) If the eligible entity disagrees with the Administrative Law Judge decision, the entity may appeal to the Department Executive Director or person designated by the Executive Director. The appeal must be filed, in writing, within 30 days of the issuance of the decision of the Administrative Law Judge.

(a) The decision by the Department Executive Director or person designated by the Executive Director constitutes the final agency decision.

(7) If the eligible entity disagrees with a final agency decision to terminate funding, it may appeal to the Secretary of the U.S. Department of Health and Human Services, as provided in 45 C.F.R. 96.92.

(a) Pursuant to 45 C.F.R. 96.92, if an eligible entity has made a request for review, SCSO may not discontinue current or future funding until the U.S. Department of Health and Human Services confirms the final agency decision.

(b) Pursuant to 45 C.F.R. 96.92, if an eligible entity does not make a request for review within the 30-day period, the final agency decision will be effective at the end of the 30 days.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-24 Amendments

An eligible entity may request contract period end dates be extended for up to 180 days to spend program or project carryover funds amounting to less than 10%, or an amount approved by the state, of the total contract amount.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-25 Program Monitoring and Evaluations

(1) Monitoring will be accomplished through review of the fiscal, programmatic, and progress reports and on-site visits.

(a) On-site visits shall automatically be initiated in response to a written complaint of financial or programmatic non- compliance.

(b) Monitoring will relate to eligible entity compliance with federal assurances and federal and state requirements in program management and operation.

(2) Evaluation of CSBG funded programs shall be conducted by the state or by the eligible entity and shall be distinct from both compliance monitoring and the state's examination of a CSBG eligible entity to ensure the entity is eligible to receive CSBG funds and is in compliance with CSBG related obligations.

(a) Evaluation will involve measurement of program performance results, and the impact of an eligible entity's efforts.

(b) CSBG evaluations will be primarily a joint state and local effort, but the state mayconduct evaluations of CSBG programs at any time for purposes it considers appropriate. The state will make reasonable efforts to accommodate an eligible entity's concerns.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-26 Program Reporting Requirements

An eligible entity shall maintain client profile records on individual clients, households, or groups of clients, if appropriate. A compiled report of the number and characteristics of clients served shall be submitted to SCSO on an annual basis by the SCSO stated due date.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-28 Citizen Participation

(1) The state requires citizen participation and supports maximum participation of any interested persons and groups in the development and implementation of the CSBG programs at the state and local level, in advisory or administering capacity.

(2) Tripartite boards are required for governing boards of private, non-profit organizations and for the administering or advisory boards of public agencies and shall conform to the requirements outlined in 42 U.S.C. Sec. 9910.

(a) A minimum of one third of the board must represent the interests of low-income individuals. A description of the democratic selection process for representatives of low-income individuals will be available for review.

(b) One third of the members of the board must be elected public officials, currently holding office, or their representatives, except if not enough public officials are willing or available, appointed public officials may serve. Minutes of meetings or letters of appointment must be on file for review.

(c) The remaining board members must be officials or members of business, industry, labor, religious, welfare, education, or other major groups in the community. A description of the process used for selection of private sector representatives will be available for review. The description shall include a process for interested private sector groups to petition for membership and how the petition will be considered.

(2) As a part of the community needs assessment portion of the planning phase, which shall be conducted every three years, each eligible entity shall conduct public forums for low-income residents of the areas. These forums are to allow a discussion and listing of problems as viewed by low-income individuals and their suggestions for solutions.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-29 Federal Program Regulations

The CSBG is subject to regulations periodically published in the Federal Register.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-30 Required Documentation and Forms

The required application, budget, and reporting forms shall be designated through SCSO CSBG Program Directives.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-31 Application Process and Submission Timetable

(1) The grant application phase of CSBG for eligible entities involves:

(a) a community needs assessment developed under prescribed criteria outlined in CSBG Program Directives, problem analysis, resource analysis, service delivery system description, prioritization process, and coordination policy process with appropriate documentation submitted to SCSO by the date published by the SCSO every three years, starting in 1998; and

(b) the development of a community action plan for addressing problems identified and prioritized, including

(i) community review of the draft community action plan;

(ii) approval of a final plan by local boards or by local officials; and

(iii) submission of the plan to SCSO by the date published by the SCSO.

(2) As part of the application package, the applicant must submit an administrative budget separate from the program operation budget.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-32 Budget Estimate

Following receipt of federal continuing resolution or budget information, the state shall make available to eligible applicants an estimate of funding amounts for each geographical area, based on the formula contained in the state plan.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-100-33 Public Review and Comment

(1) After the community action plan has been prepared, but before board approval, the applicant must provide ample opportunity for its review by low-income residents, the community as a whole, and relevant community organizations and agencies.

(2) Notice of the availability of the application for citizen review and comment shall also be given by providing written notice to organizations and agencies, and to the local media, and by posting notice in public places convenient to low-income residents.

(3) The eligible entity must submit comments of persons and organizations with the application to the SCSO.

History

KEY: antipoverty programs, grants, community action programs
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

R990-101 Qualified Emergency Food Agencies Fund (QEFAF)

Utah Admin. Code R990-101-1 Designation as a Qualified Emergency Food Fund Agency

(1) A qualified emergency food agency (Qualified Agency), is an organization that is:

(a) exempt from federal income taxation under Section 501(c)(3), Internal Revenue Code; or

(b) an association of governments or a municipality that as part of its activities operates a program with the primary purpose to:

(i) warehouse and distribute food to another agency or organization providing food and food ingredients to low-income persons; or

(ii) provide food and food ingredients directly to low-income persons.

(2) For initial designation as a Qualified Agency, an organization must file an application with, and must be approved by, the State Community Services Office (SCSO) before receiving a distribution under Section 35A-8-1009.

(3) Continuing Requirements.

(a) After the initial designation as a Qualified Agency, a non-profit 501(c)(3) organization must maintain a current Charitable Solicitations Permit issued by the Utah Department of Commerce, Division of Consumer Protection pursuant to Title 13, Chapter 22, Charitable Solicitations Act, or be exempt under the same Act.

(b) After the initial designation as a Qualified Agency, an association of governments or a municipality must continue to operate a program with the primary purpose to warehouse and distribute food to another agency or organization providing food and food ingredients to low-income persons, or to provide food and food ingredients directly to low-income persons.

(4) An entity applying to be designated as a Qualified Agency must submit a list of current members of the entity's board of directors and contact information for the individual primarily responsible for maintaining the organization's financial records. This information shall be submitted with the Qualified Agency's application for funds each year.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-2 Use of Funds

Funds received from the QEFAF program shall only be expended by the Qualified Agency for purposes related to warehousing and distributing food and food ingredients to another agency or organization providing food and food ingredients to low-income persons, or providing food and food ingredients directly to low-income persons.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-3 Allowable Expenditures

A Qualified Agency may use QEFAF funds for the following expenditures.

(1) Warehousing. An expenditure directly related to:

(a) receiving, sorting, weighing, handling, and storing of food and food ingredients;

(b) the direct personnel cost for a warehousing activity;

(i) a scale;

(ii) a fork lift;

(iii) a pallet jack;

(iv) shelving;

(v) refrigeration equipment; and

(vi) supplies for food storage; and

(d) a cost for the space associated with or used for the warehousing activity including:

(i) utilities;

(ii) insurance;

(iii) cleaning supplies;

(vi) pest control;

(vii) a minor repair; or

(viii) maintenance.

(2) Distributing. An expenditure directly related to packaging and transporting food and food ingredients to another agency or organization that provides food and food ingredients to qualified low-income individuals and households, including:

(a) the direct personnel cost for a distributing activity; and

(b) a transportation equipment cost including:

(i) a refrigeration unit;

(ii) insurance on a vehicle used exclusively to pick up and drop off food and food ingredients;

(iii) fuel;

(iv) licensing;

(v) a minor repair; or

(vi) maintenance.

(3) Providing. An expenditure directly related to providing food and food ingredients directly to low-income individuals and households, including:

(a) the direct personnel cost for client intake;

(b) case management;

(d) delivery of meals to a home-bound client or congregate meal site; and

(e) an operational expenditure, including:

(i) a telephone;

(ii) a computer system used to track client eligibility, food intake and distribution;

(iii) staff and volunteer training costs such as food safety training;

(iv) a food handler's permit; and

(v) any other direct cost which is reasonable and necessary.

(4) Direct personnel costs.

(a) The cost for personnel directly involved in:

(i) collecting, transporting, receiving, weighing, sorting, handling, or packaging food and food ingredients;

(ii) dispensing food and food ingredients directly to an eligible client;

(iii) preparing, serving or delivering meals to an eligible client; and

(iv) providing case management services directly to an eligible food bank client.

(b) The personnel cost for a staff member who works in both QEFAF and non-QEFAF supported activities is allowable only to the extent the staff member is engaged in the activities described in Subsection R990-101-3(4) and must be supported by a time and activity report.

(i) salaries and wages;

(ii) employer's payroll tax; and

(iii) fringe benefits.

(5) Administrative expenditures. QEFAF funds expended by a Qualifying Agency for administrative costs shall not exceed 10% of the total distributions received by that Qualifying Agency under the QEFAF program for the fiscal year.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-4 Non-Allowable Expenditures

(1) An expenditure that does not directly pertain to warehousing, distributing, or providing food and food ingredients to low-income persons, other than the maximum 10% administrative costs as provided in Subsection R990-101-3(5), is not allowed.

(2) An expenditure associated with soliciting or promoting a cash or food donation, recognizing a donor or volunteer, or transportation cost other than picking up and delivering food and food ingredients, is not allowed.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-5 Submission of Claims

(1) A Qualified Agency may not submit more than one claim per month. A claim must be submitted online using the online system identified by the SCSO.

(2) QEFAF funds expended before the end of the fiscal year but not reimbursed as of the end of the fiscal year must be submitted by July 15 in accordance with finance policies for state fiscal year end.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-6 Determination of Funding Amounts and Needs Assessment

(1) SCSO shall allocate funding based on a competitive grant application process. SCSO will publicly post a request for proposals.

(2) Each application is reviewed and scored by committee.

(3) Scoring priorities may be identified by SCSO and, if identified, will be included in the publicly posted request for proposals.

(4) At its discretion SCSO shall conduct, or cause to be conducted, a needs assessment for use in identifying the level of need across the state and in identifying possible funding priorities.

(5) Each Qualified Agency shall cooperate with a request for information, inspection, or other review of the Qualified Agency's activities made in conjunction with developing a statewide needs assessment.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-7 Recordkeeping Requirements

(1) Each Qualified Agency must maintain:

(a) a receipt or other original record for a donation of food and food ingredients, including a schedule or work paper supporting a claim made under the QEFAF program for a period of five years following the date of the claim;

(b) a financial management system that provides accurate, current, and complete disclosure of the receipt and disbursement of QEFAF funds, including accounting records that are supported by source documentation sufficient to determine that QEFAF funds were expended only for the purposes stated in Section 35A-8-1009 and Section R990-101-2; and

(c) effective control and accountability for QEFAF funds and property, equipment, and other assets acquired with QEFAF funds.

(2) A Qualified Agency shall adequately safeguard an asset purchased with QEFAF funds and assure that asset is used solely for an authorized purpose.

(3) Records must be maintained by the Qualified Agency for a period of five years following the date of the claim.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-8 Monitoring

(1) SCSO will monitor Qualified Agency claims and may conduct one or more site visits to inspect a record supporting the claim. SCSO may also review financial records to determine that distributions received are expended in accordance with Subsection 35A-8-1009(8) and Section R990-101-3.

(2) A Qualified Agency shall provide information requested by SCSO and shall make a record available, upon reasonable notice, for monitoring.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-9 Return of Unused Funds and Overpayment Recoupment

(1) If a Qualified Agency does not use QEFAF funds it receives in the same fiscal year in which those funds are awarded, the unused funds shall be returned to SCSO at the conclusion of the fiscal year.

(2) Expenditures of QEFAF funds determined by audit to be unallowable because the funds were used for a purpose not allowed pursuant to Section R990-101-2 or an expenditure that is not supported by adequate source documentation shall be:

(a) immediately returned to SCSO; or

(b) properly segregated in the Qualified Agency's accounting records and identified as temporarily restricted until those funds are used for the purposes specified in Section R990-101-2.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

Utah Admin. Code R990-101-10 Training and Technical Assistance

SCSO will provide training and technical assistance to a Qualified Agency for help in accessing and submitting a claim online. The Qualified Agency is responsible for ensuring that its staff receives SCSO training and assistance.

History

KEY: Qualified Emergency Food Agencies Fund, QEFAF
Date of Last Change: August 15, 2022
Notice of Continuation: June 28, 2022
Authorizing, and Implemented or Interpreted Law: 35A-8-1004

R990-200 Private Activity Bonds

Utah Admin. Code R990-200-1 Purpose

The purpose of this rule is to establish criteria for allocating private activity bond volume cap to a qualified applicant, whether an allocation of private activity bond volume cap may be extended, and related matters.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

Utah Admin. Code R990-200-2 Authority

Section 35A-8-2104 requires the Private Activity Bond Review Board (Board of Review) to make rules for the allocation of volume cap for private activity bonds.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

Utah Admin. Code R990-200-3 Definitions

Terms used in this rule are defined in Sections 35A-8-101 and 35A-8-2102. Terms not defined in that section or in this rule shall be defined as used in the Private Activity Bond Program - Policies and Procedures (Policies), adopted October 2022, which is incorporated by reference. In addition:

(1) "Affordable" means at least 20% of the residential units in the project are set aside for families whose incomes do not exceed 50% of Area Median Income (AMI), adjusted for family size; or at least 40% of the residential units in the project are set aside for families whose incomes do not exceed 60% of AMI, adjusted for family size.

(2) "Applicant" means a borrower or issuing authority submitting an application for an allocation of volume cap or a project sponsor submitting an application on behalf of an issuing authority for an allocation of volume cap.

(3) "Available volume cap" means the unencumbered volume cap.

(4) "Application" means:

(a) the electronic federal Low-Income Housing Tax Credit consolidated application for multi-family applicants;

(b) the private activity bond authority manufacturing facility application for the manufacturing, redevelopment or exempt facility applicants; or

(5) "Closed" or "close" means the time at which bonds are exchanged for funds.

(6)(a) "Good standing" means the applicant or recipient:

(i) has remitted all required fees and payments to the Board of Review at the time of application;

(ii) has submitted all required reports to the Board of Review at the time of application; and

(iii) for the five years preceding the submission of the request for an allocation or extension, has not made any misrepresentations to the Board of Review about an application for allocation or any previous or current project.

(b) If an applicant or recipient has previously received an allocation from the Board of Review for one or more multi- family projects, "good standing" means the applicant or recipient meets the requirements of Subsection (6)(a) and the applicant or recipient:

(i) has not exceeded rent or income limits at any time in the immediately preceding five years;

(ii) has not converted any affordable unit into a market rate unit at any time in the immediately preceding five years;

(iii) has rented designated affordable units only to qualified low- and moderate-income tenants for the immediately preceding five years; and

(iv) is in good standing with the Utah Housing Corporation at the time of application.

(7) "Project" means the applicant's plan for which the private activity bonds are being sought.

(8) "Recipient" means a borrower or issuing authority that has been awarded an allocation of volume cap.

(9) "Low- and moderate- income" means a household whose income upon initial occupancy does not exceed 140% of AMI adjusted for family size.

(10) "Market rate" means housing units that are not affordable.

(11) "Legislative occurrence" means federal or state legislation that becomes legally effective within one year of a project's fifth bond extension approval and which substantially affects the project and its ability to close.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

Utah Admin. Code R990-200-4 Applicant Qualifications

(1) An initial application will be presented to the Board of Review only if each project applicant, owner, developer, and manager:

(a) is in good standing;

(b) has not been in default or breach of any mortgage or project-related contract within the previous five years;

(c) is not the subject, in either a personal or professional capacity as a partner, director, or other officer exercising managerial control over any business entity, of a pending fair-housing or civil-rights investigation; and

(d) in the ten years preceding the filing date of the application, has not been:

(i) the subject of a negative fair-housing or civil-rights determination;

(ii) disbarred or otherwise sanctioned in any way by any state or federal agency or professional self-regulatory body; or

(iii) a partner, director, or other officer exercising managerial control over any business entity, including a corporation, limited liability company, or professional limited liability company, when the business entity initiated bankruptcy proceedings.

(2) An application shall include documentation:

(a) executed by each applicant, owner, developer, and manager certifying that each signatory meets each requirement identified in Subsection R990-200-4(1); and

(b) supporting and verifying the accuracy of each certification.

(3)(i) The Board of Review shall publish a meeting and application submission schedule annually.

(ii) The Board of Review shall publish changes to the meeting and application submission schedule on the division website.

(iii) The Board of Review may schedule an ad hoc meeting to consider extension requests within the 90-day period under Section 35A-8-2107.

(iv) An applicant shall timely provide all required materials and supporting documents before the Board of Review meeting at which the application will be considered.

(4) Application forms and materials are available on the Department of Workforce Services Housing and Community Development website.

(5) A partial application will be denied.

(6) Upon review of a complete application, staff will work with the applicant to ensure documentation accuracy.

(a) Program staff may request that the applicant correct defects or provide additional documentation within a timeline specified by staff.

(b) An applicant may not submit corrections or additional documentation after the deadline in Subsection R990-200- 4(3) unless requested to do so by program staff.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

Utah Admin. Code R990-200-5 Criteria for Allocating Volume Cap

(1) Private activity bond volume cap allocations are made each calendar year based upon available volume cap.

(a) The decision whether to allocate volume cap to an applicant shall be determined by the Board of Review, in its sole discretion.

(b) Allocations are not made on a first-come-first-served basis.

(c) Each complete application submitted before the deadline will be evaluated and scored in comparison with other applications for the same type of project use. The Board of Review has adopted Policies governing program administration and application scoring. The Policies may be amended from time to time and may be found on the Department of Workforce Services Housing and Community Development website. Applicants and recipients must be aware of and comply with the Policies.

(d) The private activity bond program staff and consultants under contract with the Board of Review will evaluate and score each application. In the event demand for funding exceeds the available volume cap, applications will be numerically ranked for allocation.

(e) When considering multiple applications at a meeting, the Board of Review may choose to award each applicant an equal share, pro rata share, priority for multi-family housing or other classification, or other division of available volume cap.

(2) When deciding to allocate volume cap to an applicant, the Board of Review shall consider the criteria outlined in Section 35A-8-2105 and the following additional criteria:

(a) timely submission of completed application;

(b) timely payment of applicable fees;

(d) project financing, including executed letters of intent for debt and equity funding;

(e) project readiness, including required public entity approvals, site ownership, and architect and construction contracts;

(f) timely response to any questions raised by the Board of Review and private activity bond program staff;

(g) status of project's financing at time of application;

(h) appointment of bond counsel;

(i) letter from bond counsel opining the project qualifies for private activity bonds;

(j) appointment of investment banker or, if private placement, buyer of the bonds;

(k) detailed commitment letters from financial entities involved;

(l) ability to cause bonds to be issued within 12 months of allocation;

(m) past history of forfeited allocation commitments;

(n) length of tax-exempt bond amortization; and

(o) other factors considered appropriate by the Board of Review.

(3) Multi-family housing applicants must meet the criteria of the Low-Income Housing Tax Credit program administered by the Utah Housing Corporation. In addition to the criteria in Subsection R990-200-5(2), the Board of Review shall consider the following criteria when deciding to allocate volume cap to multi-family housing applicants:

(a) bond amount per unit;

(b) bond amount per affordable unit;

(c) the percentage, in relation to the group of applications currently being evaluated, of the private activity bond allocation being requested;

(d) percentage of public financing, including the value of grants, loans, fee waivers, and concessions, but excluding housing tax credits;

(e) total cost per unit and per unit square footage;

(f) percentage of developer fee contributed to project;

(g) percentage of affordable units;

(h) percentage of special needs units;

(i) cash flow per unit;

(j) percentage of taxable bonds;

(k) location, with preference for projects located in:

(i) underserved areas;

(ii) communities without the same type of projects; and

(iii) difficult to develop areas as defined by HUD;

(l) project characteristics, including:

(i) day care;

(ii) education center;

(iii) mixed income projects, with both affordable and market rate units; and

(iv) size of proposed project;

(m) mitigation of environmental issues, including installing radon gas extraction fans or removing the source of radon; and

(n) acquisition, rehabilitation, and remediation of buildings with Utah or federal historic designation, including removal of hazards and including appraisals and a relocation plan for current residents.

(4) In addition to the criteria in Subsection R990-200-5(2), the Board of Review shall consider the following criteria when deciding to allocate volume cap to manufacturing facility, redevelopment and exempt facilities applicants:

(a) new full-time-equivalent job creation, including a list of new positions and wages, and excluding construction and other temporary jobs;

(b) retention of jobs;

(d) bond amount to permanent full-time-equivalent jobs ratio;

(e) permanent full-time-equivalent jobs created or retained that provide above average wages when compared to other applicants' average wages and the community average wage;

(f) demonstrated need for tax-exempt financing, including:

(i) projected cash flow for the first three years of operation, including supporting documentation, and

(ii) explanation for selecting variable or fixed rates;

(g) community support, including:

(i) financial support;

(ii) zoning approval;

(iii) tax increment financing; and

(iv) deferral of fees;

(h) competitive costs for construction and equipment related expenses; and

(i) ready-to-go status, including:

(i) manufacturing facility zoned for use;

(ii) proximity of infrastructure to site;

(iii) need for special infrastructure;

(iv) environmental study, if required by lender;

(v) current title report and site plan of project; and

(vi) building description.

(5) Before considering an application, a Board of Review member shall disclose the substance of any communication the member has had outside of a public meeting with an applicant or other interested party regarding the project.

(6) The allocation certificate issued for multi-family housing volume cap shall restrict the occupancy of market rate rental units to families whose incomes do not exceed 150% of AMI, adjusted for family size, for at least 51 years from the date on which at least 50% of the residential units in the project are first occupied.

(a) Recipients and owners shall comply with any terms of the Certificate of Allocation, including any additional conditions approved by the Board of Review.

(b) Recipients and owners shall submit documentation to private activity bond program staff within 15 days after the issuance of bonds, and at other times upon request, to verify compliance with the terms of the Certificate of Allocation.

(7) Subject to Subsection R990-200-5(7)(e), if a recipient undergoes any change in ownership or management after an allocation is awarded to it, the Board of Review may, in its discretion, require that the allocation be relinquished. Such change includes the addition or removal of one or more directors or managing partners. For purposes of Subsection R990-200-5(7), "removal" or "removed" shall apply to any director, partner, or other official whose association with the recipient ends voluntarily or involuntarily, by resignation or discharge.

(a) Recipients shall be required to notify the Board of Review, in writing and at least 30 business days in advance, of any changes or anticipated changes in the recipient's ownership or management. Such notice shall include, at a minimum, the effective date of the change or anticipated change and the full names and current business addresses of each additional or removed director, managing partner, or other official.

(b) In determining whether to require relinquishment of the previously awarded allocation, the Board of Review shall evaluate the recipient's new ownership or management composition based on the qualifications and criteria detailed in Subsections R990-200-5(1)(a) through (e) as well as any additional factors it deems relevant.

(c) The Board of Review will make every effort to hold a meeting before the effective date of the change in ownership. At said meeting, the Board of Review shall decide, in its sole discretion, whether to require relinquishment of the recipient's allocation. The previously awarded allocation shall remain effective until the effective date of the change in ownership or until the first Board of Review meeting following the recipient's advance written notice to the Board of Review, whichever is sooner. If the effective date of the change in ownership occurs before the Board of Review can hold a meeting, the recipient's allocation will be paused from the effective date until the Board of Review has held a meeting and decided whether to require relinquishment.

(i) If the Board of Review votes to require relinquishment, the relinquishment shall become effective on a date specified by the Board of Review on the record at the meeting at which it votes.

(ii) If the Board of Review votes not to require relinquishment, the allocation shall remain in effect. Within ten business days of the Board of Review's vote, each new owner or manager shall provide to the chair a signed acknowledgement that the recipient is bound by all terms and conditions in the Certificate of Allocation. If any new owner or manager fails to submit such an acknowledgement as required, the Board of Review reserves the right to vote at the next Board of Review meeting to require relinquishment of the allocation.

(d) If a recipient fails to make the Board of Review aware of a change or anticipated change in ownership in keeping with Subsection R990-200-205(7)(a), the Board of Review reserves the right, in its sole discretion, to take either or both of the following actions:

(i) revoke the recipient's allocation at the first Board of Review meeting following the date on which the Board of Review became aware of the change or anticipated change in ownership; or

(ii) prohibit the recipient from applying for any additional volume cap allocations for one year following the date on which the Board of Review became aware of the change or anticipated change in ownership.

(e) Subsection R990-200-5(7) shall not apply when the recipient is one of the following:

(i) the state or any of the state's agencies, institutions, or divisions; or

(iii) any county, city, or town in the state or any of a county, city, or town's agencies, institutions, or divisions.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

Utah Admin. Code R990-200-6 Fees

(1) An application fee shall be submitted together with the application.

(2) An extension fee shall be submitted together with the extension request.

(3) A certificate fee shall be submitted upon award of allocation and before issuance of a certificate.

(4) An application, extension request, or other action may not be processed or added to the Board of Review agenda until required fees are paid.

(5) Fees are non-refundable.

(6) The Board shall ensure that the dollar amounts for the fees described in Subsections R990-200-6(1) through (5) shall be clearly listed on a fee schedule adopted by the Board of Review and posted on the Utah Department of Workforce Services' website.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

Utah Admin. Code R990-200-7 Extensions

(1) A recipient that has not closed its volume cap allocation within the 90-day period under Section 35A-8-2107 may request an extension from the Board of Review.

(a) A recipient requesting an extension shall submit an application for an extension to the Board of Review as soon as practicable, but no later than the 90th calendar day after the date of the Board of Review's approval of the initial allocation.

(i) The counting of the 90-day period shall be paused from the date of submission, pending the Board of Review's review of the application for extension, and the Certificate of Allocation shall remain effective until the Board of Review has voted whether to approve or deny the application for extension.

(ii) The application for extension shall be approved or denied in the Board of Review's sole discretion.

(b) Manufacturing projects, qualified redevelopment projects, and exempt facility projects are not eligible to carry forward their volume cap allocation beyond the end of the calendar year in which they received the allocation. Such bonds must close by the third Saturday in December in the same year the recipient received the allocation. Any volume cap not issued by this date is automatically relinquished back to the Board of Review.

(c) The Board of Review makes no representation as to whether an issuer will allow the allocation to be transferred to another project if the previously approved transaction fails.

(2) Unless program staff agree to a different deadline, a recipient requesting an extension of a previously approved and current volume cap allocation shall submit a completed extension form to the private activity bond program staff no later than the published due date under Subsection R990-200-4(3) before the Board of Review meeting at which the extension request is to be considered.

(3) An extension request will not be presented to the Board of Review unless the recipient's account is in good standing.

(4) An extension request for a second or more extension will be evaluated, scored, and considered by the Board of Review, subject to Subsection R990-200-7(6).

(5) An extension approval may not exceed 90 calendar days from the date of approval or until the Board of Review holds its next meeting, whichever is sooner.

(6) Unless program staff agree to a different deadline, no later than the published due date under Subsection R990-200- 4(3) before the Board of Review meeting at which the extension is to be considered, a recipient requesting an extension shall submit a completed extension request status report and extension fee on the form provided on the website of the Board of Review, together with each request.

(a) Private activity bond program staff shall perform a comprehensive progress review before the Board of Review meeting where an extension will be considered, and shall prepare a recommendation.

(b) The applicant may be required to reapply after the third extension review if there is no substantial evidence of being able to close the bonds.

(7)(a) Absent a legislative occurrence, a recipient may not receive more than five extensions.

(i) In the event of a legislative occurrence, a recipient may submit a sixth extension application. A sixth extension application shall include a written explanation of why a sixth extension is necessary and how the legislative occurrence substantially affects the project's ability to close. In its sole discretion, the Board of Review may grant or deny a sixth extension.

(ii) A request for a sixth extension that omits the written explanation required in Subsection (7)(a)(i) will not be presented to the Board of Review, and the previously allocated volume cap shall be revoked.

(b) A request for a seventh extension for any reason will not be presented to the Board of Review, and the previously allocated volume cap shall be revoked.

(8)(a) Except as provided in Subsection R990-200-7(8)(c), a recipient requesting an extension shall attend, either virtually or in person, the Board of Review meeting at which the extension is considered, prepared to update the Board of Review on the progress of the development and answer any questions. If the recipient does not attend, the Board of Review will table consideration of the extension. Within 48 hours of the Board meeting at which the extension was to be considered, the recipient shall submit to the Board of Review a written explanation of its failure to attend. The extension will be considered at the following Board of Review meeting, and the Board of Review, in its sole discretion, shall approve or deny the extension request at that time.

(b) When a recipient fails to attend a meeting, the Board of Review shall treat such a missed meeting as a granted extension request, such that the missed meeting will count as one of the five extensions a recipient is allowed under this rule.

(c) Subsections R990-200-7(8)(a) and (b) shall not apply when the Board of Review determines, in its sole discretion, that the recipient's failure to attend a meeting is the result of extraordinary circumstances beyond the recipient's control. Even in such extraordinary circumstances, though, a recipient shall make every effort to send a designee to attend and provide updates at the meeting. Any such designee shall speak on behalf of the recipient, and the recipient will be bound by the designee's representations to the Board of Review.

(9) A City or County issuer may submit a request for a Carryforward Certificate no later than 21 calendar days before the December Board of Review meeting.

(10) A City or County issued a Carryforward Certificate shall comply with the extension request requirements for each three-month period after an allocation has been made to a project, including:

(a) attendance at each Board of Review meeting, prepared to update the Board of Review on the progress of the development and answer any questions; and

(b) submission of a complete comprehensive progress report.

(11) The Board of Review reserves the right to approve or reject an extension or Carryforward Certificate in accordance with the criteria established by this rule.

(12) In the event an extension or Carryforward Certificate request is untimely, denied by the Board of Review in its sole discretion, or otherwise not presented to the Board of Review in accordance with this rule, the allocation shall be revoked.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

Utah Admin. Code R990-200-8 Revocation of Private Activity Bond Allocation

(1) The Board of Review reserves the right to revoke a recipient's allocation and authority to issue the bonds if there is credible information that a material misrepresentation was presented to the Board of Review or any of its members.

(2) The Board of Review reserves the right to revoke a recipient's allocation if:

(a) the project's total number of affordable units is reduced by 10% or more from the projection on which the recipient received the allocation;

(b) the project's total number of units is reduced by 15% or more from the projection on which the recipient received the allocation;

(c) the site location of the project is changed from the site the Board of Review considered when it approved the allocation;

(d) total costs per unit are increased by 15% or more over the cost projection on which the recipient received the allocation;

(e) total project costs are increased by 20% or more over the cost projection based on which the recipient received the allocation; or

(f) the Board of Review---at any time, based on the totality of circumstances, and in its sole discretion---determines there is no substantial evidence the recipient will be able to timely close the bonds.

(3) If the recipient is in good standing, a recipient that has had its allocation revoked based on one or more of the factors listed at Subsections R990-200-8(2)(a) through (e) may submit a new application with updated information for a volume cap allocation, and the application will be considered on equal footing with all other new applications. A voluntary relinquishment shall not be considered a failure to close under Subsection R990-200-3(6) and shall not count against a recipient in determining a recipient's good standing.

History

KEY: allocation, private activity bond, volume cap
Date of Last Change: December 8, 2025
Notice of Continuation: July 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-2104

R990-300 Review Process for Plan for Moderate Income Housing Reports

Utah Admin. Code R990-300-1 Authority

This rule is authorized under Subsection 35A-8-803(3), which directs the division to make rules describing the review process for moderate income housing reports.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-2 Purpose

(1) Pursuant to Subsection 35A-8-803(1), the division will:

(a) advise political subdivisions of serious housing problems existing within their jurisdiction that require concerted public action for solution;

(b) assist political subdivisions in defining housing objectives and preparing for adoption of a five-year action plan designed to accomplish housing objectives within their jurisdiction; and

(2) For reporting entities, the division will:

(a) assist in the creation of moderate income housing reports; and

(b) review the reports for compliance with Sections 10-9a-408 and 17-27a-408.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-3 Definitions

Terms used in this rule are defined in Sections 10-9a-103, 10-9a-408, 17-27a-103, and 17-27a-408. In addition:

(1) "Moderate income housing report" means a reporting entity's initial report or subsequent progress report, submitted to document the reporting entity's progress on the moderate income housing element of its general plan.

(2) "Reporting entity" means an entity, including a specified municipality and a specified county, required to submit a moderate income housing report under Section 10-9a-408 or 17-27a-408.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-4 Time to File Moderate Income Housing Reports

(1) A reporting entity shall submit an initial report to the division on or before August 1 of the year the entity is required to report.

(2) A reporting entity shall submit a subsequent progress report to the division on or before August 1 of each year after the year in which the reporting entity is required to submit an initial report.

(3) If August 1 falls on a Saturday, Sunday, or legal holiday, the reporting entity shall submit the moderate income housing report on or before the next business day that is not a Saturday, Sunday, or legal holiday.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-5 Moderate Income Housing Report Submissions

(1) A moderate income housing report must be submitted using the electronic form posted to the division's website.

(a) The electronic form will be available on the division's website no later than May 1 annually.

(b)(i) The day of submission is determined by the time stamp on the virtual form submission.

(ii) A report time stamped after 11:59:59 p.m. on August 1 is untimely.

(2) The division will issue a notice of noncompliance to a reporting entity if its moderate income housing report is untimely.

(a) The division will not review the untimely report further.

(b) The reporting entity may request an appeal of the determination of noncompliance for untimeliness issued by the division.

(c) If the appeal board finds the report was submitted timely, the board may remand the matter to the division to review the report for compliance under Section R990-300-6.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-6 Review Process for the Moderate Income Housing Report

(1) The division will review each moderate income housing report for completeness and compliance with Sections 10- 9a-403, 10-9a-408, 17-27a-403, and 17-27a-408.

(2) A moderate income housing report is complete if it contains all required information and the minimum number of moderate income housing strategies in Sections 10-9a-403, 10-9a-408, 17-27a-403, and 17-27a-408.

(3) A moderate income housing report is compliant if it is submitted timely and meets the requirements for the report.

(a) The division will review an initial report to confirm the:

(i) proposed strategy restates the exact language used to describe the strategy in the Utah Code;

(ii) report includes the required number of strategies;

(iii) report includes the required types of strategies;

(iv) proposed timelines for implementation are specific and cover the five-year planning period; and

(v) proposed benchmarks are specific and measurable.

(b) The division will review a subsequent report to confirm the:

(i) strategies reported reflect the strategies selected in the reporting entity's implementation plan;

(ii) report includes the required number of strategies;

(iii) reporting entity met the timelines in the reporting entity's implementation plan; and

(iv) reporting entity made progress toward meeting the identified benchmarks.

(4) A reporting entity's failure to include the minimum statutory and administrative rule elements in a report will result in a determination of noncompliance.

(5) A reporting entity must substantially meet a timeline in its moderate income housing report to demonstrate compliance with the reporting entity's implementation plan.

(6) A reporting entity may use state, local, or other reliable data to describe the changes the entity experienced in implementing each strategy to identify in a subsequent progress report how the market has responded to a reporting entity's selected strategies.

(7) A reporting entity may submit more than the minimum required information in its moderate income housing report, but the report must include at least the minimum elements to be compliant.

(a) Additional planning requirements are detailed in Title 10, Chapter 9a, Municipal Land Use, Development, and Management Act, Title 17, Chapter 27a, County Land Use, Development, and Management Act, or other sections of Utah Code.

(b) Although certain planning requirements are not included as part of the plan for moderate income housing or are not subject to review by the division, a reporting entity may be required to demonstrate compliance with other requirements in its moderate income housing report, including station area plan requirements under Section 10-9a-403.1 or housing and transit reinvestment zone requirements under Title 63N, Chapter 3, Part 6, Housing and Transit Reinvestment Zone Act.

(8)(a) A reporting entity may amend its implementation plan at any time.

(b) A reporting entity may consult with the division before amending its implementation plan.

(c) The reporting entity shall detail in its subsequent progress report the amended implementation plan and the reporting entity's progress on the original and the amended implementation plans.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-6a Notice of Compliance or Noncompliance

(1) The division will review a reporting entity's moderate income housing report within 90 days after the report is received.

(2) After reviewing a report, the division will provide notice as provided in Section 10-9a-408 or 17-27a-408.

(3)(a) If the division determines a moderate income housing report is noncompliant, the reporting entity may submit a corrected report within 90 days after the date the notice of noncompliance is sent.

(b) The division will review a corrected report within 30 days after the report is received.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-7 Cure Period

(1) A reporting entity has no more than 90 calendar days after the day on which the notice of noncompliance is sent to cure deficiencies in the submitted moderate income housing report.

(2) If a deficiency described in the notice of noncompliance requires the reporting entity to make a legislative change and the reporting entity does not pursue the first appeal opportunity, the legislative change must be completed by the legislative body and become effective within the 90-day cure period to cure the deficiency.

(3) If the reporting entity does not cure a deficiency within the 90-day period, the reporting entity will be ineligible for funding as provided in Sections 10-9a-408 and 17-27a-408.

(4) If a reporting entity submits corrections to cure deficiencies and the division determines the report remains noncompliant, the reporting entity may request an appeal.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-8 Procedure for Filing an Appeal to the Board

(1) A reporting entity must request an appeal of the division's determination of noncompliance within ten calendar days after the day on which the notice of noncompliance is sent.

(2) An appeal of a notice of noncompliance must be in writing and include:

(a) the name of the reporting entity filing the appeal and signature of its representative; and

(b) the grounds for appeal.

(3) In computing the period allowed for filing a timely appeal, the date as it appears on the notice of noncompliance is not included. The last calendar day of the appeal period is included in the computation, but if the last day is a Saturday, Sunday, or legal holiday, the period continues to run until the next business day that is not a Saturday, Sunday, or legal holiday.

(a) An appeal may be filed by email, facsimile, or physical delivery, including U.S. Mail, courier service, and hand- delivery.

(i) If an appeal is filed by email or facsimile, the date of filing is the date recorded on the email or facsimile.

(ii) If an appeal is filed by physical delivery, the date of filing is the date the appeal is received by the division.

(b) If an appeal is filed by physical delivery, the filing entity is solely responsible for meeting the deadline. Any delay caused by a delivery service or other physical means will not be considered an acceptable reason for a late filing.

(4) Upon receiving a request for an appeal of a notice of noncompliance, the division will coordinate with the organizations identified in Sections 10-9a-408 and 17-27a-408 to designate appeal board representatives and facilitate the appeal board's review of the appeal.

(5)(a) A reporting entity requesting an appeal may submit additional supporting materials and written arguments to the appeal board no later than 15 calendar days after the date of the request for an appeal.

(i) Supporting materials and written arguments received by the division will be forwarded to the appeal board.

(ii) Supporting materials and written arguments received more than 15 calendar days after the date of the request for an appeal will not be considered or forwarded to the appeal board.

(b) The appeal board will consider only materials that fall within the 12-month reporting period or that demonstrate whether the reporting entity meets the requirements for an ongoing strategy as described in Sections 10-9a-408 and 17-27a-408.

(6)(a) A reporting entity may withdraw a request for appeal by submitting a written request no later than seven days before the date of the first scheduled meeting of the appeal board appointed to consider the appeal.

(b) If the request for appeal is withdrawn, the reporting entity must cure any noncompliance within the initial 90-day cure period.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-9 Appeal Board Review

(1) The division will provide administrative support to the appeal board and will provide each board member a copy of the record on appeal, including the appealing entity's moderate income housing report, moderate income housing element of the general plan, notice of noncompliance, and any supporting materials or written arguments received from the appealing entity.

(2) Appeal board review is an informal proceeding for purposes of Title 63G, Chapter 4, Administrative Procedures Act.

(a) A review may:

(i) include a division staff member to present the conclusions of the division's review;

(ii) provide an opportunity for the reporting entity to present its reasons and evidence for the review request; and

(iii) include witnesses or legal representatives.

(b)(i) The appeal board may request additional information and evidence.

(ii) A reporting entity's failure to respond to a request by the appeal board for additional information or evidence without good cause may result in dismissal of the appeal.

(iii) Good cause for failing to respond to a request for additional information or evidence is limited to circumstances that are:

(A) beyond the party's control; or

(B) compelling and reasonable.

(3) If the appeal board determines an appeal is not timely filed, the board will not have jurisdiction to consider the merits of the appeal and will dismiss the appeal.

(4) The appeal board may summarily dismiss an appeal if the board determines the appeal does not state adequate grounds for the appeal or fails to identify alleged errors in the notice of noncompliance.

(5) The appeal board will issue a written decision within 90 calendar days of the day on which the appeal is filed. The division will deliver a copy of the appeal board's decision, including an explanation of the right to judicial review, to interested parties.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-10 Period of Noncompliance

(1) If a reporting entity's moderate income housing report is noncompliant and the entity is ineligible for the funds as provided in Sections 10-9a-408 and 17-27a-408 and this rule, the entity's next opportunity to submit a compliant report will be during the next reporting cycle, which begins on May 1.

(2) A reporting entity described in Subsection (1) will remain in noncompliant status until:

(a) the reporting entity submits a moderate income housing report during the next reporting period for review by the division; and

(b)(i) the division issues a notice of compliance; or

(ii) the appeal board determines the report is compliant.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

Utah Admin. Code R990-300-11 Noncompliance Fees

(1) The daily fee required by Sections 10-9a-408 and 17-27a-408 for a noncompliant report shall begin to accrue the day after:

(a) the reporting deadline, if the reporting entity fails to submit a required report; or

(b) the deadline to cure deficiencies described in a notice of noncompliance, if the reporting entity fails to cure a deficiency.

(2)(a) If a reporting entity requests an appeal, and the appeal board reverses the division's determination of noncompliance, accrued noncompliance fees will be waived.

(b) If a reporting entity requests an appeal, and the appeal board affirms the division's determination of noncompliance, the daily fee will accrue in accordance with Subsection R990-300-11(1).

(3) Fees will accrue until the reporting entity submits a timely and compliant moderate income housing report for the next reporting period.

(a) Fee accrual will not end earlier than the day before the start of the next reporting period.

(b) Fee accrual will pause on the day before the day the division receives the report and remain paused while the division determines whether the report is compliant.

(i) If the division determines the report is compliant, fee accrual will end on the day before the day the division received the compliant report.

(ii) If the division determines the report is noncompliant, fee accrual will resume from the day the reporting entity submitted the noncompliant report.

(c) If the reporting entity requests an appeal of the division's determination under Subsection R990-300-11(3)(b), fee accrual will pause on the day before the day the appeal is received and remain paused while the appeal board considers the appeal.

(i) If the appeal board reverses the division's determination of noncompliance, fee accrual will end on the day before the day the division received the compliant report.

(ii) If the appeal board affirms the division's determination of noncompliance, fee accrual will resume from the day the reporting entity submitted the appeal.

(4)(a) The division will send a notice to a reporting entity subject to daily fees that the fee balance must be paid to the Olene Walker Housing Loan Fund within 60 days of the date the notice is sent.

(b) A reporting entity that fails to pay an outstanding fee balance to the Olene Walker Housing Loan Fund will be noncompliant.

History

KEY: moderate income housing reports
Date of Last Change: August 1, 2024
Notice of Continuation: August 15, 2024
Authorizing, and Implemented or Interpreted Law: 35A-8-803; 10-9a-408; 17-27a-408

R993 Rehabilitation

R993-100 Authority, Purpose, and Administrative Review

Utah Admin. Code R993-100-101 Authority and Purpose

(1) This rule is authorized by Sections 35A-1-303 and 35A-13-102.

(2) The purpose of this rule is to specify standards and procedures for resolution and adjudication of disputes under the Vocational Rehabilitation Act.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-102 Review by the Field Service Director

(1) If an applicant or client disagrees with any decision made by a vocation rehabilitation (VR) counselor or supervisor, they may request the decision be reviewed by the field service director under which the disputed determination was made.

(2) The request for review must:

(a) be filed within 30 days of the decision to be reviewed;

(b) be submitted in writing;

(d) include the name and address of the individual requesting the review;

(e) include the name of the VR counselor or supervisor whose decision is to be reviewed;

(f) describe the decision or decisions to be reviewed in sufficient detail to inform the USOR of the nature and consequences of the decision;

(g) describe the action or resolution desired; and

(h) be signed and dated by the applicant or client or their designated representative.

(3) This process may not be used to delay mediation or an impartial hearing.

(4) applicant or client may choose not to participate in the review process by filing a request for mediation or an impartial hearing at any time. If such a request is filed, the field service director review will end. The field service director may complete a review summary to be used at later stages of the appeal, if any.

(5) The field service director will conduct an investigation that includes reviewing the applicant or client's case file, and communication with the applicant or client and relevant USOR staff.

(6) The field service director will issue a written decision within 15 days of receipt of the request for review. The decision will include a notice of appeal rights, a summary of evidence reviewed, the findings of the investigation, and the action to be taken.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-103 Mediation

(1) At any point during or after the review process under Section R993-100-102, an applicant or client may request mediation.

(2) A request for mediation does not waive the applicant's or client's right to an impartial hearing.

(3) A request for mediation must be submitted:

(a) within 30 days of the date of the last decision made, whether by the VR counselor, the supervisor, or the field service director; and

(b) before the beginning of an impartial hearing by an Administrative Law Judge (ALJ).

(4) A request for mediation must:

(a) be in writing;

(b) be filed with the USOR Division Director;

(d) include the name and address of the individual requesting the review;

(e) include the name of the VR counselor or supervisor whose decision is to be reviewed;

(f) describe the decision or decisions to be reviewed in sufficient detail to inform the USOR of the nature and consequences of the decision;

(g) describe the action or resolution desired; and

(h) be signed and dated by the applicant or client or their designated representative.

(5) The mediation cannot be used to delay the right of the applicant or client to an impartial hearing and must be conducted by a qualified and impartial mediator in the Adjudication and Appeals Division of the Department of Workforce Services (Adjudication Division).

(6) Mediation sessions will be scheduled in a timely manner and will be held by telephone unless the applicant or client requests and needs accommodation for an in-person hearing. In-person hearings will be held at the Adjudication Division offices in Salt Lake City.

(7) Any discussions that occur during the mediation process are considered confidential and may not be used in any subsequent hearing or civil proceeding.

(8) Either party or the mediator may elect to terminate the mediation at any time. Notice of the termination will be sent to the parties. If mediation is terminated, either party may pursue resolution through an impartial hearing.

(9) Nothing in the mediation process precludes the parties from informally resolving the dispute before completion of the process.

(10) The mediation agreement will be in writing. If an agreement cannot be reached, the mediator will summarize the proceedings in writing.

(11) The director may review the request for mediation and if it is deemed appropriate to deny the request for mediation under 34 CFR 361.57, the parties will be notified in writing of the denial with instructions on how to proceed to an impartial hearing.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-104 The Right to a Hearing and How to Request a Hearing

(1) A an applicant or client has the right to a review of an adverse decision or action by requesting a hearing. The request must be in writing and filed within 30 days of the decision being appealed, or in the event a mediation was terminated, the date of the notice of the termination. If the applicant or client requested a prior review or mediation, the request must be filed within 30 days of the decision by the field service director or the mediator.

(2) Only a clear expression by the applicant or client seeking the opportunity to present their case is required.

(3) The request for a hearing can be made at an USOR office or with the Adjudication Division.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-105 How Hearings Are Conducted

(1) Hearings are held at the state level and not at the local level.

(2) When consistent with federal law or regulation governing hearing procedure, the Department will follow the Utah Administrative Procedures Act.

(3) Hearings are conducted by an ALJ in the Adjudication Division.

(4) Hearings are scheduled as telephone hearings. Every party wishing to participate in the telephone hearing must call the Adjudication Division before the hearing and provide a telephone number where the party can be reached for the hearing. If the applicant or client fails to call in advance, as required by the notice of hearing, the appeal will be dismissed.

(5) If an applicant or client requires an in-person hearing, they must contact the assigned ALJ and request that the hearing be scheduled as an in-person hearing.

(6) The request for an in-person hearing should be made sufficiently in advance of the hearing so other parties have notice of the change in the hearing format and the opportunity to appear in-person also.

(7) Requests will only be granted if the applicant or client can show that an in-person hearing is necessary to accommodate a special need or if the ALJ deems an in-person hearing is necessary to ensure an orderly and impartial hearing which meets due process requirements.

(8) If the ALJ grants the request for an in-person hearing, the parties will be informed that the hearing will be conducted in person. Even if the hearing is scheduled as an in-person hearing, a party may elect to participate by telephone.

(9) In-person hearings are held at the offices of the Adjudication Division unless the ALJ determines that another location is more appropriate.

(10) The Department is not responsible for any travel costs incurred by the applicant or client or any witnesses in attending an in-person hearing.

(11) The Adjudication Division will permit collect calls from parties and their witnesses participating in telephone hearings.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-106 When an Applicant or Client Needs an Interpreter at the Hearing and Procedure for Use of an Interpreter

(1) If an applicant or client notifies the Department that they need an interpreter when the request for hearing is made, the Department will arrange for an interpreter at no cost to the applicant or client.

(2) The ALJ will be assured that the interpreter:

(a) understands the English language; and

(b) understands the language of the applicant or client or witness for whom the interpreter will interpret.

(3) The ALJ will instruct the interpreter to interpret as accurately as possible given the communication modality.

(4) If an interpreter is needed to assist a deaf or hearing impaired party, the interpreter must be certified pursuant to Rule R993-300.

(5) The interpreter will be sworn to truthfully and accurately translate all statements made, all questions asked, and all answers given.

(6) The interpreter will be instructed to translate to the applicant or client the explanation of the hearing procedures as provided by the ALJ.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-107 Notice of Hearing

(1) Interested parties will be notified by mail at least 10 days before the hearing.

(2) The applicant or client and Department may consent to waive advance written notice of the hearing.

(3) The notice shall contain:

(a) the time, date, and place, or conditions of the hearing;

(b) if the hearing is to be held by telephone, the phone number for the applicant or client to call and a notice that the applicant or client can call the number collect;

(d) the consequences of not appearing;

(e) the procedures and limitations for requesting rescheduling; and

(f) notification that the applicant or client may examine the case file before the hearing.

(4) If an applicant or client has designated an individual or professional organization as their representative, notice of the hearing will be sent to the designated representative. It will be considered that the applicant or client has been given notice when notice is sent to the designated representative.

(5) When a new issue arises during the hearing or under other unusual circumstances, advance written notice may be waived, if the Department and the applicant or client agree, after a full verbal explanation of the issues and potential results.

(6) The applicant or client must notify any representatives, including counsel and witnesses, of the time and place of the hearing and make necessary arrangements for their participation.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-108 Hearing Procedure

(1) Hearings are closed to the public.

(2) An applicant or client may be represented at the hearing. The applicant or client may also invite friends or relatives to attend as space permits.

(3) Representatives from the Department or other state agencies may be present.

(4) Hearings will be conducted informally and in such manner as to protect the rights of the parties. The hearing may be recorded.

(5) Issues relevant to the appeal will be considered and decided upon.

(6) The decision of the ALJ will be based solely on the testimony and evidence presented at the hearing.

(7) Parties may testify, present evidence, or comment on the issues.

(8) Testimony of the parties and witnesses will be given under oath or affirmation.

(9) Any party to a hearing will be given an adequate opportunity to be heard and present any pertinent evidence of probative value and to know and rebut by cross-examination or otherwise any other evidence submitted.

(10) The ALJ will direct the order of testimony and rule on the admissibility of evidence.

(11) Oral or written evidence, whether or not conforming to the legal rules of evidence such as hearsay, may be accepted and will be given its proper weight.

(12) Official records of the Department, including reports submitted in connection with any program administered by the Department or other state agency, may be admitted as evidence.

(13) The ALJ may request the presentation of and may admit such additional evidence as the ALJ deems necessary.

(14) The parties, with consent of the ALJ, may stipulate to the facts involved. The ALJ may decide the issues on the basis of stipulated facts or may set the matter for hearing and take further evidence as deemed necessary to determine the issues.

(15) The ALJ may require portions of the evidence be transcribed as necessary for issuing a decision.

(16) Unless the applicant or client requests a continuance, the decision of the ALJ will be issued within 60 days of the date on which the applicant or client requests a hearing.

(17) A decision of the ALJ which results in a reversal of the Department decision shall be complied without unnecessary delay and according to standard of provision of services procedures.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-109 Rescheduling or Continuance of Hearing

(1) The ALJ may adjourn, reschedule, continue, or reopen a hearing on the ALJ's own motion or upon motion of the applicant or client or the Department.

(2) If a party knows in advance that they will be unable to proceed with or participate in the scheduled hearing, the party must request that the hearing be rescheduled or continued.

(a) The request must be submitted before the hearing.

(b) The request must be made orally or in writing to the ALJ who is assigned to hear the case. If the request is not submitted before the hearing, the requesting party must show cause for failing to make a timely request.

(d) Normally, a party will not be granted more than one continuance.

(3) The rescheduled hearing must be held within 30 days of the original hearing date.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-110 Default Order or Dismissal for Failure to Participate

(1) If a hearing has been scheduled at the request of an applicant or client and they fail to appear at or participate in the hearing, either in-person or through a representative, the ALJ will, unless a continuance or rescheduling has been requested, dismiss the request for a hearing.

(2) A default order will be based on the record and best evidence available.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-111 Setting Aside a Default Order or Dismissal or Reopening the Hearing After the Hearing Has Been Concluded

(1) Any party who fails to participate personally or by their authorized representative may request that the default order or dismissal be set aside and a hearing be scheduled. If a party failed to participate in a hearing but no decision has yet been issued, the party may request that the hearing be reopened.

(2) The request to set aside a default order or dismissal must:

(a) be in writing;

(b) set forth the reason for the request; and

(c) be mailed, faxed, or delivered to the ALJ or presiding officer who issued the default order or dismissal within ten days of the issuance of the default order or dismissal.

(3) If the request is made after the expiration of the ten-day time limit, the party requesting reopening must show good cause for not making the request within ten days.

(4) The ALJ has discretion to schedule a hearing to determine if a party requesting a default order or dismissal be set aside or a reopening has satisfied the requirements of this rule or may grant or deny the request on the basis of the record in the case.

(5) If a presiding officer issued the default order or dismissal, they shall forward the request to set aside the default order or dismissal to the Adjudication Division. The request will be assigned to an ALJ to determine if the requesting party has satisfied the requirements of this rule.

(6) The ALJ may, on their own motion, reschedule, continue, or reopen a case if it appears necessary to take continuing jurisdiction based on a mistake as to facts or if the denial of a hearing would be an affront to fairness. An ALJ may also, on their own motion, set aside a default order or dismissal on the same grounds.

(7) If a request to set aside the default order or dismissal or a request for reopening is not granted, the ALJ will issue a decision denying the request to reopen. A copy of the decision will be given or mailed to each party, with a clear statement of the right of appeal or judicial review.

(8) A party in default may appeal a denial of a request to set aside a default order or dismissal by following the procedure in Section R993-100-114. The appeal can only contest the denial of the request to set aside the default order or dismissal and not the underlying merits of the case.

(9) If the default order or dismissal is set aside on appeal, the Executive Director or designee may rule on the merits or remand the case to an ALJ for a ruling on the merits and an additional hearing if necessary.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-112 What Constitutes Grounds to Set Aside a Default Order or Dismissal

(1) A request to reopen or set aside for failure to participate will be granted if the party was prevented from participating or appearing at the hearing due to circumstances beyond the party's control.

(2) A request to reopen or set aside for failure to participate may be granted upon such terms determined to be just for any of the following reasons: mistake, inadvertence, surprise, excusable neglect or any other reason justifying relief from the operation of the decision. The determination of excusable neglect is an equitable one, taking into account the relevant circumstances, including:

(a) the danger that the party not requesting reopening will be harmed by reopening;

(b) the length of the delay caused by the party's failure to participate including the length of time to request reopening;

(d) whether the party requesting reopening acted in good faith;

(e) whether the party was represented by another at the hearing;

(f) whether the party was represented by an attorney or professional representative who is required to know and understand Department rules and are held to a higher standard; and

(g) whether, based on the evidence of record and the parties' arguments or statements, setting aside the default and taking additional evidence might affect the outcome of the case.

(3) Requests to reopen or set aside are remedial in nature and thus must be liberally construed in favor of providing parties with an opportunity to be heard and present their case. Any doubt must be resolved in favor of granting reopening.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-113 Canceling an Appeal and Hearing

(1) When an applicant or client notifies the Adjudication Division or the ALJ that they want to cancel the hearing and not proceed with the appeal, a decision dismissing the appeal will be issued. This decision will have the effect of upholding the Department decision.

(2) The applicant or client will have ten days to reinstate the appeal by filing a written request for reinstatement with the Adjudication Division.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

Utah Admin. Code R993-100-114 Further Appeal from the Decision of the ALJ

(1) The decision of the ALJ will be final 30 days after issuance unless further appeal is filed. Either party may appeal the decision of the ALJ to either the Executive Director or their designee or to the District Court.

(2) The appeal must be filed, in writing, within 30 days of the issuance of the decision of the ALJ. If a request for a hearing is not timely filed under Section R993-100-104, there are no further appeal rights.

History

KEY: administrative procedures, complaint procedures
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-1-303; 35A-13-102; 35A-1-104

R993-200 Order of Selection

Utah Admin. Code R993-200-201 Definitions

The following definitions apply to terms used in this rule:

(1) "Multiple services" or "multiple vocational rehabilitation services" means three or more services as listed in 29 CFR 723 and in this rule.

(2) "Extended period of time" means the estimated length of time services are to be provided is six months or more.

History

KEY: disabled persons, rehabilitation
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: Pub. L. No. 102-569; 35A-13-102; 35A-1-104; 35A-1-104(4)

Utah Admin. Code R993-200-202 Determining Need for and Order of Selection

(1) An order of selection will be used if the division lacks the resources to provide all eligible individuals with services necessary to obtain, retain, or engage in employment. In that event, the order of selection for services will be provided based on the significance of disability. The order of selection will provide services to eligible individuals with the most significant disability first, followed by eligible individuals with significant disabilities, and finally, eligible individuals with disabilities that are not-significant.

(2) Significance of disability is determined by a qualified vocational rehabilitation counselor (QVRC) when the eligibility determination is made.

(a) The determination will be based on medical, psychological, and other diagnostic documentation and a clinical assessment by the QVRC.

(b) The QVRC may use, but is not bound by, determinations made by other state or federal agencies.

(3) Individuals who have been determined eligible for SSI or SSDI disability benefits by the Social Security Administration are considered to be at least significantly disabled.

History

KEY: disabled persons, rehabilitation
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: Pub. L. No. 102-569; 35A-13-102; 35A-1-104; 35A-1-104(4)

Utah Admin. Code R993-200-203 Individuals with the Most Significant Disability

(1) Individuals who will require multiple vocational rehabilitation services over an extended period of time and who exhibit functional deficits in two or more of the following areas are considered to have the most significant disabilities:

(a) mobility;

(b) communication;

(d) self-direction, which is defined as the inability to provide informed consent for life issues without the assistance of a court-appointed legal representative or guardian, or has been declared legally incompetent;

(e) inter-personal skills;

(f) work tolerance; and

(g) work skills.

(2) Functional deficits are further defined in policy.

History

KEY: disabled persons, rehabilitation
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: Pub. L. No. 102-569; 35A-13-102; 35A-1-104; 35A-1-104(4)

Utah Admin. Code R993-200-204 Individuals with Significant Disability

An individual with a significant disability can be classified in one of the following three categories at any time while the individual is in the vocational rehabilitation process:

(1) an individual:

(a) who has a severe physical or mental impairment or disability or combination of disabilities, as provided in policy, that causes substantial functional limitation, which seriously limits one or more functional capacities listed in Section R993-200- 203 in terms of an employment outcome; and

(b) whose vocational rehabilitation is expected to require multiple services over an extended period of time;

(2) a recipient of a Social Security Disability Insurance benefits (SSDI) who requires multiple vocational rehabilitation services over an extended period of time; or

(3) a recipient of a Supplemental Security Income (SSI) payment by reason of blindness or disability who requires multiple vocational rehabilitation services over an extended period of time.

History

KEY: disabled persons, rehabilitation
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: Pub. L. No. 102-569; 35A-13-102; 35A-1-104; 35A-1-104(4)

Utah Admin. Code R993-200-205 Individuals with Disabilities

An individual with a disability means an individual who:

(1) has a physical or mental impairment which for that individual constitutes or results in a substantial impediment to employment;

(2) can benefit in terms of an employment outcome from receiving vocational rehabilitation services; and

(3) requires vocational rehabilitation services to prepare for, enter, engage in, or retain gainful employment.

History

KEY: disabled persons, rehabilitation
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: Pub. L. No. 102-569; 35A-13-102; 35A-1-104; 35A-1-104(4)

Utah Admin. Code R993-200-206 Restrictions on Establishing Priorities

The following factors cannot be used as criteria for establishing selection priorities:

(1) type of disability;

(2) age, sex, race, color, creed, or national origin;

(3) vocational expectation;

(4) income level;

(5) duration of residency;

(6) source of referral or cooperative agreements with other agencies or programs; or

(7) cost of services or availability of comparable services and benefits.

History

KEY: disabled persons, rehabilitation
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: Pub. L. No. 102-569; 35A-13-102; 35A-1-104; 35A-1-104(4)

R993-300 Certification Requirements for Interpreters for the Deaf and Hard of Hearing

Utah Admin. Code R993-300-301 Authority and Purpose

(1) This rule is authorized by Title 35A, Chapter 13, Part 6, Interpreter Services for the Deaf and Hard of Hearing Act.

(2) This rule establishes certification standards and procedures for interpreters for the deaf and hard of hearing.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-302 Definitions and Acronyms

(1) "Certified interpreter" means an individual who provides interpreter services and is certified as required by state or federal law. There are three levels of certification certified by the division.

(a) "Novice" is an entry-level certification for an interpreter who has the skills, knowledge, and judgment to facilitate communication in a variety of situations, but excluding more complex, technical, or other specialized situations.

(b) "Professional" is a master-level certification for an interpreter who has the skills, knowledge, and judgment to facilitate communication in almost any situation, including more complex, technical, or other specialized situations.

(i) is deaf or hard of hearing;

(ii) facilitates communication between deaf or hard of hearing individuals and hearing individuals;

(iii) facilitates communication between deaf or hard of hearing individuals and other deaf or hard of hearing individuals, either as part of a team or independently;

(iv) has a wide range of cultural and linguistic expertise; and

(v) can check the deaf or hard of hearing individual's understanding of what is being communicated, rather than solely interpreting the communication.

(2) "Department" means the Department of Workforce Services.

(3) "Director" means the director of USOR.

(4) "Division" means the Division of Services for the Deaf and Hard of Hearing.

(5) "Interpreter service" means a service that facilitates effective communication between individuals through American Sign Language (ASL) or a language system or code that is modeled after ASL, in whole or in part, or is in any way derived from ASL.

(6) "ICB" means the Interpreters Certification Board.

(7) "Manual" means the policy and procedures manual governing the certification of interpreters used by the division, which is available on the Utah Interpreter Program website.

(8) "NAD-RID" means the National Association of the Deaf (NAD) and the Registry of Interpreters for the Deaf, Inc. (RID).

(9) "Qualified continuing education" means education that is relevant to the profession, enhances the skills of the interpreter, and is approved by the director in consultation with the ICB

(10) "Unlawful conduct" means conduct described in Section 35A-13-611.

(11) "Unprofessional conduct" means conduct by a certified interpreter that:

(a) violates, or aids or abets another in violating generally accepted professional or ethical standards applicable to the profession of a certified interpreter;

(b) physically, mentally, or sexually abuses or exploits an individual through conduct connected with a certified interpreter's practice; or

(c) violates any provision of the NAD-RID Code of Professional Conduct which is available on National Association of the Deaf (NAD) website and the Registry of Interpreters for the Deaf, Inc. (RID) website.

(12) "USOR" means the Utah State Office of Rehabilitation.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-303 Certification Requirements

(1) Except as stated in Section 35A-13-609, an individual shall be certified or qualified as required by state or federal law as a certified interpreter to provide interpreter services.

(2) To be eligible for any level of certification as an interpreter, a candidate must:

(a) submit a completed and signed application;

(b) be of good moral character as defined in the manual and by the ICB;

(d) be 18 years or older;

(e) submit the appropriate certification examination application fees; and

(f) pass the examinations in accordance with Section R993-300-304.

(3) Upon certification, the individual agrees to abide by NAD-RID Code of Professional Conduct as written in the manual.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-304 Examination of Candidate for Certification

(1) The division will test and rate a candidate applying for interpreter certification consistent with the manual.

(2) A candidate must pass both a knowledge and a performance examination.

(3) The candidate must pass the knowledge examination before taking the performance examination.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-305 Renewal

(1) A professional or CDI interpreter certificate may be valid for up to four years.

(2) To maintain professional or CDI certification, an interpreter must annually pay a renewal fee and complete a renewal form.

(3) To renew a professional or CDI certificate, an interpreter must complete the requisite number of hours of qualified continuing education before the end of the current certification period.

(4) A novice interpreter certificate expires after four years.

(5) To maintain novice certification, an interpreter must annually pay a renewal fee, complete a renewal form, and complete the requisite number of hours of qualified continuing education.

(6) A novice certified interpreter must successfully obtain a professional interpreter certificate or certifications recognized by the ICB within four years. A novice certified interpreter who does not obtain an advanced interpreter certification within four years must wait four years before reapplying for a novice interpreter certificate.

(7) The requisite number of hours of qualified continuing education is set by the director in consultation with the ICB.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-306 Temporary Exemptions from Certification

With approval from the division, an individual may engage in the practice of a certified interpreter without being certified as provided in Section 35A-13-609 and the manual.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-307 Unlawful and Unprofessional Conduct

(1) A complaint alleging unlawful or unprofessional conduct by a certified interpreter must be filed with the division within 30 days from the date of the incident.

(a) Complaints not filed within 30 days due to exceptional circumstances beyond the complainant's control may be accepted if the complainant contacts the division within five days of the date of the exceptional circumstance.

(b) The director or their designee will determine if the exceptional circumstance qualifies for an extension to the 30- day time frame.

(2) The director or their designee will review and investigate each complaint as described in the manual. This includes contacting, or otherwise providing notice to, the interpreter if it appears the interpreter may have engaged in unlawful or unprofessional conduct.

(3) If the director or their designee determines the certified interpreter engaged in unlawful or unprofessional conduct, the director or their designee will issue a written decision which will include the appropriate discipline and appeal rights.

(4) An individual whose interpreter certificate has been suspended or revoked for unlawful or unprofessional conduct may apply for reinstatement to the director or their designee. The director or their designee may, after consultation with the ICB, require the applicant seeking reinstatement to complete the procedure for certification or designate the areas of the application process that need to be completed.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-308 Grounds for Denial of Certification and Disciplinary Proceedings

(1) Based on Section R993-300-307, the director may, with the guidance of the ICB:

(a) refuse to issue a certification to an applicant;

(b) refuse to renew a certificate;

(d) place a certified interpreter on probation; or

(e) otherwise act on the certificate of a certified interpreter who does not meet the qualification for certification under the Interpreter Services for the Deaf and Hard of Hearing Act or this rule.

(2) The director will issue a decision if any of the actions described in Subsection R993-300-308(1) is taken.

(3) The decision will be in writing and will:

(a) advise an applicant or interpreter of the conditions under which they may obtain certification, reinstatement, or renewal of certification, if any, which may include completing the procedure for certification; and

(b) notify the applicant or interpreter of their appeal rights.

(3) Within 30 days from the date the decision was issued by the director, the interpreter may appeal the decision by filing a written appeal with the Adjudication and Appeals Division.

(4) Hearings will be conducted in accordance with Sections R993-100-104 through R993-100-114 and the Utah Administrative Procedures Act. Hearings are designated as informal, but the Department reserves the right to record hearings.

(5) Either party may appeal the decision of the Administrative Law Judge (ALJ) to either the Executive Director or their designee, or to the District Court. The appeal must be filed, in writing, within 30 days from the date the decision was issued by the ALJ.

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

Utah Admin. Code R993-300-309 Interpreters Certification Board Responsibilities

(1) The ICB is an advisory board to the director and performs duties under the director's direction.

(2) The ICB reviews complaints regarding certified interpreters and applicants. Complaints that are regarding division employees or individuals that are not certified interpreters or applicants are not reviewed by the ICB.

(3) The ICB makes recommendations to the director regarding:

(a) actions to take on complaints;

(b) rules, policy, and standards regarding the certification of interpreters; and

History

KEY: certification, interpreters
Date of Last Change: October 18, 2022
Notice of Continuation: September 16, 2021
Authorizing, and Implemented or Interpreted Law: 35A-13-601 et seq.

R994 Unemployment Insurance

R994-102 Employment Security Act, Public Policy and Authority

Utah Admin. Code R994-102-101 Authority and Statement of the Rules

(1) A purpose of the Employment Security Act, Title 35A, Chapter 4, is to lighten the burdens of persons unemployed through no fault of their own by maintaining their purchasing power in the economy. The legislature, in establishing this program, recognized the substantial social ills associated with unemployment and sought to ameliorate these problems with a program to pay workers for a limited time while they seek other employment.

(2) The Department is responsible for protecting the investment of employers who contributed to the unemployment insurance fund, the interests of the unemployed workers who may be eligible for the dollars provided by the fund, and the community which benefits from a stable workforce through the maintenance of purchasing power.

(3) The legal authority for these rules and for the Department to carry out its responsibilities is found in Section 35A- 1-104 and in the Employment Security Act, Title 35A, Chapter 4.

(4) These rules are to be liberally construed and administered and doubts should be resolved in favor of finding coverage of the employee and assisting those who are attached to the work force.

History

KEY: unemployment compensation
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-102

R994-106 Combined-Wage Claims

Utah Admin. Code R994-106-101 Combined-Wage Claims In General

(1) An unemployed individual who has covered employment and wages in more than one state may combine the wages and employment in the base period of one state if the combination will provide unemployment insurance benefits for which the individual could not otherwise qualify or will increase the unemployment insurance benefits for which the individual qualifies in a single state. The individual must file a combined-wage claim if the individual is eligible to do so rather than claim extended benefits. The individual may reject a combined-wage claim and file in a state in which the individual is separately eligible or cancel the combined-wage claim and file no claim.

(2) Section 35A-4-106 provides for the wages earned in other states to be used to qualify for unemployment insurance benefits. Many of the restrictions and guidelines contained in this rule are required by federal regulations which govern the establishment and payment of unemployment insurance benefits when a claimant uses wages earned outside the individual's state of residence when the combined-wage claim is filed. If there is a conflict between this rule and federal regulations, the federal regulations control.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

Utah Admin. Code R994-106-102 Definitions

As used in this rule:

(1) "Combined-wage claim" means a claim using wage credits from more than one state.

(2) "Claimant" means an individual who uses wages from more than one state to establish monetary entitlement to unemployment insurance benefits.

(3) Employment and Wages.

"Employment" refers to all services which are covered under the unemployment compensation law of a state, whether expressed in terms of weeks of work or otherwise. "Wages" refers to all remuneration for such employment.

(4) "Paying state" means the state in which the claimant files a combined-wage claim and issues the unemployment insurance benefits.

(5) "State" includes the states of the United States of America, the District of Columbia, the Commonwealth of Puerto Rico, and the Virgin Islands.

(6) "Transferring state" means the state in which the claimant had covered employment and wages within the base period of the paying state that may be transferred to establish a combined-wage claim. Wages from more than one transferring state may be used to establish a combined-wage claim.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

Utah Admin. Code R994-106-103 Restrictions on Combined-Wage Claims

(1) An unemployed individual who has covered employment in two or more states may file a combined-wage claim unless:

(a) the individual has filed a claim in another state;

(b) the benefit year has not ended; and

(2) Unused Benefit Rights.

A claimant will not be considered to have unused benefit rights on a prior claim if:

(a) all benefits have been exhausted;

(b) benefits have been denied because of a seasonal restriction; or

(c) benefits have been postponed for an indefinite period or for the remainder of the benefit year. A disqualification imposed because a claimant is not able to work or available for work is not considered a denial of a claimant's benefit rights.

(3) Use of Wages in Paying State.

If an individual files a combined-wage claim, all wages and employment in all states during the base period of the paying state must be included. The individual may not select a paying state but must accept that state which is determined under Subsection 35A-4-106(1)(b) and Section R994-106-104.

(4) Base Period for a Combined-Wage Claim.

The base period for a combined-wage claim is the base period as established in the paying state.

(5) Benefit Year for a Combined-Wage Claim.

The benefit year for a combined-wage claim is the benefit year of the paying state.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

Utah Admin. Code R994-106-104 Determining the Paying State in Combined-Wage Claims

(1) The paying state is the state in which the claimant elects to file a combined-wage claim, provided the claimant has employment and wages in that state's base period and the claimant qualifies for unemployment insurance benefits under the law of that state using combined employment and wages. The claimant is responsible for deciding the state in which to file a combined-wage claim.

(2) If a claimant files a combined-wage claim in Utah but is not monetarily eligible for unemployment insurance benefits in Utah, the Department will advise the claimant of Utah's qualifying requirements and the claimant's potential eligibility for unemployment insurance benefits, if any, under Utah law. The claimant will also be advised that the claimant may file in another state where the claimant has employment and wages. The Department will advise the claimant that state laws vary and there are differences in weekly benefits amounts and other qualifying requirements. If the claimant wishes to explore options with another state, the Department will provide the claimant with contact information for that state.

(3) If a claimant is found to be monetarily ineligible in Utah, the claimant may file in another state in which the claimant has employment and wages in that state's base period.

(4) If a claimant is found monetarily ineligible in another state and then files in Utah, the claim may be established using the effective date of the original claim in the original state, if the claimant filed the claim in Utah within the appeal period from the original state's monetary denial.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

Utah Admin. Code R994-106-105 Responsibilities when Transferring Wages

(1) Transfer of Employment and Wages.

Wages earned in Utah in covered employment during the base period of the combined-wage claim will be promptly transferred to the paying state. Wages will be transferred without restriction as to their use for determination and benefit payments under the paying state's law.

(2) Employment and Wages Not Transferrable.

Wages earned in Utah will not be transferred if the employment and wages have been:

(a) transferred to a paying state and:

(i) have not been returned unused; or

(ii) have been previously used as the basis of a monetary determination which establishes a benefit year; or

(b) canceled or are otherwise unavailable to the claimant as a result of a monetary determination made before the Department's receipt of the request for transfer, if such determination has become final or is subject to a pending appeal. If the appeal is finally decided in favor of the claimant, any employment and wages determined eligible for use as wages in establishing monetary eligibility will be transferred to the paying state and any necessary redetermination will be made by the paying state.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

Utah Admin. Code R994-106-106 Non-Monetary Eligibility Determination

(1)The law and eligibility requirements of the paying state apply to a combined-wage claim.

(2) Except as provided in Subsection R994-106-106(3), the paying state may not determine an issue that has previously been adjudicated by the transferring state.

(3) The paying state may determine an issue previously adjudicated by the transferring state if the transferring state's determination of the issue resulted in making the combined-wage claim possible as provided in 20 CFR 616.8.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

Utah Admin. Code R994-106-107 Conditions for Withdrawing a Combined-Wage Claim

(1) Because of the complexities of combining wages, disadvantages to the claimant may not be apparent until after the monetary determination. Therefore, the claimant may withdraw a combined-wage claim.

(2) Except as provided in Subsection R994-106-107(3), the claimant's right to withdraw a combined-wage claim is inherent. The claimant need not provide reasons supporting the withdrawal request.

(3) A claimant may not withdraw a combined-wage claim unless the claimant:

(a) requests withdrawal before the monetary determination of the paying state is final; and

(b) either:

(i) repays in full any benefits paid to the claimant; or

(ii) authorizes the state in which the claimant will claim benefits to withhold and forward to the former paying state a full repayment of benefits.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

Utah Admin. Code R994-106-108 Notification and Appeals

(1) Notification.

A claimant will receive a monetary determination notice from the paying state once the wage information from all transferring states is received. If a transferring state refuses to transfer wages because the wage credits were canceled under a disqualification or because the work was not covered, the claimant will be sent an appealable determination by the transferring state.

(2) Protests and Appeals.

A claimant may protest a monetary determination from a transferring state or from a paying state other than Utah. If the paying state or transferring state makes a decision, monetary or non-monetary, adverse to a claimant's interest, the claimant is entitled to a written determination and to request reconsideration or an appeal in accordance with the law of the state making the determination.

History

KEY: unemployment compensation, interstate compacts
Date of Last Change: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-106(1)

R994-201 Definition of Terms in Employment Security Act

Utah Admin. Code R994-201-101 General Definitions and Acronyms

The terms used in Title R994 are defined in Title 35A, Chapter 4, Part 2, Definitions. In addition:

(1) "Act" means the Employment Security Act, Title 35A, Chapter 4.

(2) "ALJ" means Administrative Law Judge.

(3) "Appeals Unit" means the Department of Workforce Services, Division of Adjudication and Appeals.

(4) "Board" means the Workforce Appeals Board.

(5) "Bona fide employment" means work that was an authentic employer-employee relationship entered into in good faith without fraud or deceit rather than an arrangement or report of non-existent work calculated to overcome a disqualification.

(6) "Burden of Proof" means the person or party that has the initial responsibility to show that the fact at issue is worthy of belief. Burden of proof requires proof by a preponderance of the evidence.

(7) "Calendar quarter" means the period of three consecutive calendar months ending on March 31, June 30, September 30, or December 31.

(8) "Claimant" means an individual who has applied for unemployment insurance benefits.

(9) "Covered employment" means employment subject to a state or federal unemployment insurance laws which can be used to establish monetary eligibility for unemployment insurance benefits. Active military duty in a full time branch of the United States military service can be used if the ex-servicemember was honorably discharged and completed the servicemember's first full term of service, or if the separation meets the requirements of 5 U.S.C. 8521(a)(1)(B)(ii)(I) through (IV) and 20 CFR 614.

(10) "Department" means the Department of Workforce Services.

(11) "Employment Center" means an office operated by the Department.

(12) "Itinerant service" means a service maintained by the Department at specified intervals and at designated outlying points within the jurisdiction of an Employment Center.

(13) "Local office" means the Employment Center of any geographical area.

(14) "MBA" means maximum benefit amount.

(15) "Person" means any governmental entity, individual, corporation, partnership, or association.

(16) "Preponderance of Evidence" means evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it, more convincing to the mind, evidence that best accords with reason or probability. Preponderance means more than weight; it denotes a superiority of reliability. Opportunity for knowledge, information possessed, and manner of testifying determines the weight of testimony.

(17) "Separation" means curtailment of employment to the extent that the individual meets the definition of "unemployed" as stated in Subsection 35A-4-207(1) with respect to any week.

(18) "Transitional Claim" means a claim that is filed effective the day after the prior claim ends provided an eligible weekly claim was filed for the last week of the prior claim.

(19) "WBA" means weekly benefit amount.

History

KEY: unemployment compensation, definitions
Date of Last Change: October 4, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-201

R994-202 Employing Units

Utah Admin. Code R994-202-101 Legal Status of Employing Unit

(1) The Department may, on its own motion or if requested by an employer, determine the legal status of an employing unit according to Section 35A-4-313. The determination will be based on the best available information, including registration forms, income tax returns, financial and business records, regulatory licenses, legal documents, and information from the involved parties. The Department's determination is subject to review and may be appealed according to Rule R994-508.

(2)(a) Sole Proprietorship. A sole proprietorship is a legal entity that is owned by one person. The sole proprietor is the employing unit.

(b) A sole proprietor's services are exempt from coverage pursuant to Subsection R994-208-103(10).

(c) The services of a sole proprietor's spouse, child under age 21, or parent is exempt from coverage and the individual is not entitled to unemployment benefits based on the compensation received from the sole proprietorship.

(3)(a) Partnership. A partnership is a legal entity composed of two or more persons or business entities that agree to contribute money, assets, labor, or skills to the business. Each partner shares the profits, losses, and management of the business and each partner is personally and wholly liable for debts of the partnership. The partners are the employing unit.

(b) A partner's services are exempt from unemployment coverage and a partner is not entitled to unemployment benefits based on compensation received from a partnership pursuant to Subsection R994-208-103(11).

(c) The services of an individual working for partners who are also employing units, such as corporations and limited liability companies, are subject or exempt as provided under this rule.

(d) If a partner is added or a partner leaves the partnership, the partnership ceases to exist at the point the change occurs, and any remaining entity becomes a different employing unit.

(e) Subsection R994-205-102(2)(c) explains partnership family employment that is exempt from coverage.

(4)(a) Limited Partnership (LP) and Limited Liability Partnership (LLP). LPs and LLPs are partnerships composed of one or more general partners and one or more limited partners. The general partners manage the business and share fully in its profits and losses. Limited partners share in the profits of the business, but their losses are limited to the extent of their investment.

(b) A general partner's services are exempt from unemployment insurance coverage.

(c) Payments to a limited partner for services are wages subject to unemployment insurance contributions pursuant to Subsection R994-208-103(11).

(5)(a) Corporation. A corporation is a legal entity granted a state charter legally recognizing it as a separate entity having its own rights, privileges, and liabilities distinct from those of its owners. The corporation is the employing unit.

(b) Corporations must be registered and in good standing with the Utah Department of Commerce. If a corporation is not registered or is in an expired status, it is treated as a proprietorship or partnership, based upon the best available information.

(c) A change of ownership occurs when the corporate assets are sold or transferred according to Section R994-303- 106. The sale, transfer, or exchange of corporate stock is not a change of ownership except as specified in Section R994-304- 101.

(d) Individuals employed by the corporation, including officers, are employees of the corporation. Compensation to officers who perform services for the corporation is considered wages.

(e) Payments to corporate employees of dividends, loans, property distributions, and expenses in lieu of compensation for services may be reclassified as wages by the Department based on the extent and significance of the work performed and the documentation supporting the payments. This applies to each corporation regardless of income tax reporting status.

(f) The following payments to officers are generally not wages:

(i) directors fees that are uniform and reasonable;

(ii) reimbursement for expenses that are reasonable and documented, for which the Department may require receipts to document questionable expenses as stated in Section R994-208-103, containing additional information on expense reimbursements;

(iii) loans supported by notes and reasonable repayment schedules, including non-interest bearing notes that are payable upon demand with no payment schedule which are considered wages if the officer is performing services for the corporation; or

(iv) documented return of an investment where the officer has loaned money to, or invested money in, the corporation.

(6)(a) Limited Liability Company (LLC). An LLC is a legal entity that combines the limited liability protection of a corporation and the pass through taxation of a sole proprietorship or partnership. The LLC is the employing unit and must be registered and in good standing with the Utah Department of Commerce. An LLC that is not registered or is in an expired status is treated as a proprietorship or partnership, based upon the best available information.

(b) Members of an LLC are not employees of the LLC and payments to them are exempt from coverage provided the following criteria are met:

(i) the LLC is registered and in good standing with the Utah Department of Commerce;

(ii) the member has a bona fide ownership interest in the LLC and is listed in the articles of organization, the operating agreement, or federal income tax return; and

(iii) the LLC has not been approved by the IRS as an "eligible entity" which allows the LLC to file with the IRS as a corporation.

(d) Legal actions, subpoenas, and court orders will be issued to a member or manager of record.

(e) Assessments and liens will be issued in the name of the LLC, and not against the members of record.

(7)(a) Trust. A trust is a legal entity created to transfer property to a trustee to hold and manage for the benefit and profit of designated persons. The trust is the employing unit.

(b) A trust instrument or document must exist for the entity to be recognized.

(c) If the trustee does not independently perform fiduciary and management responsibilities, the trustee is an employee of the trust.

(8(a)) Association. An association is an entity consisting of a collection or organization of persons or other legal entities that have joined together for a certain common objective.

(b) Payments to association members for business services such as accounting and maintenance are considered wages unless the member is exempt as an independent contractor as defined in Section R994-204-301.

(9) Joint Venture. A joint venture is a legal entity consisting of a one-time grouping of two or more persons or legal entities in a business undertaking. Unlike a partnership, a joint venture does not entail a continuing relationship among the parties. The exempt or employment status of proprietors, partners, LLC members, or corporate officers is not lost in the formation of the joint venture.

(10)(a) Estate. An estate is a legal entity consisting of the property of a living, deceased, or bankrupt person. An estate established to manage a person's business is the employing unit.

(b) The executor or administrator of the estate is not considered to be an employee of the estate.

History

KEY: unemployment compensation, employment
Date of Last Change: October 28, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-202(1)

Utah Admin. Code R994-202-102 Temporary Help Company

(1) "Temporary help services" means services provided by an organization:

(a) recruiting and hiring its own employees;

(b) finding other organizations that need the services of those employees;

(c) assigning those employees to perform work at or services for the other organizations to support or supplement the other organizations' workforces;

(d) providing assistance in special work situations such as employee absences, skill shortages, seasonal workloads, or to perform special assignments or projects with a definite ending date; and

(e) customarily attempting to reassign the employees to other organizations when they finish each assignment by a definite ending date.

(2) A company that provides all or substantially all of the client company's regular workers with no restrictions or limitation on the duration of employment, is not the employing unit for those workers. The client company is considered the employing unit subject to the Act, as an employer, unless the company is licensed as a Professional Employer Organization pursuant to Title 31A, Chapter 40, Professional Employer Organization Licensing Act.

(3) Individuals and services exempt under the Act, based on the nature of service or due to a specific exemption, continue to be exempt if the individual is an employee of the temporary help services company or the services are performed by an employee of the temporary help services company.

History

KEY: unemployment compensation, employment
Date of Last Change: October 28, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-202(1)

Utah Admin. Code R994-202-103 Common Paymaster

(1) A common paymaster relationship exists when two or more related corporations concurrently employ the same individual and one of the corporations compensates the individual for the concurrent employment.

(2) The Department does not allow or recognize common paymaster reporting as of March 1, 2005, even if the relationship is approved by the Internal Revenue Service. Each corporation shall register with the Department and obtain a Utah Employer Registration Number.

History

KEY: unemployment compensation, employment
Date of Last Change: October 28, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-202(1)

Utah Admin. Code R994-202-104 Payrolling

(1) Payrolling is defined as the practice of an employing unit paying wages to the employees of another employer or reporting those wages on its payroll tax reports.

(2) Generally an employee is reportable by the employer:

(a) who has the right to hire and fire the employee;

(b) who has the responsibility to control and direct the employee; and

(3) Payrolling is not allowed. Exceptions to this provision are contained in Sections R994-202-106 and R994-202- 102.

History

KEY: unemployment compensation, employment
Date of Last Change: October 28, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-202(1)

Utah Admin. Code R994-202-105 Constructive Knowledge of Work Performed

(1) If an individual is hired to perform or assist in performing the work of an employee, the individual is considered employed by the employer provided the employer had actual or constructive knowledge of the work performed by the individual, including when the individual who is hired to assist the employee is hired or paid by that employee.

(2) The employer must report and pay contributions for actual and constructive employment.

(3) An employer has actual or constructive knowledge if:

(a) the employer knows or should have known the employee hires an assistant;

(b) the employer knows or should have known that the employee's duties require an assistant;

(c) subject to Subsections R994-205-105(5) and R994-202-105(5), the employer instructs the employee to perform duties without an assistant, but the employee disregards the instructions and hires an assistant; or

(d) the employer gives the employee the option of hiring an assistant and the employee hires an assistant but does not inform the employer of the hire.

(4) When an employee has hired an assistant without authorization as described in Subsection R994-205-105(3)(c) and the employer becomes aware that the employee has hired an assistant, if the employer takes no action to discontinue the current or future working relationship between the employee and the assistant, the assistant is considered to be employed by the employer for both the past and future work performed.

(5) When an employee has hired an assistant without authorization as described in Subsection R994-205-105(3)(c) and the employer becomes aware that the employee has hired an assistant, if the employer takes action to prevent an employee from hiring an assistant in the future, then the assistant is not considered employed by the employer for the work already performed.

History

KEY: unemployment compensation, employment
Date of Last Change: October 28, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-202(1)

Utah Admin. Code R994-202-106 Professional Employer Organizations

(1) As used in this section:

(a) "Agent" means an individual or organization authorized to act on behalf of an employer.

(b) "Client" or "client company" means a person or entity that enters into a professional employer agreement with a PEO.

(c) "Co-employment relationship" means a relationship that is intended to be ongoing rather than temporary or project specific and in which the employer's rights, obligations, and responsibilities are allocated pursuant to the professional employer agreement or Title 31A, Chapter 40, Professional Employer Organization Licensing Act.

(d) "Professional employer agreement" means a written contract by and between a client and a PEO that provides for the co-employment of a covered employee as defined in Section 31A-40-102.

(e) "Professional employer organization" or "PEO" means an organization engaged in the business of providing professional employer services. A PEO may commonly be described as an "employee leasing company" and "employee staffing company."

(f) "Professional employer services" means the service of entering into a co-employment relationship under which a majority of the employees who provide a service to a client, or division or work unit of a client, are considered employees as defined in Title 31A, Chapter 40, Professional Employer Organization Licensing Act.

(g) "Covered employee" means an individual who is co-employed pursuant to a professional employer agreement subject to Section 31A-40-203.

(2) Before the employer is considered to be a PEO, it must comply with the requirements of Title 31A, Chapter 40, Professional Employer Organization Licensing Act. In the absence of such compliance, the Department may hold each "client company" to be the employing unit.

(3) A PEO that fails to qualify as an employer under Title 31A, Chapter 40, Professional Employer Organization Licensing Act, and as an employing unit under Subsection 35A-4-202(1), is considered to be the agent of the client company.

(a) The client's workers are not the employees of the agent. The client company remains the employer of its workers under the Act.

(b) A client company employee not covered by a professional employment agreement remains the employee of the client company.

(4) Individuals and services exempt under the Act, based on the nature of service or due to a specific exemption, continue to be exempt if the individual is an employee of a PEO or the services are performed by an employee of a PEO. The exemptions for domestic and agricultural services contained in Section 35A-4-205 are considered for the PEO's clients in the aggregate, and not on an individual client basis.

(5) A PEO cannot elect reimbursable coverage even if the client company could independently qualify as a reimbursable employer.

(6) Reporting Requirements.

(a) Any entity conducting business as a PEO must register with the Department and complete each form and report required by the Department.

(b) Failure to file reports or pay contributions timely will result in the Department treating the client as a new employer without experience rating, unless the client is otherwise eligible for experience rating, beginning on the day the PEO failure occurred, as outlined in Section 31A-40-210.

(c) Within 30 days of the effective date of a contract with a client, a PEO must submit to the Department the following information:

(i) the effective date of the contract;

(ii) the client's name and address;

(iii) the client's Federal Employer Identification Number (FEIN) if registered with the IRS;

(iv) the client's Employer's Utah Registration Number, if previously registered with this Department; and

(v) the client's principal business activity.

(d) Within 30 days of the termination of a contract with a client, a PEO must submit to the Department the following information:

(i) the effective date of contract termination;

(ii) the client's name and address;

(iii) the client's FEIN if registered with the IRS;

(iv) and the client's Employer's Utah Registration Number, if previously registered with this Department.

(7) The Department may directly contact a PEO or its clients to conduct investigations, audits, and otherwise obtain information necessary for the administration of the Act, as permitted by Section 35A-4-312.

(8) The rules pertaining to "payrolling" in Section R994-202-104 do not apply to a PEO that is in compliance with Title 31A, Chapter 40, Professional Employer Organization Licensing Act.

History

KEY: unemployment compensation, employment
Date of Last Change: October 28, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-202(1)

R994-204 Covered Employment

Utah Admin. Code R994-204-201 Localization of Services

Employment is covered under the Act if a worker's service is performed within Utah. Workers who perform services for one employer in more than one state are covered in Utah under certain circumstances.

(1) Service localized in this state. The service is considered to be localized in Utah if it is performed entirely within Utah. The service is also considered to be localized in Utah if performed both inside and outside of Utah, but the service outside of Utah consists of isolated transactions or is otherwise incidental or transitory to the service in Utah. Some of the factors which indicate the service is incidental or transitory are:

(a) the employer and the worker intend the service outside of Utah to be an isolated transaction, and not a regular part of the worker's duties;

(b) the worker intends to return to Utah upon completion of the work assignment rather than move to the other state;

(d) it is anticipated that the worker will perform services outside the state for 12 months or less, however this length of time is intended only as an example and other variables such as the terms of the contract of hire, whether written or oral, will be considered.

(2) Service is not localized in any state; however, some service is performed in Utah. If the service is not localized in any state but some of the service is performed by the worker in Utah, the entire service is covered in Utah in the following situations.

(a) The worker's base of operations is in Utah. The "base of operations" is the place from which the worker starts work and to which the worker customarily returns for instructions from the employer, communications from customers, to replenish stocks or materials, to repair equipment, or to perform any other function necessary in the trade or profession. The base of operations may be the worker's business office, which may be located at the worker's residence, or the contract of employment may specify a particular place at which the worker is to receive direction and instructions.

(b) The place from where service is controlled or directed is in Utah. If the worker has no base of operations or does not perform any service in the state in which the base of operations is located, it is necessary to determine if any service is performed in the state from which the service is controlled or directed. The place from which the service is controlled or directed is the place at which the basic authority exists rather than the place at which a manager or foreperson supervises the service.

(c) The place of residence is in Utah. If the conditions in Subsection (2)(a) or (2)(b) of this section do not apply, it is necessary to apply the test of residence. Under this test, the service is covered in Utah if the worker lives in Utah and performs some services in Utah.

(3) Service is not localized in any state and no service is performed in Utah. If the service is not localized in any state and none of the service is performed by the worker in Utah, the entire service is covered in Utah in the following situations.

(a) The worker's base of operations is in Utah. The "base of operations" is the place from which the worker starts work and customarily returns for instructions from the employer, to replenish stocks or materials, to repair equipment or to perform any other function necessary in the worker's trade or profession. The base of operations may be the worker's business office, which may be located at the worker's residence, or the contract of employment may specify a particular place at which the worker is to receive direction and instructions.

(b) The place from where the service is controlled or directed is in Utah. If the worker has no base of operations or does not perform any service in the state in which the base of operations is located, it is necessary to determine if the worker is controlled and directed from Utah. The place from which the service is controlled or directed is the place at which the basic authority exists rather than the place at which a manager or foreperson supervises the service.

(4) Reciprocal coverage. If the worker's service is found not to be subject to any one state under Subsection (1), (2), or (3), the employer may elect to cover the worker's service in one state. This election must be pursuant to Section 35A-4-106 for reciprocal coverage arrangements. The Department will approve reciprocal coverage and allow an employer to cover a worker's entire service in Utah if:

(a) the employer petitions for coverage;

(b) part of the worker's service is in Utah, the worker lives in Utah, or the worker maintains a place of business in Utah; and

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-202 Outside Commissioned Salespersons in Covered Employment

Outside commissioned salespersons are excluded from the Act under the outside commissioned salesperson exclusion contained in Subsection 35A-4-205(1)(p) unless the following "traveling or city salesperson" conditions apply.

(1) The salesperson is engaged on a full-time basis. Full-time under this section means the salesperson devotes at least 80% of the salesperson's working time in any quarter to the solicitation of orders for one employer. This is true even if the salesperson works for the employer less than 40 hours per week.

(2) The salesperson solicits orders from wholesalers, retailers, contractors, or operators of hotels or restaurants. The salesperson must solicit orders from certain types of customers. Generally, the following types of customers are not included: manufacturers, schools, hospitals, churches, institutions, municipalities, and state and federal governments. However, a clearly identifiable and separate business carried on through such a customer, such as a bookstore or gift shop, is a "retailer." The salesperson must solicit orders from the following types of customers:

(a) wholesalers who buy merchandise in comparatively large quantities and sell such merchandise in smaller quantities to jobbers and retailers for resale;

(b) retailers who sell merchandise to the ultimate consumers;

(c) contractors who, for a fixed price, undertake the performance of work on an independent basis, such as construction contractors and certain service organizations including, electrical, plumbing, painting, building, window washing, and delivery service contractors; or

(d) operators of hotels, restaurants, or establishments similar to hotels or restaurants whose primary function is the furnishing of food, lodging, or both food and lodging.

(3) The salesperson takes orders for merchandise for resale or supplies used in business.

(a) Merchandise for resale includes goods, wares, and commodities that ordinarily are for trade and commerce and purchased for resale. This term refers specifically to tangible materials that do not lose their identities between the time of purchase and the time of resale.

(b) Supplies for use in the customer's business operations means articles consumed in conducting or promoting the customers' businesses. Generally the term "supplies" includes tangible items that are not "merchandise for resale" or capital items. Services such as radio time and advertising space are intangible items and not within the definition. However, calendars, advertising novelties, or other similar items used by the advertiser in the advertiser's business constitutes "supplies."

(4) The contract of service contemplates that substantially each service is to be performed personally by the worker. The services to which the contract relates may not be delegated to any other person by the worker who undertakes the contract to perform such services.

(5) The worker does not have a substantial investment in facilities used in connection with the performance of services. The facilities include equipment and premises available for the work but does not include such tools and equipment or clothing as are commonly provided by employees.

(6) The services are part of a continuing relationship with the person for whom the services are performed.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-203 Domestic Service Included in Covered Employment

Subsection 35A-4-204(2)(k) defines when domestic services, that are exempt under Subsection 35A-4-205(1)(d), become covered employment.

(1) $1,000 in a calendar quarter. Domestic services performed in a private home, local college club, or local chapter of a college fraternity or sorority are exempt unless the employer pays cash remuneration of $1,000 or more in one or more calendar quarters in the current calendar year or the preceding calendar year. Cash wages include wages paid by cash, check, or money order. Cash wages do not include the value of food, lodging, clothing, and other non-cash items. However, cash given to an employee in lieu of these items is considered to be cash wages.

(2) Services that are domestic services. Domestic services include services of a household nature in or about any of the places listed in Subsection (1) of this section. Domestic services include work performed by:

(a) baby-sitters;

(b) cleaning people;

(d) housekeepers;

(e) nannies;

(f) health aids;

(g) maids;

(h) caretakers;

(i) yard workers;

(j) cooks; and

(k) butlers.

(3) Services that are not domestic services. Services that are not of a household nature such as secretarial services performed in a private home or services related to remodeling or building a private home, local college club, or local chapter of a college fraternity or sorority are not domestic services.

(4) Private home. A private home is a fixed place of abode of an individual or family. This may include a dwelling unit in an apartment building or hotel.

(5) A local college club or local chapter of a college fraternity or sorority does not include an alumni club or chapter.

(6) Remuneration is reportable. If the $1,000 cash threshold is met, each payment including cash and non-cash payments is reportable as wages.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-301 Independent Contractor Services

(1) An independent contractor is a worker who is customarily engaged in an independently established trade, occupation, profession, or business of the same nature as the services performed, and the individual providing the services must be free from the employer's control and direction while performing services for the employer. A worker must clearly establish the worker's status as an independent contractor by taking steps that demonstrate independence and indicating an informed business decision has been made.

(2) Payments to or through another entity for personal services performed by a worker are exempt from employment if the personal services meet Subsection 35A-4-204(3).

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-302 Independent Contractor Determination

(1) The Department will determine the status of a worker based upon information provided by the employer, the worker, and any other available source.

(2) If the Department determines that the worker is an independent contractor and the worker's services for an employer are exempt from coverage, any earnings from those services for that employer will be excluded from the claimant's monetary determination. The claimant may protest the monetary determination by filing an appeal as provided in Section R994- 204-402.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-303 Factors for Determining Independent Contractor Status

Service will not be considered employment under Section 35A-4-204 if the service meets the requirements of this rule. Special scrutiny of the facts is required to assure that the form of a service relationship does not obscure its substance, that is, whether the worker is independently established in a like trade, occupation, profession, or business and is free from control and direction. The factors listed in Subsections R994-204-303(1)(b) and R994-204-303(2)(b) are intended only as aids in the analysis of the facts of each case. The degree of importance of each factor varies depending on the service and the factual context in which it is performed. Additionally, some factors do not apply to certain services and will not be considered.

(1) Independently established.

(a) An individual will be considered customarily engaged in an independently established trade, occupation, profession, or business if the individual, when the service is performed is regularly engaged in a trade, occupation, profession, or business of the same nature as the service performed, and the trade, occupation, profession, or business is established independently of the alleged employer. In other words, an independently established trade, occupation, profession, or business is created and exists apart from a relationship with a particular employer and does not depend on a relationship with any one employer for its continued existence.

(b) The following factors will be considered to determine whether a worker is customarily engaged in an independently established trade or business.

(i) Separate place of business. The worker has a place of business separate from that of the employer.

(ii) Tools and equipment. The worker has a substantial investment in the tools, equipment, or facilities customarily required to perform the services. However, "tools of the trade" used by certain trades or crafts do not necessarily demonstrate independence.

(iii) Other clients. The worker regularly performs services of the same nature for other customers or clients and is not required to work exclusively for one employer.

(iv) Profit or loss. The worker can realize a profit or risks a loss from expenses and debts incurred through an independently established business activity.

(v) Advertising. The worker advertises services in telephone directories, newspapers, magazines, online, or by other methods clearly demonstrating an effort to generate business.

(vi) Licenses. The worker has obtained any required and customary business, trade, or professional licenses.

(vii) Business records and tax forms. The worker maintains records or documents that validate expenses, business asset valuation, or income earned so the worker may file self-employment and other business tax forms with the Internal Revenue Service and other agencies.

(c) If an employer proves to the satisfaction of the Department that the worker is customarily engaged in an independently established trade, occupation, profession, or business of the same nature as the service in question, a rebuttable presumption arises that the employer did not have the right of or exercise direction or control over the service.

(2) Control and direction.

(a) When an employer retains the right to control and direct the performance of a service, or actually exercises control and direction over the worker who performs the service, not only as to the result to be accomplished by the work but also as to the manner and means by which that result is to be accomplished, the worker is an employee of the employer pursuant to the Act.

(b) The following factors will be used as aids in determining whether an employer has the right of or exercises control and direction over the service of a worker.

(i) Instructions. A worker who is required to comply with other persons' instructions about how the service is to be performed is ordinarily an employee. This factor is present if the employer for whom the service is performed has the right to require compliance with the instructions.

(ii) Training. Training a worker by requiring or expecting an experienced person to work with the worker, by corresponding with the worker, by requiring the worker to attend meetings, or by using other methods, indicates that the employer for whom the service is performed expects the service to be performed in a particular method or manner.

(iii) Pace or sequence. A requirement that the service must be provided at a pace or ordered sequence of duties imposed by the employer indicates control or direction. The coordinating and scheduling of the services of more than one worker does not indicate control and direction.

(iv) Work on employer's premises. A requirement that the service be performed on the employer's premises indicates that the employer for whom the service is performed has retained a right to supervise and oversee the manner in which the service is performed, especially if the service could be performed elsewhere.

(v) Personal service. A requirement that the service must be performed personally and may not be assigned to others indicates the right to control or direct the manner in which the work is performed.

(vi) Continuous relationship. A continuous service relationship between the worker and the employer indicates that an employer-employee relationship exists. A continuous relationship may exist where work is performed regularly or at frequently recurring although irregular intervals. A continuous relationship does not exist where the worker is contracted to complete specifically identified projects, even though the service relationship may extend over a significant period.

(vii) Set hours of work. The establishment of set hours or a specific number of hours of work by the employer indicates control.

(viii) Method of payment. Payment by the hour, week, or month points to an employer-employee relationship, provided that this method of payment is not just a convenient way of paying progress billings as part of a fixed price agreed upon as the cost of a job. Control may also exist if the employer determines the method of payment.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-401 Safe Haven Created by Independent Contractor Determinations

(1) The "safe haven" provision of Subsection 35A-4-204(4) allows an employer to rely on a declaratory order, ruling, or final determination by the Department that determines the independent contractor status of a worker or class of workers.

(2) A determination may be made at the request of an employer or by the Department as the result of an audit or status investigation.

(a) The final determination will only determine whether the employer is liable to pay contributions on payments made to the workers in question and does not affect the worker's right to challenge the determination at a more appropriate time, such as when the work relationship has ended and a claim for benefits has been filed.

(b) The worker, or class of workers, is not bound by the determination in the event a worker later files a claim for unemployment benefits.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-402 Procedure for Issuing a Safe Haven Determination

(1) If the issue of the status of a worker or class of workers arises out of an audit or request for declaratory order and there is no pending claim for benefits, the Department will determine the status on the basis of the best information available. A request for a declaratory order will be denied if there is a pending claim for benefits by a worker who would be affected by the order.

(2) A worker whose status is determined as a result of an audit or declaratory order is not required to file a written consent to the determination pursuant to Subsection 63G-4-503(3)(b). Any consent given by the worker is invalid and will be considered to be in violation of Subsection 35A-4-103(1)(c)(ii).

(3) If the issue of a worker's status arises out of a claim for benefits and there has been a prior audit determination or declaratory order determining the status of the worker or a class of workers to which the individual belonged, the Department will issue a notice as part of the monetary determination, denying use of the worker's independent contractor earnings as wage credits for the base period on the basis of the prior status determination.

(a) The worker may protest the determination by filing an appeal within 15 days of the date of the notice.

(b) Upon receipt of a protest the Department will review the status of the worker.

(i) On the basis of its review, the Department will issue a new determination which will either affirm, reverse, or revise the original determination.

(ii) The new determination will be mailed to the parties and may be appealed by the employer or the worker as though it were an "initial Department determination" under Sections R994-508-101 through R994-508-104.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-403 Employer Reliance on Official Determination

If a declaratory order or final audit finding has been issued concluding that a worker or class of workers to which the individual belonged is that of independent contractor, the employer will have no liability to pay unemployment contributions on payments made to the worker or workers, except as provided in Section R994-204-404.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-404 Effect of New Determination on Employer

If a new determination by the Department, an administrative law judge, or the Workforce Appeals Board holds that the status of a worker or class of workers to which the individual belonged is that of employee pursuant to the Act, the employer is liable to pay unemployment contributions on wages paid to workers in the class to which the individual belonged, from the beginning of the calendar quarter in which the new determination is made. The employer shall also be liable to pay contributions on wages used by a claimant to establish a claim for benefits affected by the new determination.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

Utah Admin. Code R994-204-405 Remote Service Marketplace Platforms

Pursuant to the Federal Unemployment Tax Act, 26 U.S.C. Sec 3304(a)(6)(A), the provisions of Title 34, Chapter 53a, Remote Service Marketplace Platforms Act, do not apply to employment status determinations under Title 35A, Chapter 4, Employment Security Act, for services performed for a governmental entity, federally recognized Indian tribe, or non-profit organization that is exempt from taxation under Section 501(c)(3), Internal Revenue Code.

History

KEY: unemployment compensation, employment tests, independent contractor
Date of Last Change: October 28, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-204; 26 USC 3304(a)(6)(A)

R994-205 Exempt Employment

Utah Admin. Code R994-205-101 Exempt Domestic Service

Domestic services are exempt under the Act, provided they are not included in covered employment under Subsection 35A-4-205(1)(d).

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

Utah Admin. Code R994-205-102 Exempt Family Service

(1) Certain family service is exempt from coverage under the Act based upon the type of employing entity.

(2) Sole proprietorship exempt family service includes the following relationships:

(a) a worker employed by a spouse;

(b) a parent employed by a child;

(d) a child, adopted child, stepchild, or foster child living with a foster parent, who is under the age of 21 employed by a parent regardless of the child's marital status.

(3) Partnership family service is exempt from coverage if the worker has an exempt family relationship to all partners. Exempt family relationships are the same relationships as for sole proprietorships in Subsection (2) of this section. However, it is not necessary for the same relationship to exist between the worker and each partner.

(4) There are no exempt family relationships in corporations, limited liability companies, or other entity types not discussed in this section.

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

Utah Admin. Code R994-205-103 Exempt Employees Hired Temporarily for a Disaster

(1) The Act excludes the services of governmental entity or Indian tribe employees hired solely on a temporary basis for disaster-type emergencies.

(2) Temporary basis employment is not the same as intermittent or irregular employment. Intermittent or irregular employment involves an ongoing relationship, such as workers with an "on-call" status.

(3) Disaster-type emergencies are those that affect the community on a wide scale, such as a forest fire, storm, or flood. Incidents that affect a few individuals, such as a house fire or automobile accident are not disaster-type emergencies.

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

Utah Admin. Code R994-205-104 Exempt Casual Labor

(1) Casual labor is exempt under the Act if:

(a) the service is not in the course of the employing unit's trade or business;

(b) the payment for such service is less than $50 in a calendar quarter; and

(c) the worker performs such service on some portion of a day for less than 24 days in a calendar quarter or less than 24 days during the preceding calendar quarter.

(2) Services "not in the course of the employing unit's trade or business" include services that do not promote or advance the trade or business, such as services performed in connection with the employer's hobby or repairs to the employer's private home.

(3) Casual labor does not apply to domestic service exempt under Subsection 35A-4-205(1)(d).

(4) Casual labor does not apply to services performed for a corporation or limited liability company.

(5) Services performed by a worker for a property owner in regard to building or remodeling the owner's home are exempt if the requirements in Subsection (1)(a) of this section are satisfied.

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

Utah Admin. Code R994-205-105 Exempt Commission Insurance Sales

(1) Employment does not include services performed as an insurance agent or solicitor if payment for such services is solely by way of commission.

(2) An insurance solicitor is an employee of an insurance agent and may sell insurance on behalf of the agent. The solicitor usually does not have binding authority, and the business generated by the solicitor is usually owned by the agent, and not the solicitor.

(3) Services performed by a worker selling insurance are exempt if all such services are paid solely by way of commission.

(a) If any part of the payment for insurance sales services is a salary, all services are covered employment and the total payment, salary, and commission is subject to contribution payments.

(b) If a worker is guaranteed a minimum salary for any pay period in which sales commissions are less than the guaranteed minimum, all earnings are subject to contribution payments when the worker is paid the guaranteed salary. In any pay period in which the commissions equal or exceed the guaranteed salary, the earnings are considered to be payment solely by way of commission and are not subject to contribution payments.

(c) If the worker is given advances against future commissions and is required to repay any advances that exceed the commissions, the advances are considered to be payment solely by way of commission.

(d) If a worker performs both commission sales services and other salaried services, the sales are excluded from employment and the other services are included in covered employment. However, Subsection 35A-4-205(2) applies if the payment for all such services is for the same pay period.

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

Utah Admin. Code R994-205-106 Exempt Real Estate Sales

(1) Employment does not include services performed as a licensed real estate agent if payment for such services is solely by way of commission.

(2) The "licensed" requirement refers to the license issued by the Utah Department of Commerce, Division of Real Estate to principal real estate brokers, associate real estate brokers, and real estate sales agents.

(3) The services performed as a real estate agent must be performed pursuant to a written contract and include activities generally associated with the sale of real property.

(4) Services performed by a worker as a licensed real estate agent are exempt if all such services are paid solely by way of commission.

(a) If any part of the payment for real estate sales services is a salary, all such services are covered employment and the total payment, salary, and commission is subject to contribution payments.

(b) If a worker performing real estate sales services is guaranteed a minimum salary for any pay period in which sales commissions are less than the guaranteed minimum, all earnings are subject to contribution payments when the worker is paid the guaranteed salary. In any pay period in which the commissions equal or exceed the guaranteed salary, the earnings are considered to be payment solely by way of commission and are not subject to contribution payments.

(c) If a worker performing real estate sales services is given advances against future commissions and is required to repay any advances that exceed the commissions, the advances against future commissions are considered to be payment solely by way of commission.

(5) If a worker performs both commission sales services and other salaried services, such as an accountant, the sales are excluded from employment and the other services are included in covered employment. However, Subsection 35A-4-205(2) applies if the payment for all such services is for the same pay period.

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

Utah Admin. Code R994-205-107 Exempt Outside Sales

(1) The Act excludes the services of salespersons if:

(a) the services are performed outside the employer's place of business;

(b) the salesperson is paid solely by way of commission;

(d) the services are not employment as a traveling or city salesperson defined in Subsection 35A-4-204(2)(i).

(2) The employer's place of business is defined as an establishment where business is conducted, services are performed, retail sales are made, or goods are manufactured, stored, or processed. This definition also includes temporary places of business such as booths or exhibits at trade shows, fairs, and festivals.

(3) A commission is defined as a payment calculated as a percentage of the sales volume or value. Outside sales services are exempt if all such services are paid solely by way of commission.

(a) If any part of the payment for outside sales services is a salary, all services are covered employment and the total payment, salary, and commission, is subject to contribution payments.

(d) If a worker performs both outside commission sales services and other salaried services, the sales are excluded from employment and the other services are included in covered employment. However, Subsection 35A-4-205(2) applies if the payment for all such services is for the same pay period.

(4) Employment at common law is defined by the Internal Revenue Service's current common law rules.

(5) An outside salesperson may perform incidental activities at the employer's place of business, such as writing up and transmitting orders, replenishing sales supplies, or attending sales meetings, provided such activities are not routine, without losing the classification as an outside salesperson.

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

Utah Admin. Code R994-205-201 Included and Excluded Service

(1) When a worker performs both included and excluded services for an employer during a pay period, all the services are considered to be included or excluded for that pay period, depending on the time spent in each activity, as provided in Subsection 35A-4-205(2). A worker could have all services included in covered employment during one period and excluded in another.

(2) Employer Must Verify Time Spent. To have all services performed by a worker excluded from covered employment, the employer must show to the satisfaction of the Department that less than 50% of the time spent in any pay period is for services that constitute employment.

(3) Pay Period. Subsection 35A-4-205(2) does not apply if there is no regular pay period, the pay period covers more than 31 consecutive days, or there are separate pay periods for the included and excluded services.

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-205

R994-206 Agricultural Labor

Utah Admin. Code R994-206-101 Definition of Agricultural Labor

Agricultural labor is exempt under Subsection 35A-4-205(1)(c) of the Act unless it is covered under Subsection 35A-4- 204(2)(j). Subsection 35A-4-204(2)(j) covers larger agricultural employers based on wages paid or number of workers employed.

(1) Definition of Agricultural Terms. As used in this rule, the term:

(a) "Agricultural Commodities" includes livestock, bees, poultry, fur-bearing animals, wildlife, and all crops such as fruits, nuts, vegetables, grains, and other commodities grown in the soil or other growth mediums for use or profit.

(b) "Horticultural Commodities" means flowers and nursery products such as sod, fruit trees, shade trees, holiday trees, ornamental plants, and shrubs.

(c) "Raising" includes planting the seeds, watering or irrigating, applying insecticide or fertilizer and otherwise caring for the commodity before harvesting. In regard to livestock, bees, poultry, fur-bearing animals, and wildlife, "raising" includes caring for, feeding, shearing, breeding, training, and management.

(d) "Harvesting" includes picking, cutting, threshing, shucking corn, baling hay, and hulling nuts. Horticultural commodities are harvested when they are made available for sale.

(e) "Farm" includes stock, dairy, poultry, fruit, fur-bearing animals, and truck farms, plantations, ranches, nurseries, ranges, orchards, and greenhouses and other similar structures used primarily for the raising of agricultural or horticultural commodities. Greenhouses and other similar structures used primarily for other purposes, such as display, storage, and fabrication of wreaths, corsages, and bouquets, do not constitute "farms."

(2) Agricultural Labor as defined in Subsection 35A-4-206(1)(a).

(a) Agricultural labor includes services performed on a farm by a worker for any person in connection with any of the following activities:

(i) the cultivation of the soil;

(ii) the raising, shearing, feeding, caring for, training, or management of livestock, bees, poultry, fur-bearing animals, or wildlife; or

(iii) the raising or harvesting of any other agricultural or horticultural commodity.

(b) Services performed in connection with the following activities constitute agricultural labor only if the services are performed on a farm:

(i) the production or harvesting of maple sap;

(ii) the raising or harvesting of mushrooms; or

(iii) the hatching of poultry.

(c) Services performed in connection with the operation of a hatchery, if not operated as part of a poultry or other farm, do not constitute agricultural labor.

(3) Agricultural Labor as defined in Subsection 35A-4-206(1)(b).

(a) Agricultural labor includes the following activities performed by a worker in the employ of the owner or tenant or other operator of one or more farms, provided the major part, defined as 50% or more, of the services is performed on a farm:

(i) services performed in connection with the operation, management, conservation, improvement, or maintenance of the farm or its tools or equipment; or

(ii) services performed in salvaging timber, or clearing land of brush and other debris, left by a hurricane, storm, flood, or other natural disaster.

(b) The services described in Subsection R994-206-101(2)(a)(i) may include services performed by carpenters, painters, mechanics, farm supervisors, irrigation engineers, bookkeepers, and other skilled or semi-skilled workers, which contribute in any way to the conduct of the farm or farms operated by the person employing them. "Agricultural labor" does not include services performed by workers of commercial concerns that contract with a farmer to repair, maintain, or renovate farm properties.

(4) Agricultural Labor as defined in Subsection 35A-4-206(1)(c). Agricultural labor includes the following activities performed by a worker in the employ of any person without regard to the place where the services are performed.

(a) The production or harvesting of agricultural commodities defined in the Federal Agricultural Marketing Act, 12 U.S.C. 1141j. These commodities are limited to crude gum, also known as oleoresin, from a living tree and gum spirits of turpentine and gum rosin processed from crude gum by the original producer of the crude gum.

(b) The ginning of cotton.

(c) The operation or maintenance of ditches, canals, reservoirs, or water ways if not owned or operated for profit and used primarily for farming purposes.

(5) Agricultural Labor as defined in Subsection 35A-4-206(1)(d).

(a) Agricultural labor includes services performed by a worker in the handling, planting, drying, packing, packaging, processing, freezing, grading, storing, or delivering to storage or to market or to a carrier for transportation to market, of any agricultural or horticultural commodity if:

(i) the services are performed by the worker in the employment of an operator of a farm or the employ of a group of operators of farms, other than a cooperative organization;

(ii) the services are performed with respect to the commodity in its unmanufactured state; and

(iii) the operator produced more than one-half of the commodity with respect to which the services are performed during the pay period, or the group of operators produced 100% of the commodity with respect to which the services are performed during the pay period.

(b) The term "operator of a farm" as used in this section means an owner, tenant, or other person, in possession of a farm and engaged in the operation of the farm.

(c) The services described in this Subsection R994-206-101(5) do not constitute agricultural labor if performed in the employ of a cooperative organization. The term "organization" includes corporations, joint-stock companies, and associations which are treated as corporations pursuant to Subsection 7701(a)(3) of the Internal Revenue Code. For purposes of this Subsection R994-206-101(5)(c), any unincorporated group of operators shall be deemed a cooperative organization if the number of operators comprising the group is more than 20 at any time during the calendar quarter in which the services involved are performed.

(d) Processing services which change the commodity from its raw or natural state do not constitute agricultural labor. Services performed with respect to a commodity after its character has been changed from its raw or natural state by a processing operation do not constitute agricultural labor.

(i) The extraction of juices from fruits or vegetables is a processing operation which changes the character of the fruits or vegetables from their raw or natural state and, therefore, does not constitute agricultural labor.

(ii) Services performed in the processing of maple sap into maple syrup or maple sugar do not constitute agricultural labor.

(iii) Services performed in the cutting and drying of fruits or vegetables are processing operations which do not change the character of the fruits or vegetables constitute agricultural labor, if the other requisite conditions are met.

(e) The term "commodity" refers to a single agricultural or horticultural product. For example, apples are to be treated as a single commodity, while apples and peaches are to be treated as two separate commodities.

(f) The services with respect to each commodity are to be considered separately in determining whether the condition set forth in Subsection R994-206-101(5)(a)(iii) has been satisfied. The portion of the commodity produced by an operator or group of operators with respect to which the services described in Subsection R994-206-101(5) are performed by a particular worker shall be determined on the basis of the pay period in which the services were performed by the worker.

(g) The services described in Subsection R994-206-101(5) do not include services performed in connection with commercial canning or commercial freezing or in connection with any commodity after its delivery to a terminal market for distribution for consumption.

(h) Agricultural labor does not include services performed by stenographers, bookkeepers, clerks, and other office employees, even though the services may be in connection with agricultural labor. However, to the extent that the services of these individuals are performed in the employ of the owner or tenant or other operator of a farm and are performed in major part on a farm, they may be considered agricultural labor under Subsection R991-206-101(3).

History

KEY: unemployment compensation, employment tests
Date of Last Change: October 4, 2022
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35A-4-206

R994-207 Unemployment

Utah Admin. Code R994-207-101 General Provisions

(1) Sections 35A-4-401 and 35A-4-207 of the Act provide the means to determine when or if a claimant, who is not totally unemployed, may be allowed unemployment insurance benefits.

(a) The fund is not intended to subsidize a claimant who is:

(i) devoting substantially all the claimant's time and efforts to starting a new business or expanding an existing business even though the claimant receives no income; or

(ii) working as a commission salesperson, mortgage broker, loan officer, or real estate or securities salesperson, who may not have received commissions in excess of the claimant's weekly benefit amount but who has devoted substantially all of the claimant's time and efforts to the endeavor.

(2) There are generally four types of potentially employed claimants whose claims must be examined under Section 35A-4-207, including:

(a) corporate officers;

(b) self-employed individuals;

(d) volunteer workers.

History

KEY: unemployment compensation, unemployed workers
Date of Last Change: October 4, 2022
Notice of Continuation: July 16, 2025
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-4-502(1)(b); 35A-4-207

Utah Admin. Code R994-207-102 General Requirements for Eligibility

(1) A claimant is unemployed and eligible for benefits if each of the following conditions exist.

(a) Less Than Full-Time Work. The claimant worked all hours that were reasonable for the claimant to work and the total number of hours was less than full-time.

(i) The claimant may not regulate the type or amount of duties or number of hours spent in a remunerative enterprise to qualify for benefits.

(ii) Full-time work will generally be considered to be 40 hours per week, but may be the number of hours established by schedule, custom, or otherwise as constituting a week of full-time work for the type of service the claimant performs.

(b) Income Less Than Weekly Benefit Amount. The claimant earned less than the weekly benefit amount established for the claim.

(c) Available for and Seeking Other Full-time Work. The claimant, in addition to the subject work, must be available for and actively seeking full-time suitable work for another employer as defined by the suitable work test in Subsection 35A-4- 405(3) and Section R994-405-306.

(i) The claimant's failure to make an active search for work evidences a contentment with the claimant's current status and the Department shall determine the claimant is not unemployed.

(ii) The claimant's efforts to seek work must be distinguished between those directed toward obtaining work for the claimant in an individual capacity and those directed toward obtaining work or customers for the claimant's corporation or business.

(iii) The claimant's efforts to obtain work for the corporation or business are evidence of the claimant's continuing corporate or business responsibilities but are not evidence of the claimant's active search for other employment as required for eligibility.

(iv) A claimant who has marketable skills must be willing to seek and accept work consistent with those skills.

(A) The claimant may not restrict the claimant's availability to the type of work the claimant is currently performing on a less than full-time basis.

(B) The claimant's past work history is evidence of the effect of such employment on the claimant's attachment to the labor force.

(v) If the claimant is unable or unwilling to accept work except short-term or casual labor because of continuing or pending responsibilities, the claimant is not unemployed.

History

KEY: unemployment compensation, unemployed workers
Date of Last Change: October 4, 2022
Notice of Continuation: July 16, 2025
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-4-502(1)(b); 35A-4-207

Utah Admin. Code R994-207-103 Corporate Officer

(1) The claimant will be presumed to be performing services for a corporation if the claimant is a corporate officer receiving wages or other compensation including a car, house, or other benefits of a determinable value.

(2) The payment of dividends, bonuses, and stock payments to the claimant based on the claimant's ownership is not compensation for service and not considered wages.

History

KEY: unemployment compensation, unemployed workers
Date of Last Change: October 4, 2022
Notice of Continuation: July 16, 2025
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-4-502(1)(b); 35A-4-207

Utah Admin. Code R994-207-104 Self-Employment

(1) Self-employment includes services which are performed for the direct or indirect purpose of obtaining a livelihood or a part of such livelihood. Self-employment is generally established as a sole proprietorship or partnership.

(2) An individual is not self-employed when a farm is operated only to supplement the family food supply or as a place on which to raise the family, but is not operated to sell produce.

(3) Individuals in self-employment must report time spent engaged in self-employment activities such as time spent about the place of business either working or awaiting calls for goods or services and time spent seeking customers or business for the self-employment venture.

(4) Reporting readily determinable self-employment income.

(a) A claimant engaged in self-employment which produces an immediate, readily determined weekly income must report the amounts received for goods and services less business expenses.

(b) A claimant may deduct reasonable business expenses including:

(i) goods bought;

(ii) supplies purchased;

(iii) services; and

(iv) rent.

(d) A claimant engaged in this type of self-employment must maintain detailed records describing each item of income and expense. The Department may audit those records without prior notice.

(5) Estimating self-employment income that is not readily determinable. When an individual is engaged in self- employment and the income cannot be clearly determined for each week, the reportable weekly earnings will be determined on the basis of all available information concerning past income and expenses of the enterprise for the prior three years.

(a) A weekly earnings amount will be computed to represent the potential net income based on the average of past income and expenses of the enterprise.

(i) Furnishing evidence of past income and expenses is the claimant's responsibility.

(ii) Evidence may be obtained from personal or business records, income tax returns, and similar records for the past three years.

(b) The average amount determined must be reported on the weekly claim.

(c) Evidence of changes in the enterprise that would affect the potential income for the present must be reported to the Department and the reportable income will be re-evaluated.

(6) Estimated self-employment income from a new business or a business that is expanding. If a claimant has no actual income experience which may be used as evidence of potential income for the current period, the claimant must make a reasonable estimate. This may be based on any available evidence such as a general knowledge of current prices of products bought and marketed, estimated yields, and estimated expense. Any estimated amounts should be so identified.

(7) Over estimates of income. If the Department or claimant has overestimated the amount reportable in self- employment, the claimant may make a claim for the amount owed. The claim must be made within 30 days of when the correct earnings were determinable.

(8) When an estimated income amount equals or exceeds the weekly benefit amount, the claimant is not unemployed and benefits will not be allowed.

(9) Pursuant to Section R994-401-301, a claimant may earn up to 30% of the weekly benefit amount in total self- employment plus any other reportable wages before a reduction is made in the unemployment insurance payment for that week.

History

KEY: unemployment compensation, unemployed workers
Date of Last Change: October 4, 2022
Notice of Continuation: July 16, 2025
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-4-502(1)(b); 35A-4-207

Utah Admin. Code R994-207-105 Bartered or Exchanged Goods and Services

(1) A claimant who enters into an agreement to barter or exchange goods or services must report to the Department:

(a) that the claimant has entered into such agreement; and

(b) the amount of time the claimant works to pay for the goods or services.

(2) In determining the value derived from bartering or exchanging goods or services, the claimant will consider only the portion of the goods or services that the claimant provides.

(3) The payment for goods or services that the claimant receives in kind must be valued at current market values.

History

KEY: unemployment compensation, unemployed workers
Date of Last Change: October 4, 2022
Notice of Continuation: July 16, 2025
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-4-502(1)(b); 35A-4-207

Utah Admin. Code R994-207-106 Commission Selling

(1) Time. If the time a claimant spends on commission selling is part-time because of limits imposed by the limited geographical area, limited clientele, or limited products, the claimant may, upon meeting all other provisions of the Act, be allowed benefits.

(2) Income. Income from commission sales must be distributed over the period the commission was earned.

(i) The claimant must report income during the week in which the sale is made and not when the payment is received.

(ii) If it is not possible to determine the exact amount of the commission, the claimant must estimate the amount of the commission.

(A) If the estimate is later determined to be wrong, the claimant must immediately notify the Department to receive assistance in making adjustments.

(B) The claimant's failure to report underestimated commission income may result in claimant fault overpayments or a disqualification under the fraud provisions of the Act.

History

KEY: unemployment compensation, unemployed workers
Date of Last Change: October 4, 2022
Notice of Continuation: July 16, 2025
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-4-502(1)(b); 35A-4-207

Utah Admin. Code R994-207-107 Volunteer Work

(1) Time. Donated work does not make a claimant ineligible for benefits, even if the claimant donates work on a full- time basis.

(a) A claimant donating 40 hours or more in a week to a non-profit organization has significant restrictions on the claimant's availability for other full-time work.

(b) The claimant may provide evidence of availability by demonstrating a willingness to seek and accept other permanent, full-time work.

(i) A diligent work search during a benefit week, in addition to a willingness to accept work, provides adequate proof of an attachment to the labor force.

(ii) A claimant's failure to make an active search for work evidences a contentment with the claimant's status as an unpaid volunteer worker, and requires a denial of benefits. To be eligible for benefits at a later date, the claimant must demonstrate a substantial change in circumstances.

(2) Remuneration.

(a) If a claimant who receives assistance from a non-profit organization is asked to spend time working for that organization, but the value of the assistance is not determined by the amount of time spent working, the assistance is not reportable income.

(b) A volunteer worker will not normally receive remuneration for donated work.

(i) A claimant who receives remuneration for donated work need not report the payment to the Department unless it is subject to withholding taxes, which indicates an employment relationship.

(ii) If the organization provides the claimant money for out-of-pocket expenses, such as gas, equipment, clothes, or similar expenses, the money is not considered wages and is not reportable on the weekly claim.

History

KEY: unemployment compensation, unemployed workers
Date of Last Change: October 4, 2022
Notice of Continuation: July 16, 2025
Authorizing, and Implemented or Interpreted Law: 35A-1-104(1); 35A-4-502(1)(b); 35A-4-207

R994-208 Wages

Utah Admin. Code R994-208-101 Definition of Wages

(1) In addition to the definition in Section 35A-4-208, "wages" means all payments for employment including the cash value of all payments in any medium other than cash, except payments excluded under Subsection 35A-4-208(5) and Section R994-208-103. Wages are subject to the Act only if they are for services that are employment as defined in Section 35A-4-204.

(2) Wages are reportable by the employer in the quarter actually paid or constructively paid. Wages are constructively paid, as defined in 26 CFR 31.3301-4. Wages are constructively paid when they are credited to the account of or set apart for a worker so that they may be drawn upon by the worker at any time without any substantial limitation or restriction as to the time, manner, or condition upon which the payment is to be made. The payment must also be within the worker's control and disposition.

(3) Wages subject to the Act are taxable only to the extent of the yearly taxable wage base. Wages exceeding the taxable wage base are reportable but not taxable. The taxable wage base applies to wages paid to each worker in a calendar year and is established pursuant to Subsection 35A-4-208(2). The employer must report all wages subject to the Act and pay contributions on the taxable wages as specified in Section R994-302-102.

History

KEY: unemployment compensation, wages
Date of Last Change: October 4, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-208

Utah Admin. Code R994-208-102 Wages Includes

"Wages" includes the following.

(1) Payments for Personal Services. All payments by the hour, by the job, piece rate, salary, or commission are wages.

(2) Meals, Lodging, and Other Payments in Kind. Meals, lodging, or payments in kind that are furnished to promote good will, to attract prospective workers, or as part of payment for services are wages except as provided in Section R994-208- 103. The value of these payments in kind shall be determined as follows:

(a) if a cash value for payments in kind is agreed upon in a contract, the amount agreed upon shall be considered the value of the payments in kind provided the value equals or exceeds the cash value prevailing under similar conditions in the locality; or

(b) if a cash value for payments in kind is not agreed upon, the Department will determine the value on the basis of the cash value prevailing under similar conditions in the locality.

(3) Tips and Gratuities.

(a) Tips or gratuities accounted for by the worker to the employer are wages whether paid directly to the worker by the customer or by the employer.

(b) If a worker's only payment for services is tips or tips are used to supplement the worker's regular wages to meet the applicable federal or state minimum wage laws, the Department will determine the worker's wages. However, the wages will not be less than the applicable federal or state minimum wage.

(4) Payment for Services of Worker with Equipment. When a worker is hired with equipment, the fair value of the payment for the worker's services, as distinguished from an allowance for use of equipment, if specified in the contract of hire, will be considered "wages." The Department will determine the worker's wages based on the prevailing wages for similar work under comparable conditions if the contract of hire does not specify the worker's wages, or the value of wages agreed upon in the contract of hire is not a fair value.

(5) Vacation Pay. Vacation payments made by the employer during the employment relationship or upon termination of employment are wages.

(6) Sick Pay.

(a) Sick payments made by the employer during the employment relationship or upon termination of employment are wages.

(b) Sick pay is not wages if paid after the end of six calendar months following the calendar month the employee last worked for the employer.

(c) Sick pay, if paid by a third party such as an insurance company, is not wages reportable by the employer unless the third party notifies the employer of the sick pay payments. If the third party does not notify the employer of the sick pay payments, the third party is liable for the unemployment contributions due on these payments. These provisions regarding sick pay are established to comply with the Federal Unemployment Tax Act (FUTA) provisions. For reference, see Internal Revenue Code Section 3306(b).

(7) Bonuses and Gifts.

(a) Bonuses or gifts to employees are wages unless the value is so small that it would be unreasonable for the employer to account for it. The value of benefits such as store discounts, discounts at company cafeterias, and company picnics are not wages.

(b) The value of gifts such as a turkey, ham, or other item of nominal value at Christmas or other holidays are not wages. However, gifts of cash, gift certificates, or similar items that can easily be exchanged for cash, are wages.

(8) Stock Payments. Payments of stock for services performed are wages. The value of the stock is its cash value when it is transferred to the employee.

(9) Stock Options. Non-statutory stock options, also known as non-qualified stock options, are the only stock options with wage implications.

(a) Non-qualified stock options are defined by the Internal Revenue Service as those that do not meet the requirements of the Internal Revenue Code to qualify as incentive stock options or employee stock purchase plan options.

(b) A worker may receive an option as payment for services. The granting of the option is not wages.

(d) The difference between the exercise price, the value of stock when the option is issued, and the fair market value of the stock when exercised is called the spread. The amount of a positive spread when the option is exercised is wages.

(10) Contributions to Deferred Compensation Plans. Contributions by either the employer or the worker to deferred compensation plans including 401(k) plans are wages. For reference, see Section 3306(r) of the Internal Revenue Code.

(11) Residual Payments. Performers in the television, radio, and motion picture industry may receive additional payments, termed "residuals" by the industry as a result of the re-use of a recording or the re-showing of a film or television production. Residuals are deferred compensation and are wages if the performer was an employee at the time of the original performance.

(a) Residual payments are reportable by the employer in the quarter they are paid.

(b) Residual payments are reportable by the claimant only for the weeks in which the service was originally performed.

(c) Since residual payments are reportable as wages by the employer and the claimant, they can be used to establish a monetary base for future unemployment benefits. These wages can be used to purge a disqualification under the Act only if the original work was performed after the disqualification.

History

KEY: unemployment compensation, wages
Date of Last Change: October 4, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-208

Utah Admin. Code R994-208-103 Wages Does Not Include

"Wages" does not include the following.

(1) Meals and Lodging Furnished for Employer's Convenience.

(a) Meals or lodging provided by an employer to a worker shall not be considered wages if excluded from the definition of wages by the Internal Revenue Service under the following conditions:

(i) they are provided at the employer's place of business;

(ii) in the case of lodging, the worker must accept the lodging as a condition of employment; and

(iii) they are provided for the employer's convenience.

(b) Meals and lodging will be considered to be for the convenience of the employer if there is a good business reason for providing them including:

(i) to have workers available at all times or for emergency calls;

(ii) workers have a short meal period; or

(iii) adequate eating and lodging facilities are not otherwise available.

(2) Expense Reimbursement. Expense reimbursements are excluded from the definition of wages based upon the existence of an accountable plan as defined in Section 62 of the Internal Revenue Code.

(a) An accountable plan is any reimbursement or other expense allowance arrangement, including per diem allowances providing for ordinary and necessary expenses of traveling away from home, that meets the following requirements:

(i) the expenses are paid or incurred by the worker in connection with the performance of services as an employee of the employer;

(ii) information sufficient to substantiate the amount, time, and business purpose of the expenses are submitted to the employer; and

(iii) excess reimbursement amounts, as a result of advances, are returned to the employer.

(b) A nonaccountable plan is any plan that fails to meet any one or more of the requirements of an accountable plan. Reimbursements in a nonaccountable plan are wages.

(3) Insurance Premiums Paid by the Employer. Insurance premiums for health or life insurance paid by the employer for workers generally or a class of workers are not wages under Subsection 35A-4-208(5)(a).

(4) Sick Pay. The following provisions regarding sick pay are established to comply with the FUTA provisions contained in Section 3306(b) of the Internal Revenue Code.

(a) Sick pay is not wages if paid after the end of six months following the calendar month the worker last worked for the employer.

(b) Sick pay, if paid by a third party such as an insurance company, is not wages reportable by the employer unless the third party notifies the employer of such sick pay payments. If the third party does not notify the employer of the sick pay payments, the third party will be liable for the unemployment contributions due on these payments.

(5) The Employer's Share of the Social Security Tax and Medicare Tax. Payments made by the employer for Social Security taxes or Medicare taxes are not wages.

(6) Retirement Plan Payments Made by the Employer. Payments made by the employer to retirement plans described in Section 3306(b)(5) of the Internal Revenue Code are not wages.

(7) Training Allowances. Employment-related training allowances, such as payments for expenses necessary for school including tuition, fees, books, and travel expenses, are not wages. However, payments for services performed as part of the training, such as on-the-job training, are wages.

(8) Corporate Payments.

(a) The following payments are not considered wages.

(i) Fees paid to directors of a corporation for attending board of directors' meetings, reviewing and studying reports, and establishing general company policies. Director services do not include managerial services or other services that are part of the routine activities of a corporation.

(ii) Distributions made to shareholders based on stock ownership.

(iii) Reimbursement for expenses that are reasonable and documented.

(iv) Loans supported by notes and reasonable repayment schedules. Non-interest bearing notes that are payable upon demand with no payment schedule are considered wages if the officer is performing services for the corporation.

(v) Documented returns of investment where the officer has loaned or invested money in the corporation.

(b) If the amount of compensation, if any, paid to a corporate officer is inadequate given the nature, duration, frequency, or significance of the service performed by that officer, other payments made to the officer may be reclassified as wages if there is insufficient documentation to support the other payments. This applies to all corporations regardless of income tax reporting status.

(9) Finder or Referral Fees. A fee paid to an individual for the referral of a potential customer, provided that the transaction is in the nature of a single or infrequent occurrence and does not involve a continuing relationship with the person paying the fee, is not wages.

(10) Payments to Sole Proprietors. Payments to sole proprietors, including draws or payment for services, are not wages. The sole proprietor is the employing unit rather than an employee.

(11) Payments to Partners. Payments to partners, including draws and payment for services, are not wages. The partners are the employing unit rather than employees. However, payments to limited partners are wages because the limited partners do not have the same rights and responsibilities as general partners.

(12) Supplemental Unemployment Benefits Supplemental Unemployment Benefits (SUB) are not wages if they meet the requirements in Revenue Rulings 56-249, 58-128, and 60-330. Because of the complexity of the factors involved, employers should request a declaratory ruling from the Department on their specific SUB plan. The factors required are as follows:

(a) the benefits are paid only to unemployed former employees of the employer who is providing the SUB plan;

(b) eligibility for benefits depends on the meeting of prescribed conditions after the termination of the employment relationship with the employer;

(c) eligibility for benefits is contingent upon the former employee's maintaining eligibility for state unemployment insurance benefits;

(d) the benefits ultimately paid are not attributable to the performance of any service by the recipient for the employer during the period of unemployment;

(e) no employee has any vested right, title, or interest in or to the funds from which the SUB benefits will be paid; and

(f) the funds for the payment of SUB benefits is either established as an independent trust fund administered by trustees, or as a separate account on the employer's general accounting records.

(13) Stock Options. Payments resulting from the exercise of an incentive stock option or an employee stock purchase plan option, as each is defined by the Internal Revenue Code, or from any disposition of stock acquired by exercising such an option, are not wages.

(14) Stipends. Stipend payments are not wages. Stipends are payments in lieu of actual expense reimbursements that help cover the costs of expenses such as transportation, meals, and supplies associated with training, schooling, meetings, and volunteer activities.

History

KEY: unemployment compensation, wages
Date of Last Change: October 4, 2022
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-208

R994-302 Employer Contribution Payments

Utah Admin. Code R994-302-101 Employer Responsibilities

An employer must notify the Department that it has entered into a business, to report wages paid, to make payments of contributions based on those wages, and to comply with instructions on report forms issued by the Department. An employer must also notify the Department of changes in the business that might affect filing reports or paying contributions.

History

KEY: unemployment compensation, employer liability
Date of Last Change: April 22, 2021
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-302

Utah Admin. Code R994-302-102 Due Dates for Contribution Payments

(1) A contribution payment is due each quarter from an employer who is subject to the Utah Employment Security Act except as noted in subsections (2) and (3) of this section. The payment is due on the last day of the month that follows the end of each calendar quarter unless the Department, after giving written notice, changes the due date. Interest and penalties for a late payment begins to accrue the day after the due date.

(2) A domestic employer defined in Subsection 35A-4-204(2)(k) may elect to pay contributions annually. The payment is due on January 31 of the year following the year wages were paid.

(3) An employer with seasonal employment may petition the Department to pay contributions one, two, or three calendar quarters a year. The payment is due on the last day of the month that follows the end of the calendar quarter unless the Department, after giving written notice, changes the due date.

(4) The Department may establish a different due date for the payment of contributions when the employing unit can show a reasonable basis for contending that the status of the employing unit as an employer, the status of any service performed for the employer, or the status of any contribution liability is doubtful. Appealing or disagreeing with a Department decision regarding the employer's status or status of the liability does not in itself show the status is doubtful. Some examples of when a separate due date may be established by the Department are when an employer can show a reasonable basis for erroneously:

(a) reporting wages to another state;

(b) not reporting wages the employer considered to be exempt as agricultural labor pursuant to Section 35A-4-206; or

(5) The Department may establish a different due date for the payment of contributions when the possible collection of any contribution will be jeopardized by delaying the collection thereof until the regular due date.

(6) An extension of up to 90 days for making a quarterly payment may be granted if the employer makes a written request within ten days after the date the written demand for payment is mailed by the Department. A further extension may be granted if in the judgment of the Department an extension would preserve the possibility of collecting payment. Interest will accrue on the outstanding balance from the original due date.

History

KEY: unemployment compensation, employer liability
Date of Last Change: April 22, 2021
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-302

Utah Admin. Code R994-302-103 Contribution Payments

The amount of a quarterly contribution payment is based on wages paid during the quarter for subject employment, as defined by Rule R994-204.

(1) A contribution payment or other payment shall be made online at the Department website and shall be payable in United States currency to the Utah Unemployment Compensation Fund or to a depository account specified by the Department or Utah State Treasurer.

(2) A contribution payment will be reflected on the Department records on the day received. Payment will constitute payment on the day received if the payment is honored by the financial institution. In the event a payment is not honored in full, the Department will remove the dishonored payment from the employer's account and may assess fees pursuant to Section 35A-4-305 and Title 7, Chapter 15, Dishonored Instruments.

(3) A contribution, interest, or penalty payment received without a report or billing will be applied first to any unpaid costs, then to the oldest quarter in which an amount is due and will be applied first to the contribution payment, then to any interest and finally to any penalty due in that quarter. Any payment will be applied in this manner unless the employer or Department specifies otherwise. Any payment accompanied by a contribution report or a billing will be applied to the quarter or quarters shown on that report or billing.

History

KEY: unemployment compensation, employer liability
Date of Last Change: April 22, 2021
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-302

Utah Admin. Code R994-302-104 Due Dates for Filing Contribution and Equivalent Reports

(1) A contribution report or equivalent report required of an employer liable for payments in lieu of a contribution payment is due quarterly on the last day of the month that follows the end of each calendar quarter; unless the Department, after giving written notice, changes the due date.

(2) The Department may, for good cause, grant an extension of time for filing a report if the employer makes a written request not later than the due date of the report.

History

KEY: unemployment compensation, employer liability
Date of Last Change: April 22, 2021
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-302

Utah Admin. Code R994-302-105 Other Responsibilities of the Employer

(1) The executor or administrator of an employer's estate must give written notice of the employer's death to the Department as soon as practicable.

(2) An employer must immediately notify the Department of commencement of any receivership or similar proceeding, or of any assignment for the benefit of creditors, and of any court order with respect to the foregoing. An employer must immediately notify the Department of the filing of any voluntary or involuntary petition in bankruptcy or other proceeding under the Federal Bankruptcy Act.

(3) An employer, receiver, trustee, executor, administrator, or other person appointed under the laws of the State of Utah who is in control of the assets of an employer, must file timely with the Department all reports that are required.

History

KEY: unemployment compensation, employer liability
Date of Last Change: April 22, 2021
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-302

Utah Admin. Code R994-302-106 Adjustments and Refunds

Adjustments or refunds for contributions overpaid will be made as provided by Subsection 35A-4-306(5). Adjustments for reports not filed or for reports and contributions filed incorrectly will be made as provided by Subsection 35A-4-305(2).

History

KEY: unemployment compensation, employer liability
Date of Last Change: April 22, 2021
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-302

R994-303 Contribution Rates

Utah Admin. Code R994-303-101 Benefit Ratio Contribution Rate Computation

(1) There are two types of contribution rates, "new" employer rates and "experience" rates. The following components are used in calculating new and experience rates.

(a) Reserve Factor.

The "Reserve Factor" adjustment to the benefit ratio, which may be an increase, decrease, or 1.0, is used to maintain an adequate balance in the benefit reserve fund.

(b) Social Cost.

The "Social Cost" is applied to all employers to recover benefit costs that cannot be attributed to a specific employer.

(2) The new employer rate is assigned to employers with less than one fiscal year of reporting experience.

(a) New employers are assigned a rate based on the two-year average benefit ratio, which is calculated by dividing benefit costs of all employers in the respective industry by the taxable wages of those employers.

(b) The overall new employer rate is the benefit ratio of the respective industry multiplied by the Reserve Factor plus the Social Cost.

(c) A new out-of-state contractor will be assigned the maximum tax rate allowable under state law unless the contractor purchased an existing business.

(3) The experience rate is assigned to an employer with one or more fiscal years of reporting experience.

(a) Employers subject to the experience rate are assigned a rate based on the employer's benefit ratio, which is calculated annually for each employer by dividing the total of all chargeable benefits paid to the employer's former employees in the last four fiscal years by the employer's taxable wages for the same time period.

(b) The overall experience rate is the employer's benefit ratio multiplied by the Reserve Factor plus the Social Cost.

(4) Contribution rates may be affected by delinquent contributions, delinquent reports, and acquiring a business of another employer, as these terms are used in Sections 35A-4-301, 35A-4-303, 35A-4-304, 35A-4-306, and 35A-4-307.

(5) The objective of the benefit ratio method of taxation is to use an experience rating system that provides for equitable allocation of costs, increases incentives for employer participation, and makes building and maintaining a solvent reserve fund the responsibility of those employers who use the system.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-102 Computation Date

"Computation date" means July 1 of any year. The computation date is not the date contribution rates are computed but merely serves as a reference point to identify the period of time used to compute rates.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-103 Notification of Contribution Rate and Appeal Rights

(1) The Department will notify the employer of its contribution rate before the beginning of the calendar year to which the rate applies.

(2) The employer may protest this rate by filing a written appeal stating the grounds upon which the appeal is based.

(a) The employer shall file the appeal within 30 days after the date the "Contribution Rate Notice" is issued.

(b) This right to appeal the contribution rate does not give new rights of appeal to protest the benefit costs used in computing the rate.

(c) The appeal rights for protesting the payment of unemployment insurance benefits to former employees, charges to the employer, or the correctness of benefit charges are established in Section 35A-4-306.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-104 Qualified Employer

(1) A "qualified employer" is an employer who was an employer during the four quarters of the fiscal year immediately preceding the computation date.

(2) If an employer reopens its unemployment insurance account after the account has been closed, the Department will determine if the employer qualifies for an experience rate or new employer industry rate.

(a) A qualified employer will be assigned an overall contribution rate for the employer's account using the employer's unemployment experience during the past four fiscal years immediately preceding the computation date.

(b) If the reopening employer had no payroll for two or more consecutive calendar years immediately preceding the reopen date, the employer, pursuant to Section 35A-4-303, will:

(i) be considered a new employer;

(ii) receive a new account number; and

(iii) receive the new employer rate.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-105 Rates Assigned to Qualified Employers

(1) On or after January 1, 1988, a qualified employer who fails to pay each contribution due for the "applicable fiscal year" will be assigned a contribution rate equal to the overall contribution rate or the assigned contribution rate, plus an additional 1% surcharge.

(a) As used in this section, "applicable fiscal year" means the four consecutive calendar quarters in the fiscal year immediately preceding the computation date.

(b) Unpaid contributions for fiscal years preceding the applicable fiscal year have no effect on the employer's rate, as provided in Subsection 35A-4-303(9)(b).

(2) Contributions assessed for the applicable fiscal year after the rates are computed will not cause the 1% surcharge to be added to the rate for the following year.

(3) A qualified employer who has been assigned the 1% surcharge in addition to the employer's overall contribution rate because of delinquent contributions for the applicable fiscal year shall be reassigned a rate based upon the employer's own experience, as provided under the experience rating provisions of the Act, effective the first day of the quarter in which full payment of contributions due is made. The Department will reassign a rate effective January 1 of the year if the Department determines that the party liable for the delinquent contributions was not properly notified of the liability.

(4) Delinquent Reports - Effect on Rate.

(a) A delinquent report is one that is not properly filed when due.

(b) Failure to file the delinquent report by the time the contribution rates are computed will be treated as if a report had been filed showing no payroll for that quarter and will usually result in a higher contribution rate.

(c) Failure to file the delinquent report by the end of the calendar year will not result in adding the 1% surcharge to an employer's overall contribution rate as a penalty. Other penalties and interest may be assessed under Section 35A-4-305.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-106 Successorship and Its Effect on Contribution Rates

(1) Definitions.

As used in this section:

(a) "Successor" is the employing unit which acquires the business or acquires substantially all the assets of a business.

(b) "Predecessor" is the employing unit which last operated the business.

(c) "Acquired" means to come into possession of, obtain control of, or obtain the right to use the assets of a business by any legal means including a gift, lease, repossession, or purchase. For purposes of succession, a purchase through bankruptcy court proceedings where assets are being liquidated is not considered an acquisition, if the court places restrictions on the transfer of liabilities to the purchaser. It is not necessary to purchase the assets to have acquired the right to their use, nor is it necessary for the predecessor to have actually owned the assets for the successor to have acquired them. The right to the use of the asset is the determining factor.

(d) "Assets" are commonly defined to include any property, tangible or intangible, which has value. Therefore, acquiring use of assets is defined to mean that the successor obtains the physical assets such as cash, inventories, equipment, or buildings. Use of assets may also include the acquisition of the name of the business, customers, accounts receivable, patent rights, goodwill, employees, or an agreement by the predecessor not to compete.

(e) "Business" is an employing unit which pursues an activity or enterprise for gain, benefit, advantage or livelihood.

(f) "Substantially all" means acquisition of 90% or more of all the predecessor's assets.

(g) "Discontinued operations" means that immediately at the point of acquisition, the preceding employer has no continuing business activity in this state. Liquidation of accounts receivable or "wind-down payroll" is not considered to be a continued business activity. In determining whether an employer is a successor, the phrases "substantially all" and "discontinued operations" are applied conjunctively. If less than 90% of all the assets are acquired, then there is no successorship and the "discontinued operations" test need not be applied.

(h) "Like part or character" will be defined by using the most current North American Industry Classification System (NAICS) manual. There is no succession unless it is determined that a like part or character of the business acquired is retained.

(2) If the acquired business was closed for 30 or more consecutive calendar days during its normal operating period immediately preceding the acquisition, there is no successorship.

(3) Succession.

In the case of succession, effective on the first day of the year following the year in which the business is acquired, a successor will pay a contribution rate newly computed on the basis of the combined experience of the predecessor and the successor unless the date of acquisition is January 1, in which case the new rate takes effect immediately. The successor's rate during the year of acquisition will be as follows:

(a) Successor Was a Qualified Employer.

If the successor was a "qualified employer" immediately preceding the time of the acquisition, it shall continue to pay the rate assigned before the acquisition.

(b) Successor Was Not a Qualified Employer.

If the successor was an employer but not a "qualified employer" immediately preceding the time of the acquisition and acquires one or more businesses simultaneously, it shall pay a new rate computed based on the combined experience of the predecessor or predecessors and the successor. This rate shall be effective on the first day of the next calendar quarter. The successor pays its previously assigned rate for the balance of the quarter in which the acquisition occurs unless the acquisition occurs on the first day of that quarter, in which case the newly computed rate takes effect on that day.

(i) "Simultaneously" as used in Subsection (3) means on the same day.

(ii) If the predecessor or predecessors and successor are not qualified employers and have different NAICS codes, and the successor continues to operate the acquired business or businesses, the successor will keep its original NAICS code.

If the successor was not an employer immediately preceding the time of the acquisition it shall pay the predecessor's rate for the current calendar year. If the successor simultaneously acquires two or more businesses it shall pay a rate newly computed based on the combined experience of the predecessors. This new computed rate shall be effective on the day of acquisition.

(4) Effect of Contributions Owed by the Predecessor on the Successor's Rate.

A successor will be assigned a 1% surcharge in addition to its overall contribution rate if unpaid contributions are owed by the predecessor in the prior fiscal year. The 1% surcharge applies in the years that the successor's rate is affected by the predecessor's payroll and benefit costs.

(5) Successorship Determination and Burden of Proof.

The Department will determine whether the predecessor's payroll and benefit costs will be transferred to the successor. Either the predecessor or successor may appeal the determination within 10 days of the date the determination is issued. Once the determination has been made, the burden of proof is on the predecessor or the successor to show that the determination was made in error.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-107 Fiscal Year

"Fiscal year" is defined in Subsection 35A-4-301(6), and means the year beginning with July 1 of one year and ending June 30 of the next year.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-108 Benefit Costs

(1) "Net benefit costs" are defined as those unemployment insurance benefits actually paid during the fiscal year without regard to the week ending date for which the payment is made. The unemployment insurance benefit is considered paid on the date the unemployment insurance benefit payment is issued.

(a) "Net benefit costs" do not include those unemployment insurance benefits established as an overpayment during the same fiscal year in which the unemployment insurance benefits were paid.

(b) Benefit costs from a prior fiscal year subsequently established as an overpayment will be deducted from cumulative benefit costs beginning with the fiscal year in which the overpayment is established. Such benefit costs will not be deducted from benefit costs attributable to prior fiscal years except in cases where:

(i) failure to make the deduction would result in a gross inequity; and

(ii) the employer made a written request within 30 days of when it knew or should have known of the establishment of the overpayment.

(c) Once the fiscal year ends, any benefit costs from a prior fiscal year which are subsequently identified as an overpayment will be deducted from the cumulative benefit costs beginning with the year in which the overpayment is established and subsequent years.

(2) If the benefit costs used to compute the basic tax rate are less than zero, they will be treated as if they were zero and the minimum overall tax rate assigned to an employer will be the social tax rate.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

Utah Admin. Code R994-303-109 Actual Reserve Fund Balance

The "actual reserve fund balance" used in the calculation of the Reserve Factor is this state's Trust Fund balance on deposit with the United States Department of the Treasury as of June 30 preceding the computation date.

History

KEY: unemployment compensation, rates
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-303

R994-304 Special Provisions Regarding Transfers of Unemployment Experience and Assigning Rates

Utah Admin. Code R994-304-101 Transfer of a Trade or Business, or Portion Thereof, with Common Ownership, Management, or Control

(1) The term "person" includes an individual, trust, estate, partnership, association, limited liability company, corporation, government entity, or Indian tribe. The "predecessor employer" is the employer that transfers its trade or business, or a portion of its trade of business, to another employer. The "successor employer" is the employer that acquires the trade or business, or a portion of the trade or business.

(2) Common ownership exists if an employer transfers a trade or business, or a portion of a trade or business, to another employer and at the time of the transfer:

(a) the predecessor employer owns 50% or more of the trade or business of the successor employer. For entities that issue shares of stock ownership, 50% or more of the "voting shares" of stock interest must be common to both; or

(b) an individual with a controlling interest in the predecessor trade or business, transfers that controlling interest to an individual in the successor trade or business and the parties are related in one of the following ways:

(i) spouse;

(ii) parent;

(iii) step parent;

(iv) child;

(v) step child;

(vi) sibling; or

(vii) step sibling.

(3) The Department will determine common management or control using the best available evidence.

(a) Common management will be found if the predecessor and successor employers have the same or similar:

(i) managers, officers, board of directors;

(ii) personnel and human resource policies;

(iii) operating procedures;

(iv) sales and pricing policies;

(v) collection procedures;

(vi) financing policies;

(vii) accounting practices; or

(viii) purchasing practices.

(b) Common control will be found where the predecessor and successor employers have the same or similar:

(i) control of the assets used to conduct the business enterprise;

(ii) financing and/or leasing arrangements;

(iii) contracts; or

(iv) business, professional, and regulatory licenses of the business enterprise.

(4) The factors listed in subsections 3(a) and (3)(b) of this section are not exclusive and are intended as aids for analyzing the facts of each case. The degree of importance of each factor in those subsections varies depending on the nature of the trade or business transferred. Some do not apply to certain trades or businesses and, therefore, should not be given any weight. The Department will scrutinize the facts in each case to assure that the form of the transfer does not obscure the substance of the transfer.

History

KEY: unemployment experience rating
Date of Last Change: June 1, 2005
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35-A-4-304

Utah Admin. Code R994-304-102 Notification Requirements

(1) All parties to a transfer described in Section 35A-4-304(3)(a) must provide the following information to the Department within 30 days of the transfer date:

(a) the effective date of the transfer.

(b) the percentage of the assets, trade or business, and workforce transferred.

(d) the following information for both the predecessor and the successor employers:

(i) name;

(ii) street address;

(iii) Utah Unemployment Insurance Registration Numbers, if one has been assigned; and

(iv) Federal Employer Identification Numbers (FEIN), if one has been assigned.

(e) the name and Social Security number (SSN) or FEIN of any successor employer who was also a predecessor employer, or any individual who is related to the predecessor. Related means to have a family relationship as described in Section R994-304- 101(2)(b).

(f) common management and control practices that were retained from the predecessor employer.

(g) any other information requested by the Department.

History

KEY: unemployment experience rating
Date of Last Change: June 1, 2005
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35-A-4-304

Utah Admin. Code R994-304-103 Recalculation and Effective Date of Contribution Rates

Any employer that is a party to a transfer of an employer's trade or business described in Section 35A-4-304(3)(a) shall have its contribution rate recalculated. The effective date of the recalculation shall be the first day of the calendar quarter following the actual date of the transfer, unless the actual transfer occurred on the first day of a calendar quarter, in which case the recalculation takes effect on that day.

History

KEY: unemployment experience rating
Date of Last Change: June 1, 2005
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35-A-4-304

Utah Admin. Code R994-304-104 Identification of the Transfer or Acquisition of an Employer's Workforce

The Department will develop and implement programs to aid in the detection and identification of employers that transfer or acquire all or a portion of another employer's workforce.

History

KEY: unemployment experience rating
Date of Last Change: June 1, 2005
Notice of Continuation: March 3, 2025
Authorizing, and Implemented or Interpreted Law: 35-A-4-304

R994-305 Collection of Contributions

Utah Admin. Code R994-305-101 Policy Governing the Filing of Warrants

(1) Warrants will be issued on fault overpayments and delinquent employer accounts when there is no installment agreement in effect, when the installment agreement provides for more than three years from the date the liability is established to pay the liability, when the monthly installment payment amount on a fault overpayment is less than the amount specified in Subsection R994-406- 302(4)(b), or when an installment agreement is canceled due to failure to make payments or due to the occurrence of a new liability.

(2) Warrants will be issued on all fraudulent overpayments established under Subsection 35A-4-405(5), even if there is an installment agreement and warrants on such overpayments, penalties, and costs will be renewed until paid in full.

(3) No warrants will be issued on non-fault overpayments established under Subsection 35A-4-406(5).

History

KEY: unemployment compensation, overpayments, wage list
Date of Last Change: July 1, 2019
Notice of Continuation: November 13, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-305

Utah Admin. Code R994-305-102 Charge Off Policy for Nonfault Overpayments

All nonfault overpayments established under Subsection 35A-4-406(5) may be charged off and removed from the records of the Department after three years without further review unless a payment or offset has been made within the prior 90 days. These debts will be forgiven and forgotten and no further collection or offset will take place.

History

KEY: unemployment compensation, overpayments, wage list
Date of Last Change: July 1, 2019
Notice of Continuation: November 13, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-305

Utah Admin. Code R994-305-103 Write Off Policy for Other Overpayments

Except for fraud overpayments established under Subsection 35A-4-405(5), all accounts receivable overpayments for claimant and employer liabilities including interest and penalties which have not been collected or offset within three years after the filing of a warrant may be reviewed for determination of collectability. If it is determined on the information reasonably available to the Department that the delinquent claimant or employer has no known assets which are subject to the attachment, and it appears there is no likelihood of collection in the foreseeable future, the Department may write off the account. All collection or offset action shall cease as far as enforcement of collection procedures are concerned. However, consistent with general accounting principles, if the Department receives money by virtue of a warrant judgment on a debt that has been written off, the Department will reinstate the equivalent portion of the debt and retain the collected monies.

History

KEY: unemployment compensation, overpayments, wage list
Date of Last Change: July 1, 2019
Notice of Continuation: November 13, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-305

Utah Admin. Code R994-305-801 Wage List Requirement

(1) Federal Requirement.

Section 1137 of the Social Security Act requires employers to submit quarterly wage reports to a state agency. This Department is the designated agency for the state of Utah. The Unemployment Insurance Division of the Department uses wage information submitted by employers to establish benefit determinations for claimants and t o verify employer contribution payments.

(2) Wage List Due Date.

(a) Contributory employers must file a wage list with the Form 3, Employer's Contribution Report. Reimbursable employers must file a wage list with the Form 794, Insured Employment and Wage Report. Wage lists are due the last day of the month following the end of the calendar quarter.

(b) Domestic employers electing to file an annual report must file a wage list with the Form 3D, Domestic Employer's Annual Report. The wage list is due January 31 of the year following the year wages were paid.

(d) Wage list due dates may be changed and extensions granted under the same provisions established for contribution reports in Rule R994-302.

(3) Wage Information Required.

Each page of the wage list must be identified by the employer's Utah registration number, the employer's name, and the quarter and year being reported. The following information must be provided for each employee as a line item on each wage list in the following order:

(a) social security number;

(b) full name; and

(c) gross wages paid during the quarter. Section 35A-4-204 defines subject employment and Section 35A-4-208 defines wages. Only those employees who were paid wages during the quarter should be reported on the wage list.

(4) Wage Reporting Methods.

The Department will accept wage lists filed on the Department website.

(5) Wage List Total Must Equal the Quarterly Report Total.

The total amount of wages reported on the wage list must be the same as the total wages shown on the Form 3, Employer's Contribution Report. The total of the wage list for a reimbursable employer must be the same as the total wages shown as "insured payroll" on Form 794, Insured Employment and Wage Report. Wage lists consisting of more than one page must show the employer's Utah registration number, the quarter and year of the reporting period, a total for each page and a grand total for all pages on the first page.

(6) Wage Lists Corrections for Prior Quarters.

(a) Corrections to wage lists for prior quarters must be made on a separate report and not on the wage list for the current quarter. The employer must submit the following information for each employee in the following order:

(i) social security number;

(ii) full name; and

(iii) gross wages that should have been properly reported.

(b) Each page of the wage list adjustments must be identified by the employer's Utah registration number, the employer's name, and the quarter and year.

(d) Corrections to wages may result in additional contributions being assessed or refunded.

(7) Penalty for Failure to Provide Wage List Information.

(a) A penalty may be assessed for each failure to submit a wage list by the due date as specified in this rule or for failure to submit a wage list in an acceptable format as specified in this rule. The penalty amount is $50 for every 15 days, or fraction thereof, that the filing is late or not in an acceptable format, not to exceed $250 per filing.

(b) The penalty will be collected in the same manner and under the same legal provisions as unpaid contributions. Waiver of the penalty will be made if the employer can show good cause for failure to provide the required wage list. Good cause is established if the employer was prevented from filing a wage list for circumstances that are compelling or beyond the employer's control. Payment of the penalty does not relieve the employer from the responsibility of filing the wage list in the acceptable format.

History

KEY: unemployment compensation, overpayments, wage list
Date of Last Change: July 1, 2019
Notice of Continuation: November 13, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-305

Utah Admin. Code R994-305-1201 Offer in Compromise

(1) If an employer or claimant is unable to pay the total amount owing of past due contributions, interest, penalties, costs or fault or nonfault benefit overpayments, the employer or claimant may request an application for offer in compromise, pursuant to Section 35A-4-305(12). In order for an offer in compromise to be considered the employer or claimant must:

(a) complete an application and provide verification of total income, expenses, assets, and liabilities;

(b) show there is no expectation that financial resources will significantly improve within three years of the date of the application. Being currently unemployed or underemployed alone is insufficient to meet the requirements of this provision;

(c) not have a current rejected offer in compromise issued by the Utah State Tax Commission within twelve months of the date of application with the Department; and

(d) have not been granted an offer in compromise by the Department in the ten years prior to applying for an offer in compromise.

(2)(a) The Department may compromise a portion of any past due liability for contributions, interest, penalties or costs to an employer if the employer can show it has an inability to pay the full amount owing within three years of the date of application or payment would result in the insolvency of the employing unit.

(b) The Department may compromise a portion of any fault or nonfault overpayment owed by a claimant if the claimant can show he or she does not have the ability to pay the full amount owing within three years of the date of application.

(3) If the Department accepts an offer in compromise, the acceptance will be rescinded and the compromised liability will be reestablished if it is subsequently determined that:

(a) any employer, claimant, or person acting on behalf of any employer or claimant, provided false information or concealed information that lead to the granting of such compromise;

(b) the employer or claimant fails to timely pay the total amount agreed upon;

(c) the employer or claimant is not current with all obligations under the Employment Security Act for at least three years from the date of the application; or

(d) an offer in compromise is rejected by the Utah State Tax Commission within twelve months following the date the application with the Department was approved.

(4) The determination of the Department is final and not appealable. However, the Department may consider an amended offer in compromise application that is substantially different from the rejected application.

History

KEY: unemployment compensation, overpayments, wage list
Date of Last Change: July 1, 2019
Notice of Continuation: November 13, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-305

R994-306 Charging Benefit Costs to Employers

Utah Admin. Code R994-306-101 Reduction in Force Separations

When a worker is separated due to a reduction of the workforce, regardless of business conditions requiring the separation, the worker is eligible for benefits and the employer is liable for charges. This is true even if the separation is the end of a temporary assignment or seasonal employment and both parties agreed to the arrangement at the time of hire.

History

KEY: unemployment compensation, rates
Date of Last Change: January 1, 2002
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-303; 35A-4-306; 35A-4-405(2)(a); 35A-4-502(1)(b)

Utah Admin. Code R994-306-201 Notice to Employers and Time Limitation for Protests

All base period employers and all employers for which a claimant worked after the base period but prior to when the claim is filed, shall be notified prior to the payment of benefits that a claim has been filed.

(a) All employers who receive this notice may protest payment of benefits to former employees and all contributing employers may request relief of charges.

(i) All protests and requests must be made in writing to the Department within ten days after the notice is issued and must state in detail the circumstances which are alleged by the employer to justify a denial of benefits to the claimant, or relief of charges to the employer.

(ii) If the employer's request for relief of charges would justify the relief requested but the employer fails to provide separation information within the time limits of the request or to make a timely protest against the payment of benefits, the employer's request to be relieved of those charges will be adjudicated pursuant to R994-306-202.

History

KEY: unemployment compensation, rates
Date of Last Change: January 1, 2002
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-303; 35A-4-306; 35A-4-405(2)(a); 35A-4-502(1)(b)

Utah Admin. Code R994-306-202 Relief of Charges Decisions

When an employer makes a written request for relief of charges, a decision is made as to the employer's liability for benefit costs.

(a) The employer is notified of the decision and if an appeal is not filed, the decision becomes final and binding on both the employer and the Department.

(b)(i) A request for relief of charges or appeal that is filed after the expiration of the applicable time limit may be considered by the Department if:

(A) the employer has good cause for the late request or appeal as provided in R994-508-104;

(B) relief of charges was denied due to a mistake as to the facts and the Department did not rely on the requesting or appealing employer's failure to submit correct information in determining a claimant's eligibility for benefits. However, the Department will not consider such a request after September 30 with respect to benefits paid in the fiscal year that ended the prior June 30, even if there was a mistake as to facts.

(c) If the Department fails to give the relief of charges granted by a previous decision, the employer must request a correction of this error in accordance with Section R994-303-103.

History

KEY: unemployment compensation, rates
Date of Last Change: January 1, 2002
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-303; 35A-4-306; 35A-4-405(2)(a); 35A-4-502(1)(b)

Utah Admin. Code R994-306-301 Benefit Cost Calculation Errors

(1) Employers will be notified of benefit costs as they accrue at the end of each quarter. The notice used is called the "Statement of Unemployment Benefit Costs" (Form 66). This statement notifies the employer of the amount of benefits paid during the preceding quarter and gives the employer an opportunity to advise the Department of any errors. Upon written request from the employer, corrections will be made for all quarters not yet used to determine the employer's contribution rate. The following are examples which may occur:

(a) The employer is charged for costs for which the Department should have granted relief in accordance with Section R994-307-101.

(b) The employer did not receive prior notice that a claim had been filed or the determination of the claimant's eligibility and therefore did not have an opportunity to request relief of charges.

History

KEY: unemployment compensation, rates
Date of Last Change: January 1, 2002
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-303; 35A-4-306; 35A-4-405(2)(a); 35A-4-502(1)(b)

Utah Admin. Code R994-306-401 Annual Notice of Contribution Rate

(1) When the "Contribution Rate Notice" (Form 45) is issued at the end of the year, as per Subsection R994-303-103, the employer will have 30 days to protest the rate. When this decision, which establishes the contribution rate for the next year, becomes final it will not be changed even upon a showing of a mistake as to facts.

History

KEY: unemployment compensation, rates
Date of Last Change: January 1, 2002
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-303; 35A-4-306; 35A-4-405(2)(a); 35A-4-502(1)(b)

Utah Admin. Code R994-307-101 Relief of Charges to Contributing Employers

(1) Under the following circumstances a written request is required for relief of charges:

(a) Separation Issues.

(i) Relief may be granted based only on the circumstance which caused the claim to be filed or a separation which occurred prior to the initial filing of the claim. If there is more than one separation from the same employer, charges or relief of charges will be based on the reason for the last separation occurring prior to the effective date of the claim. Separations occurring after the initial filing of a claim do not result in relief of charges on that claim, but may be the basis for relief of charges on a subsequent claim.

(A) The claimant voluntarily left work for that employer due to circumstances which would have resulted in a denial of benefits under Subsection 35A-4-405(1) of the Act.

(B) The separation from that employer would have resulted in an allowance of benefits made under the provisions of "equity and good conscience" under circumstances not caused or aggravated by the employer. For example: If the claimant quit because of a personal circumstance which was not the result of this employment the employer would be relieved of charges. However, if the quit was precipitated by a reduction in the claimant's hours of work, even though the change in working conditions was necessitated by economic conditions, the employer would NOT be relieved of charges.

(C) The claimant quit that employer for health reasons which were beyond reasonable control of the employer. Although the job may have caused or aggravated the health problems, the employer is eligible for relief if it was in compliance with industry safety standards.

(D) The claimant quit work for that employer not because of adverse working conditions, but solely due to a personal decision to accept work with another employer.

(E) The claimant quit work from that employer for personally compelling circumstances not within the employer's power to control or prevent.

(F) The claimant quit new work from that employer after a short trial period, and through no fault of the employer the new work was unsuitable as defined in Subsections 35-4-405(3)(c), (d), and (e).

(G) The claimant was discharged from that employer for circumstances which would have resulted in a denial of benefits under Section 35A-4-405(2) of the Act.

(H) The claimant was discharged for nonperformance due to medical reasons. The employer is eligible for relief:

(I) only if the employer complied with industry health and safety standards, and

(II) the non-performance was due to a chronic medical condition, and

(III) the medical circumstances are expected to continue. The medical problems may be attributed to the worker or to a dependent. A series of unrelated absences attributed to medical problems do not qualify as chronic without medical verification that the conditions will probably continue to cause absences.

(b) Non-Separation Issues.

(i) When the claimant worked for two or more employers during the base period and is separated from one or more of these employers, but continues in regular part-time work for one of those employers, the nonseparating, part-time employer will not be liable for benefit costs provided;

(A) the claimant earned wages from a nonseparating employer within seven days prior to the date when the claim was filed,

(B) the claimant is not working on an "on call" basis,

(D) the nonseparating employer makes a request that it not be held liable for benefit costs within ten days of the first notification of the employer's potential liability.

(ii) The employer was previously charged for the same wages which are being used a second time to establish a new claim. For example, as the result of a change in the method of computing the base period, or overlapping base periods due to the effective date of the claim.

(iii) The claimant did not work for the employer during the base period.

(iv) The Department incorrectly used wages which were or should have been correctly reported by the employer in determining the claimant's weekly benefit amount or maximum benefit amount.

(c) The Department may, on its own motion, grant relief of charges without a written request if in the Department representative's discretion there is sufficient information in the record to justify relief.

(2) Under the following circumstances a written request is NOT required for relief of charges:

(a) All employers shall be relieved of benefit costs:

(i) resulting from the state's share of extended benefit payments;

(ii) which, during the same fiscal year, have been designated by the Department as benefit overpayments;

(iii) resulting from combined wage claims that are charged to Utah employers, which are insufficient when separately considered for a monetary claim under Utah law but have been transferred to a paying state;

(iv) resulting from payments made after December 31, 1985 to claimants who have been given Department approval to attend school. Relief is granted only for those benefit costs during the period of Department approval.

(b) An employer shall be relieved of benefit costs if the employer has terminated coverage.

History

KEY: unemployment compensation, rates
Date of Last Change: December 31, 2005
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-303

R994-308 Bond Requirement

Utah Admin. Code R994-308-101 Authority to Require a Bond

To ensure compliance with the contribution provisions of the Act, the Department may require an employer to provide a bond or other security deposit under Subsection 35A-4-308(1).

History

KEY: unemployment compensation, bonding requirements
Date of Last Change: July 1, 2007
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-308(1)

Utah Admin. Code R994-308-102 Types of Deposits

A cash deposit will generally be required, however, at the Department's discretion, other forms of security may be accepted.

History

KEY: unemployment compensation, bonding requirements
Date of Last Change: July 1, 2007
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-308(1)

Utah Admin. Code R994-308-103 Reasons for Requiring a Deposit

(1) A deposit may be required whenever circumstances would reasonably cause doubt as to an employer's future compliance with the provisions of the Act. Failure to comply includes such things as failing to file reports, pay amounts due, file a wage list or comply with other requests made by the Department. Some of the more common reasons for requiring a deposit are;

(a) the employer's past failure to comply,

(b) the employer is an out-of-state employer and has workers in Utah,

(d) the employer's or principal's past failure to comply in other businesses with which the employer or principal is or has been affiliated.

History

KEY: unemployment compensation, bonding requirements
Date of Last Change: July 1, 2007
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-308(1)

Utah Admin. Code R994-308-104 Amount of Deposit

(1) When a deposit is required from a contributory employer, the deposit shall be the greater of $1000 or three times the quarterly contribution liability currently accruing or expected to accrue.

(2) When a deposit is required from a reimbursable governmental or Indian tribal employer, the deposit shall be the greater of $1000 or nine times the monthly benefit charges currently accruing or expected to accrue.

History

KEY: unemployment compensation, bonding requirements
Date of Last Change: July 1, 2007
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-308(1)

Utah Admin. Code R994-308-105 Disposition of Deposit

If the employer fails to comply with the Act after making the required deposit, the Department will use the deposit to pay amounts due as defined by Subsection R994-302-103(4). The Department may then require a new deposit.

History

KEY: unemployment compensation, bonding requirements
Date of Last Change: July 1, 2007
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-308(1)

Utah Admin. Code R994-308-106 Interest Earned on Deposits

Interest earned on cash deposits will be paid into the same fund as other interest and penalties collected by the Department as provided by Subsection 35A-4-305(1)(e).

History

KEY: unemployment compensation, bonding requirements
Date of Last Change: July 1, 2007
Notice of Continuation: April 22, 2026
Authorizing, and Implemented or Interpreted Law: 35A-4-308(1)

R994-309 Nonprofit Organizations

Utah Admin. Code R994-309-101 Nonprofit Organization Requirements

Nonprofit organizations described in Subsection 35A-4-309(1)(b) will pay contributions in the same manner as other employers under Section 35A-4-302 unless they elect to become reimbursable employers which are liable for payments in lieu of contributions. A nonprofit organization which elects to become a reimbursable employer pays to the Department an amount equal to the regular benefits and one-half of the extended benefits paid to former employees. These reimbursements for benefits paid and other amounts due are payable monthly. Reimbursable employers do not pay for any administrative expenses of the unemployment insurance program.

History

KEY: unemployment compensation, nonprofit organizations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-309

Utah Admin. Code R994-309-102 Nonprofit Organizations (Section 501(c)(3) of IRC)

Section 35A-4-309 applies only to organizations exempt from income tax as described in Section 501(c)(3) of the Internal Revenue Code. Some examples are organizations operated exclusively for religious, charitable or educational purposes. The Internal Revenue Service issues a letter of exemption to exempted organizations. A copy of this letter is required by the Department to allow a nonprofit organization to elect to become a reimbursable employer.

History

KEY: unemployment compensation, nonprofit organizations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-309

Utah Admin. Code R994-309-103 Election of Payments by Contributions or Reimbursement

(1) Initial Election.

A nonprofit organization electing to become a reimbursable employer must make a written election within 30 days after the organization becomes subject to the Act. Since it may take some time for the employer to obtain the IRS letter of exemption required for this election, the employer will be a contributing employer until the letter is provided to the Department timely. The employer has 30 days from the date of the IRS letter to provide a copy to the Department in order to be granted reimbursable status retroactive to the date it became subject to the Act under Subsection 35A-4-309(1)(e). When the letter is provided timely, all contributions paid by the employer in excess of benefits paid to former employees will be refunded. Under Subsection 35A- 4-309(1)(e) the Department may, for good cause, extend the 30-day period within which the election is made or the 30 days within which the letter of exemption is provided. An initial election to become a reimbursable employer remains in effect for at least one calendar year.

(2) Subsequent Elections.

A nonprofit organization may elect to change from the contributions to the reimbursement method or from the reimbursement to the contributions method. An election to change from the contributions to the reimbursement method can be made only if accompanied by a copy of the letter of exemption from the IRS. To be consistent with the principle of Subsection 35A-4-309(1)(d), changes from one method to the other will remain in effect for at least two calendar years. Any election to change from one method of payment to the other must be made in writing no later than 30 days prior to January 1 of the year for which the change is requested. Under Subsection 35A-4-309(1)(e) the Department may for good cause waive the 30 day period within which a change from one method to the other is requested. As provided by Subsection 35A-4-309(3), the Department may terminate the reimbursable status if the organization is delinquent in filing Form 794, Insured Employment and Wage Report, Form 3H Employer's Quarterly Wage List, making the reimbursable payments, or paying any other amounts due.

History

KEY: unemployment compensation, nonprofit organizations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-309

Utah Admin. Code R994-309-104 Liability of an Organization When Changing the Method of Payment

A nonprofit organization changing from the reimbursement to the contributions method must reimburse the Department for benefits paid on wages earned during the time the organization was a reimbursable employer. Example: A nonprofit organization was a reimbursable employer during 2003 and 2004. For 2005 the organization elects to pay contributions. If a former employee receives benefits in 2005 based on wages paid by the organization in 2004, the organization must reimburse the Department for the benefits based on the 2004 wages. The organization must also pay contributions on the 2005 wages. If this organization changes back to the reimbursement method in 2007, any benefits received by a former employee which were based on wages paid in 2006 would not be subject to reimbursement since contributions have been paid on those wages.

History

KEY: unemployment compensation, nonprofit organizations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-309

Utah Admin. Code R994-309-105 Reimbursable Employer's Liability for Benefits Paid

(1) The reimbursable employer's liability is limited to the amount of benefits paid to the claimant. The employer may also be required to pay interest, penalty, and collection costs on past due amounts.

(2) The employer is not liable for benefits overpaid as a result of agency error or a Department decision which is later reversed unless the reversal was due in whole or in part to the failure of the reimbursable employer to provide complete and accurate information within the time limits established by the Department.

(3) Any benefits established as an overpayment, except overpayments due to the failure of the employer to provide information as provided in subparagraph (2) above, will be deducted from the employer's liability or, at the Department's discretion, refunded as the overpayment is recovered.

(4) If a claimant continues working part-time for a reimbursable employer and had other employment during the base period, the reimbursable employer may be eligible for relief of charges if all the requirements of Subsection R994-401-302(1) are met.

History

KEY: unemployment compensation, nonprofit organizations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-309

Utah Admin. Code R994-309-106 Records of Benefits Paid

The Department will maintain records of benefits paid to former employees of reimbursable employers for five calendar years. Such records will include the name and social security account number of each employee, the week for which payment is made, and the amount of each payment.

History

KEY: unemployment compensation, nonprofit organizations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-309

Utah Admin. Code R994-309-107 Monthly Billing of Benefits Paid

The Department will send a monthly billing to the reimbursable employer if any benefits have been paid to former employees. The billing will include the name and social security number of each claimant, the amount of the payment to each claimant on the basis of wages paid to him by the reimbursable employer in his base period, any adjustments to prior benefit charges, and the total amount paid to all such claimants during the previous calendar month.

History

KEY: unemployment compensation, nonprofit organizations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-309

R994-310 Coverage

Utah Admin. Code R994-310-101 Coverage Definitions

(1) "Subject date" is the first day of the calendar quarter in which the employer is required to comply with the Act.

(2) "Effective date" is the first day an employer pays wages or acquires an employing unit.

(3) "Inactive date" is the last day an employer pays wages.

History

KEY: unemployment compensation, coverage
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-310

Utah Admin. Code R994-310-102 Initiating Coverage

(1) An agricultural employer is subject to unemployment contributions the first day of the quarter that wages are paid in the year in which the employer;

(a) pays $20,000 or more in cash wages in a quarter, or

(b) employs ten or more workers for some portion of a day in each of 20 different calendar weeks.

(2) A domestic employer is subject to unemployment contributions the first day of the quarter that wages are paid in the year in which the employer pays $1000 or more in cash wages in any quarter.

(3) A nonprofit organization defined in 26 U.S.C.3306(c)(8) is subject to unemployment contributions the first day of the quarter that wages are paid in the year in which the employer employs four or more workers for some portion of a day in each of 20 different calendar weeks.

(a) A nonprofit organization that has an Internal Revenue Service 501(c)(3) classification as the result of an affiliation with a national organization that is subject in another state, is a subject employer on the day they pay any wages in this state.

History

KEY: unemployment compensation, coverage
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-310

Utah Admin. Code R994-310-103 Inactivating Coverage

(1) An agricultural employer's account may be inactivated the last day of a calendar year in which the employer;

(a) pays less than $20,000 in wages in each quarter of that year, and

(b) employs less than ten workers for some portion of a day in each of 20 different calendar weeks.

(2) A domestic employer's account may be inactivated the last day of a calendar year in which the employer pays less than $1000 in wages in each quarter of that year.

(3) The account of a nonprofit organization defined in the 26 U.S.C.3306(c)(8) may be inactivated the last day of a calendar year in which the employer employs less than four workers for some portion of a day in each of 20 different calendar weeks.

(4) Coverage will automatically be inactivated if the employing unit has paid no wages in the preceding calendar year.

(5) If within four fiscal years after coverage is inactivated, an employer becomes subject to the Act again, the employer's account may be reopened.

History

KEY: unemployment compensation, coverage
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-310

Utah Admin. Code R994-310-104 Elections to Become Covered

An employing unit's election to become covered under the Act for either the entire employing unit or for services which do not constitute employment as defined in the Act, may be approved by the Executive Director or designee.

History

KEY: unemployment compensation, coverage
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-310

R994-311 Governmental Units and Indian Tribes

Utah Admin. Code R994-311-101 Governmental Unit and Indian Tribe Requirements

(1) Governmental units and Indian Tribes described in Subsection 35A-4-311(1) will pay contributions in the same manner as other employers under Section 35A-4-302 unless they elect to become reimbursable employers which are liable for payments in lieu of contributions. A governmental unit or Indian tribe that elects to become a reimbursable employer pays to the Department an amount equal to the regular benefits and all of the extended benefits paid to former employees. These reimbursements for benefits paid and other amounts due are payable monthly. Reimbursable employers do not pay any administrative expenses of the unemployment insurance program.

(2) This state, as required by 35A-4-204(d)(ii), shall reimburse the Department for all regular and extended benefits paid for service performed in the employ of this state.

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

Utah Admin. Code R994-311-102 Definition of Governmental Units and Indian Tribes

Section 35A-4-311 applies to governmental units including any county, city, town, school district, or political subdivision and instrumentality of the foregoing or any combination thereof and political subdivisions or instrumentalities of the State of Utah or other states as provided by Subsection 35A-4-204(2)(d) and Indian Tribes. A political subdivision or instrumentality of a state or county, city, town or school district is a subdivision thereof to which has been delegated certain functions of that state, county, etc. Examples of governmental units to which this section applies are county water conservancy districts, state universities, city fire departments, and associations of county governments. The provisions of this rule do not apply to federal agencies.

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

Utah Admin. Code R994-311-103 Effective Period of Payments by Contributions or Reimbursement

(1) Initial Election

A governmental unit or Indian tribe electing to become a reimbursable employer must make a written election within 30 days after the organization becomes subject to the Act. Under Subsection 35A-4-311(1)(e) the Department may, for good cause, extend the 30 day period within which the election is made. This initial election remains in effect for at least one full calendar year.

(2) Subsequent Elections

A governmental unit or Indian tribe may elect to change from the contributions to the reimbursement method or from the reimbursement method to the contributions method. To be consistent with the principle of Subsection 35A-4-311(1)(d), changes from one method to the other will remain in effect for at least two calendar years. Any election to change from one method of payment to the other must be made in writing no later than 30 days prior to January 1 of the year for which the change is requested. Under Subsection 35A-4-311(1)(e) the Department may for good cause waive the 30 day period within which a change from one method to the other is requested. As provided by Subsection 35A-4-311(3), the Department may terminate the reimbursement status if the governmental unit or Indian tribe is delinquent in filing Form 794, Insured Employment and Wage Report, Form 3H Employer's Quarterly Wage List, making the reimbursement payments, or paying any other amounts due.

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

Utah Admin. Code R994-311-104 Liability of a Governmental Unit or Indian Tribe When Changing the Method of Payment

A governmental unit or Indian tribe changing from the reimbursement to the contributions method must reimburse the Department for benefits paid on wages earned during the time the organization was a reimbursable employer. Example: A governmental unit was a reimbursable employer during 2003 and 2004. For 2005 the organization elects to pay contributions. If a former employee receives benefits in 2005 based on wages paid by the organization in 2004, the organization must reimburse the Department for the benefits based on the 2004 wages. The organization must also pay contributions on the 2005 wages. If this organization changes back to the reimbursement method in 2007, any benefits received by a former employee which were based on wages paid in 2006 would not be subject to reimbursement since contributions have been paid on those wages.

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

Utah Admin. Code R994-311-105 Reimbursable Employer's Liability for Benefits Paid

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

Utah Admin. Code R994-311-106 Records of Benefits Paid

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

Utah Admin. Code R994-311-107 Monthly Billing of Benefits Paid

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

Utah Admin. Code R994-311-108 Charter Schools

(1) In order to be recognized by this state as a charter school, a school must apply with the Utah State Charter School Board. Charter schools recognized by the Charter School Board are considered to be public schools within the state's public education system.

(2) If a school desires to be eligible for election as a reimbursable employer under Section 35A-4-311, it must verify its status as a school within the state's public education or higher education systems. A charter school must provide evidence it has a current charter with the State Charter School Board.

History

KEY: unemployment compensation, government corporations
Date of Last Change: July 1, 2007
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-311

R994-312 Employing Units Records

Utah Admin. Code R994-312-101 Recordkeeping Requirements

(1) Each employing unit shall, for a period of at least three calendar years, preserve and make available for inspection all records with respect to employment performed in its service.

(2) The following information is required for each pay period and for each worker;

(a) Name and social security number,

(b) Place of employment. This includes the city and town, or where appropriate the county, in which the work was performed. If work is performed in several locations, assignment of place of employment is made in the following order;

(i) the worker's base of operations,

(ii) the place from which the worker's services are directed or controlled, and

(iii) the worker's place of residence,

(d) The date and reason for separation from work,

(e) The ending date of each pay period,

(f) The total amount of wages paid for each pay period showing separately:

(i) money wages; and

(ii) wages as otherwise defined in Section 35A-4-208 and Section R994-208-102, and

(g) Daily time cards or time records, kept in the regular course of business.

History

KEY: unemployment compensation, confidentiality of information
Date of Last Change: August 11, 2015
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-312

Utah Admin. Code R994-312-102 Examination of Employing Unit Records: Scope and Authority

(1) The Department is authorized to examine any and all records necessary for the administration of the Act. These records include payroll records, disbursement records, accounting records, tax returns, magnetic and electronic media, personnel records, minutes of meetings, loan documentation, articles of organization, operating agreements, and any other records which might be necessary to determine claimant eligibility and employer liability.

(2) The Department may initiate legal action to compel an employing unit to provide access to records if the employing unit fails to provide full access to records.

(3) If an employing unit maintains its records outside of this state, the employing unit may be required to submit copies of records for review within this state. The employing unit is responsible for any costs associated with providing such copies of records.

History

KEY: unemployment compensation, confidentiality of information
Date of Last Change: August 11, 2015
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-312

Utah Admin. Code R994-312-103 Confidentiality of Records

(1) Employers and individuals have a legitimate expectation of privacy in the information they provide to the Department. Therefore, consistent with federal and state requirements of confidentiality, it is the intent of this rule to limit access to Department records for use in:

(a) administration of the programs of the Department and the other divisions of the Department of Workforce Services;

(b) the detection and avoidance of duplicate or fraudulent claims against public assistance funds, or to avoid significant risk to public safety; and

(c) as specifically mandated by federal or state law. Department records shall not be published or open to public inspection in any manner revealing the employer's or the individual's identity except upon written request which shall set forth one or more of the following reasons for disclosure:

(i) Records used in making an initial determination or any decision by the Department may be provided to all interested parties prior to the rendering of any decision to the extent necessary for the proper presentation of the case.

(ii) Any information requested by employers concerning claims for benefits with respect to former or current employees may be provided where the employer's reason for seeking the information is directly related to the unemployment insurance program. Information in the records may be made available to the party who submitted the information to the Department; and an individual's wage data submitted by an employer may be made available to that individual.

(iii) Information in the record may be made available to the public for any purpose following a written waiver by all parties of their rights to non-disclosure.

(iv) Employment and claim information may be disclosed by the Department to other divisions of the Department of Workforce Services for the purpose of carrying out the programs administered by the Department for the protection of workers in the work place; to the Governor's office and other governmental agencies administratively responsible for statewide economic development, to the extent necessary for economic development policy analysis and formulation; and to any other governmental agency which is specifically authorized by federal or state law to receive such information, subject to the requirements of Subsection R994-312-304(2).

(v) Employment and claim information may be disclosed by the Department to any other public employees in the performance of their public duties only upon a determination by the Department that such disclosure will not discourage the willingness of employers to report wage and employment information or individuals to file claims for unemployment benefits, and such disclosure:

(A) is directly related to the detection or avoidance of duplicate, inconsistent or fraudulent claims against public assistance funds, or the recovery of overpayments of such funds; or

(B) is necessary to avoid a significant risk to public safety; and Disclosure pursuant to R994-312-304(1)(vi)(B) shall be subject to the requirements of Subsection R994-312-304(2).

(vi) No disclosure of employment or claim information may be made by the Department other than as set forth above. All requests for information must comply with the requirements and procedures contained in this rule. The Department will request a judicial or administrative body to withdraw any subpoena issued by that body if the subpoena does not conform to the Act and this rule.

(vii) The Department will provide aggregate information to the Wage and Hour Division of the U. S. Department of Labor on certain employers found to have misclassified workers. Once the Department finds that ten or more workers have been misclassified, the employer will be given 90 days from the date of the final audit report to cure the misclassification by resolving any outstanding amounts due, including contributions, interest and penalties. If an employer appeals the audit report, the 90 days runs from the date the final Department decision is issued. An employer can resolve the outstanding amount due by paying it in full, making payment arrangements or making other reasonable efforts to satisfy the outstanding contributions. If an employer does not cure the misclassification within 90 days, the information will be provided to the Wage and Hour Division of the U. S. Department of Labor.

(2) Employment and claim information may be disclosed to the divisions of the Department of Workforce Services, other governmental agencies, and other public employees only upon completion of a written agreement containing all of the following terms and conditions:

(a) The requesting division or agency must specify a bona fide need for the information, and must agree to use the information only to the extent necessary to assist in its valid administrative needs.

(b) The requesting division or agency must identify all agency officials, by position, authorized to request and receive information.

(c) The methods and timing of requests for information must be agreed upon by the Department and the requesting division or agency, and there must be provision for the appropriate reimbursement of the Department for the costs associated with furnishing the requested information.

(d) The requesting division or agency must agree to implement, at a minimum, the following requirements for safeguarding disclosed information:

(i) the disclosed information may not be used by the requesting division or agency for any purposes not specifically authorized; and

(ii) the information must be stored by the requesting division or agency in a secure place, and electronically stored information must be secured so that unauthorized persons cannot access the information; and

(iii) the requesting division or agency must instruct all persons authorized to request and receive information as to the confidential nature of the information and of the legal sanctions for unauthorized disclosure; and

(iv) the requesting division or agency must permit the Department to make on-site inspections to insure that there is a genuine need for the information, that the information is being used only for that purpose, and that state and federal confidentiality requirements are being met; and

(v) the head of the requesting division or agency must sign a written acknowledgment attesting to the confidentiality requirements of this rule.

History

KEY: unemployment compensation, confidentiality of information
Date of Last Change: August 11, 2015
Notice of Continuation: June 17, 2024
Authorizing, and Implemented or Interpreted Law: 35A-4-312

R994-315 Centralized New Hire Registry Reporting

Utah Admin. Code R994-315-101 Authority

This rule is authorized by 35A-7-101 et seq. Utah Code Ann. 1953.

History

KEY: new hire registry
Date of Last Change: August 8, 2007
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-7-101 et seq.; 42 U.S.C. 654(a) et seq.; Pub. L. No. 104-193

Utah Admin. Code R994-315-102 Definitions

In addition to definitions included in 35A-7-102, this rule makes the following definition:

(1) Multi-state Employer: A multi-state employer is defined as an employer who has employees in two or more States and who transmits new hire reports magnetically or electronically.

History

KEY: new hire registry
Date of Last Change: August 8, 2007
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-7-101 et seq.; 42 U.S.C. 654(a) et seq.; Pub. L. No. 104-193

Utah Admin. Code R994-315-103 Reporting Formats

Employers may submit information by paper, magnetic tape, cartridge, or diskette or electronically. Submittals should not be duplicated.

(1) Paper

Employers may mail or fax copies of any one of the following:

(a) the Utah New Hire Registry Reporting Form (form 6)

(b) the employee's W-4 (Employee's Withholding Allowance Certificate), the worksheet portions are not necessary.

(c) computer printouts or other printed information that provides all six of the mandatory data elements required by 35A-7-104 (1).

(2) Magnetic Media

Employers may submit their new hire information on magnetic tape, cartridge, or diskette. Magnetic media must be submitted according to specifications approved by the Department.

(3) Electronic Media

Employers may submit information by Internet on-line data entry or Internet electronic file transfer. Electronic Media must be submitted according to specifications approved by the Department.

History

KEY: new hire registry
Date of Last Change: August 8, 2007
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-7-101 et seq.; 42 U.S.C. 654(a) et seq.; Pub. L. No. 104-193

Utah Admin. Code R994-315-104 Multi-state Employers

(1) Multi-state employers have the option to report all new hires to a single state, chosen by the employer, in which the employer has employees. To exercise this option, the employer must designate one state for reporting new hires, transmit the report magnetically or electronically, and notify the Secretary of Health and Human Services in writing.

The letter of request should include the following information:

(a) Employer Federal ID Number (FEIN).

(b) Any other FEIN's under which the employer does business.

(d) The state to which the employer will report all workers.

(e) A list of states in which the employer employs workers.

(f) Name and phone number of person responsible for providing data.

History

KEY: new hire registry
Date of Last Change: August 8, 2007
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-7-101 et seq.; 42 U.S.C. 654(a) et seq.; Pub. L. No. 104-193

Utah Admin. Code R994-315-105 Waiver of Penalty for Failure to Report

(1) An employer that fails to report the hiring or re-hiring of an employee in a timely manner is subject to a civil penalty of $25 for each such failure in accordance with Section 35A-7-106. The $25 penalty will be waived if the employer can show good cause for failure to provide the required new hire report(s). Good cause may be established if the employer was prevented from filing a new hire report due to circumstances which were compelling and reasonable or beyond its immediate control. Payment of the $25 penalty does not relieve the employer from the responsibility of filing the required new hire report(s).

History

KEY: new hire registry
Date of Last Change: August 8, 2007
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-7-101 et seq.; 42 U.S.C. 654(a) et seq.; Pub. L. No. 104-193

R994-401 Payment of Benefits

Utah Admin. Code R994-401-101 Payment of Unemployment Insurance Benefits

Eligibility for unemployment insurance benefits is established and unemployment insurance benefits are paid on a weekly basis. The week starts on Sunday and ends on Saturday. Unemployment insurance benefits do not become due until the end of the week for which unemployment insurance benefits are claimed.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-201 Weekly Benefit Amount (WBA), Maximum Benefit Amount (MBA), and Monetary Determination

(1) The formulas for determining the WBA and the MBA are found in Section 35A-4-401. For purposes of calculating WBA and MBA and for all other relevant purposes, "total insured workers" is defined as the sum of the monthly total of reported insured workers during the calendar year or fiscal year, as applicable.

(2) The wages used to determine the WBA and the MBA are limited to wages reported to the Department by base period employers and verifiable wages paid by additional base period employers reported by the claimant in the initial claim. If an employer does not report wages and the claimant verifies wages from that employer, those wages may be included.

(3) The Department will send the claimant a "Notice of Monetary Determination."

(a) The notice will inform the claimant of:

(i) the WBA, MBA, and the wages used to determine the claimant's monetary eligibility; and

(ii) the claimant's right to appeal the monetary determination.

(b) The claimant must notify the Department of any errors in the monetary determination.

(c) The time limit for notifying the Department of any errors or for appealing a monetary determination is the same as filing an appeal from an initial Department determination and is governed by Sections R994-508-102 through R994-508-104.

(4) The monetary determination is based on the wages actually paid during the base period regardless of when the work was performed.

(5) To be monetarily eligible, a claimant must:

(a) have earned base period wages of 1-1/2 times the high quarter wages; and

(b) meet a minimum dollar amount as established by the monetary base period wage requirement defined in Section 35A-4-201.

(6) For any claimant who is not monetarily eligible under the 1-1/2 times requirement in Subsection R994-401-201(5), the claimant will be eligible if:

(a) the claimant's benefit year is effective on or before January 1, 2011;

(b) the claimant meets the monetary base period wage requirement; and

(c) the claimant had earnings of at least 5% of the monetary base period wage requirement, in each of at least 20 weeks in insured work during the base period.

(i) The earnings must be for work performed during each of the 20 weeks, all of which must fall within the base period, regardless of when the claimant received payment for the work.

(ii) The requirement that the claimant show work and earnings in 20 weeks is only met if the claimant has "wages paid," as defined in Section R994-401-202.

(iii) The dollar amount for each of the 20 weeks required to establish eligibility under Subsection R994-401-201(6)(c) will be determined by the monetary base period wage requirement for insured work in effect for the calendar year in which the initial claim is filed even if any week occurred in a different calendar year.

(iv) It is the claimant's responsibility to show 20 weeks of covered employment which meet the minimum dollar amount. Acceptable proof of covered employment includes:

(A) appropriately dated check stubs issued by the employer;

(B) a written statement from the employer showing dates of employment and the amount of earnings for each week;

(D) canceled payroll checks; or

(E) personal or business records kept in the normal course of employment that would substantiate work and earnings.

(7) An employer's potential liability is based on its proportion of the claimant's base period wages.

(a) Employers will be informed of the:

(i) wages used in determining a claimant's monetary entitlement;

(ii) employer's potential liability for benefits costs; and

(iii) right to and time limitation for requesting relief of charges or a correction to wages.

(b) A contributory employer will be issued a notice of benefit costs each quarter and may report any errors or omissions to the Department. The quarterly notices will give the employer 30 days to advise the Department of any corrections, as provided in Subsection 35A-4-306(3).

(10) A party failing to file a timely appeal or protest may lose its right to have the monetary determination corrected. An untimely appeal or protest may be considered if the party had good cause, as defined in Section R994-508-104.

(11) In its discretion, the Department may revise the monetary determination after the expiration of the appeal period if:

(a) there has been a mistake as to the facts; or

(b) the revision would be:

(i) substantial; and

(ii) required by fairness for a party who did not have access to the information and therefore could not have reasonably filed a timely appeal.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-202 Wages Used to Determine Monetary Eligibility

(1) "Wages paid" include those wages actually received by the worker and wages constructively paid, provided the employer's liability for payment has become unconditionally established.

(a) Wages are considered constructively paid, for the purposes of this section, on the earliest of:

(i) the next regular pay day in accordance with the employer's customary payment practices;

(ii) the day required by contractual agreement; or

(iii) as required by state law.

(2) Quarterly wages are all wages paid or constructively paid during a quarter regardless of when those wages are earned.

(a) Bonus or lump sum payments made within the quarter which were not due on any specific day shall be treated as wages paid during the quarter in which the payment is made unless:

(i) the bonus or lump sum payments meet the definition of vacation and severance pay in Sections R994-405-701 through R994-405-705; or

(ii) within ten days of the issuance of the monetary determination, the claimant requests apportionment to the calendar quarters in which the remuneration was earned as provided by Subsection 35A-4-401(7).

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-203 Retirement or Disability Retirement Income

(1) As used in this section, "retirement benefits" means any retirement benefits, Social Security, pension, or disability retirement pay.

(2) Except as provided in Subsection R994-401-203(3), a claimant's WBA will be reduced by 100% of any retirement benefits received by the claimant. The payment of retirement benefits must satisfy each of the following conditions.

(a) Base Period Employer Plan.

(i) Retirement benefits must be from a plan contributed to by a base period employer.

(ii) Social Security payments are counted if a base period employer contributed to Social Security even if the Social Security payment is not based on employment during the base period.

(b) Basis for Receipt of Retirement Benefits.

(i) The claimant:

(A) must receive retirement benefits based on prior employment; and

(B) qualify for retirement benefits because of any combination of the following:

(I) age;

(II) length of service; or

(III) disability, if the disability benefits are based, at least in part, on length of service.

(ii) A claimant's WBA will not be reduced by the claimant's receipt of:

(A) benefits from asavings plan, such as a 401(k) or IRA;

(B) workers' compensation for:

(I) temporary disability; or

(II) black lung disability;

(D) benefits received as a spouse or beneficiary; or

(E) benefits payable to the claimant's former spouse if the paying entity pays:

(I) the former spouse directly; and

(II) pursuant to court order or a signed, stipulated agreement in accordance with the law.

Retirement benefits must be paid in periodic payments and not in a lump sum. Lump sum payments, even if drawn from the employer's contributions to a fund established for retirement payments, are not treated as severance pay under Subsection 35A-4-405(7).

(d) Payable During the Benefit Year.

Retirement benefits must be payable during the benefit year. Except as provided in Subsection (iii), a claimant's WBA will not be reduced if the claimant is eligible for, but not receiving, retirement income.

(i) If the claimant subsequently receives a retroactive payment of retirement benefits which would have resulted in a reduction of unemployment insurance benefits, an overpayment will be established. The period of time the payment represents, not the time of the receipt, is the determining factor.

(ii) An assumption that a claimant is entitled to receive retirement benefits, even if correct, is not a sufficient basis to recompute the WBA.

(iii) A reduction of the claimant's WBA will be made if the claimant:

(A) has applied for retirement benefits;

(B) expects to be determined eligible for a specific amount attributable to weeks when unemployment insurance benefits are payable; and

(3) For claims with an effective date:

(a) on or after July 4, 2004, and on or before December 11, 2010, the claimant's WBA will be reduced by 50% for Social Security retirement benefits received by the claimant; and

(b) on or after December 12, 2010, the claimant's WBA will not be reduced for Social Security retirement benefits.

(4) A claimant who may be eligible for retirement benefits, but does not apply until after unemployment insurance benefits have been paid, will be at fault for any overpayment resulting from a retroactive payment of retirement benefits.

(5) The formula for recomputation of the MBA in the event a claimant begins receiving retirement income after the beginning of the benefit year is found in Subsection 35A-4-401(2)(d). The recomputation is effective with the first full calendar week in which the claimant is eligible to receive applicable retirement benefits or adjustments to those benefits.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-301 Partial Payments

(1) Earnings and WBA.

(a) A claimant's earnings that are equal to or less than 30% of the WBA will not result in a reduction of the WBA.

(b) A claimant's gross weekly earnings over 30% of the WBA, but less than the WBA, will be deducted dollar for dollar from the WBA in the week in which it was earned.

(c) A claimant who earns less than the WBA and files a claim may be credited with a waiting week, or paid a partial payment.

(d) A claimant who earns equal to or more than the WBA will not be credited with a waiting week nor be eligible for any partial payment for that week.

(2) All work and earnings from all sources must be reported on a weekly basis.

(3) Earnings are reportable in the week the work is performed which may be different from the week payment is received. If a claimant receives payment for commission sales, or other periodic earnings, the income must be attributed to, and reported in, the week when the work was performed.

(4) Reportable earnings which a claimant must report on the weekly claim include all wages, remuneration, or compensation for services even if the employer is not required to pay contributions on these wages.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-302 Liability of Part-time Concurrent Reimbursable Employers When There Is No Job Separation from the Part-Time Reimbursable Employer

(1) Nonseparating Part-Time Employers.

(a) An employer is considered a "nonseparating part-time reimbursable employer" if:

(i) the claimant:

(A) worked for two or more employers, including the employer, during the base period;

(B) is separated from one or more of the other employers; and

(ii) the employer is a reimbursable employer.

(b) A nonseparating part-time employer will not be liable for benefit costs if:

(i) the claimant earned wages from the nonseparating part-time employer within seven days before the date the claim was filed;

(ii) the claimant is not working on an "on call" basis;

(iii) the claimant's hours of work have not been reduced; and

(iv) the nonseparating part-time employer makes a request that it not be liable for benefit costs within ten days of the first notification of the nonseparating part-time employer's potential liability.

(2) The claimant's WBA will be determined on the basis of the total base period employment and earnings, however, earnings from the nonseparating part-time employer will be excluded from the calculation of the MBA.

(3) The nonseparating part-time employer will be liable to pay the proportionate amount of unemployment insurance benefits paid to the claimant if:

(a) the claimant is later separated from the nonseparating part-time employer within the benefit year; or

(b) the claimant's hours of work are reduced below the customary number of hours worked during the base period.

(4) A new monetary determination may be made at the request of the claimant and will include all base period wages. The effective date of the revised monetary determination will be the first day of the week in which the request is made. See Section R994-307-101 for rules concerning contributory employers.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-303 Income the Claimant Must Report While Receiving Unemployment Insurance Benefits

(1) All payments, whether an hourly wage, salary, or commission, paid for the performance of any service shall be reportable unless specifically identified as an exception in Section R994-401-304 or R994-401-305.

(2) Gratuities or tips paid directly to an employee by a customer or the employer for a service provided are reportable.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-304 Income Which May Be Reportable Under Certain Circumstances

(1) A bonus is a payment given to an employee in addition to usual wages.

(a) A bonus paid as a direct result of past performance of service for a specific period before the separation is not reportable with respect to any week after the separation.

(b) If the payment is made contingent upon termination it will be considered a severance payment.

(c) Payments given at the time of separation that are based on years of service are reportable severance payments pursuant to with Subsection 35A-4-405(7).

(2) If a claimant is hired to start working on a certain day and the employer puts the claimant on the payroll as of that date, the claimant is considered employed and those wages are reportable, even if the work is not available as of that date.

(3) Payment made in consideration of training that is required by the employer is considered to be reportable income unless shown to be:

(a) expenses necessary for school, including expenses for tuition, fees, and books;

(b) travel expenses;

(d) exempt from income tax liability.

(4) Payment to a claimant under a contract is reportable income if:

(a) the payment is made for the express purpose of the claimant's being available to an employer; and

(b) there are limits placed upon the claimant:

(i) as to how much earnings, if any, the claimant may earn while receiving payment; or

(ii) on the time the claimant must be available to the employer.

(5) Payments in kind are reportable, including the cash value for meals, lodging, or other payment unless the meals and lodging are excluded from the definition of wages by the Internal Revenue Service under the following conditions.

(a) Meals.

(i) Meals must be furnished:

(A) on the business premises of the employer;

(B) for the convenience of the employer;

(D) not intended as additional compensation.

(ii) Substantial non-compensatory business reasons will be limited to meals which are provided:

(A) to have employees available for emergency call;

(B) to have employees with restricted lunch periods; or

(b) Lodging.

(i) Lodging must be furnished:

(A) on the business premises of the employer;

(B) as a condition of employment; and

(6) Pensions that do not meet the criteria in Section R994-401-203 are not reportable income.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

Utah Admin. Code R994-401-305 Income a Claimant Is Not Required to Report While Receiving Unemployment Insurance Benefits

Payments which are received for reasons other than the performance of a service are not reportable income, including the following examples.

(1) Payments from corporate stocks and bonds.

(2) Public service in lieu of payment of fines.

(3) Fees paid for jury duty or as witness fees.

(4) Amounts paid specifically, either as an advance or reimbursement, for bona fide, ordinary, and necessary expenses incurred or reasonably expected to be incurred in the business of the employer. If an accounting by the employee is not required by the employer for actual expenses, the Department shall not require itemization.

(5) Payments specifically identifiable as not being provided for the rendering of service, including grants, public or private assistance, or other support payments.

(6) Money or other considerations which are normally provided as a matter of course to immediate family members.

(7) Income from investments.

(8) Disability or permanent impairment awards under the Workers' Compensation Act.

(9) Payment attributable to the value of any equipment owned by the claimant and necessary for the performance of the job. If there is no contract of hire or the contract does not delineate what portion is payable for the equipment, the Department will determine the claimant's wages based on the prevailing wage for similar work under comparable conditions.

History

KEY: unemployment compensation, benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-401(1); 35A-4-401(2); 35A-4-401(3); 35A-4-401(6)

R994-402 Extended Benefits (EB)

Utah Admin. Code R994-402-201 EB in General

(1) A claimant may receive EB if:

(a) the claimant has been unable to find work for an extended period of time;

(b) the claimant has exhausted regular unemployment insurance benefits; and

(2) Wage Credits.

(a) A claimant is not required to have additional wage credits to qualify for EB as the original claim is extended with the same weekly benefit amount.

(b) A claimant is not eligible for EB if the claimant has sufficient additional wage credits and can qualify for a new claim for regular unemployment insurance benefits.

(3) The maximum benefit amount of EB is one-half of the amount of the claimant's original regular unemployment insurance benefits claim up to a maximum of 13 times the weekly benefit amount.

(4) No EB may be paid if the unemployment rate drops below a certain level, even if the claimant has not exhausted the claimant's EB.

(5) There is no waiting week on an EB claim.

(6) Availability requirements for EB claimants are different from those for regular unemployment insurance benefits claimants. Unless the EB claimant has good prospects as defined in Section R994-402-205, the EB claimant must:

(a) have no occupational restrictions;

(b) reduce wage expectations; and

(c) increase the claimant's work search efforts beyond those expected of regular unemployment insurance benefits claimants unless the claimant has received an exemption from the Department approval while attending school under Sections R994-403-201 through R994-403-205.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-202 General Requirements for EB

(1) Notwithstanding the provisions of the Act concerning regular unemployment insurance benefits, a claimant is ineligible for EB during any week of unemployment in the claimant's eligibility period if the Department finds that during such period:

(a) the claimant failed to:

(i) accept an offer of suitable work as defined in Section R994-402-204; or

(ii) apply for suitable work to which the claimant was referred by the Department; or

(b) the claimant failed to make a systematic and sustained effort to secure employment as provided in Section R994- 402-207.

(2) A claimant who has been found ineligible for EB under Subsection R994-402-202(1) will be denied EB until the claimant:

(a) has performed services in bona fide, covered, employment for at least four subsequent weeks, whether or not consecutive; and

(b) earned wages for such services equal to at least six times the claimant's weekly benefit amount.

(3) Notwithstanding Section R994-402-204, no claimant will be denied EB for failure to accept an offer of, or apply for, a job which meets the definition of suitability as described in that section if:

(a) the position was not:

(i) offered to the claimant in writing as defined in R994-402-206; or

(ii) listed with the Department;

(b) such failure would not result in a denial of unemployment insurance benefits under the definition of suitable work for regular unemployment insurance benefits claimants in Subsection 35A-4-405(3), to the extent that the criteria of suitability in that section are not inconsistent with Section R994-402-204; or

(4) No work is considered to be suitable work unless it complies with the labor standard provisions required by Section 3304(a)(5) of the Internal Revenue Code as provided in Subsection 35A-4-405(3).

(5) The Department shall refer a claimant entitled to EB to any suitable work which meets the criteria in Section R994- 402-204.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-203 Eligibility for EB

To be eligible for EB the claimant must:

(1) exhaust regular unemployment insurance benefits as defined by Subsection 35A-4-402(7)(h) and the claimant's benefit year must have ended after the beginning of the EB period;

(2) be ineligible for a claim for regular unemployment insurance benefits in Utah or any other state or under any federal unemployment program;

(3) file for EB in accordance with Department instructions;

(4) meet EB requirements for availability and work search; and

(5) accept suitable work.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-204 Suitable Work

(1) Suitable work for EB claimants includes work:

(a) in any occupation within the claimant's capabilities unless the claimant establishes that the claimant's prospects for obtaining work in the claimant's regular occupation are good, as defined in Section R994-402-205; and

(b) paying the greater of the federal or state minimum wage provided the gross average pay exceeds the claimant's weekly benefit amount plus any supplemental unemployment benefit.

(2) Suitable work for EB claimants does not include work:

(a) available as the result of a strike or labor dispute;

(b) having wages, hours, or other conditions of the work which are substantially less favorable to the claimant than those prevailing for similar work in the locality;

(c) which requires the claimant as a condition of being employed to join a union or to resign from or refrain from joining a labor organization; or

(d) which would not be considered suitable for a regular unemployment insurance benefits claimant, such as unsafe working conditions or work requiring a move or travel beyond normal commuting distance.

(3) Except with regard to the type of occupation and the wages, standards for determining the suitability of work are the same for EB claimants as for regular unemployment insurance benefits claimants under Subsection 35A-4-405(3) and Sections R994-405-305 through R994-405-306.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-205 Good Prospects

(1) When a claimant has a definite assurance of full-time employment in the claimant's customary occupation to begin within four weeks, the claimant is considered to have good prospects.

(2) The claimant must continue to seek work, but suitability will be determined under the definition of suitable work for regular unemployment insurance benefits claimants in Subsection 35A-4-405(3) without regard to the definition in Section R994-402-204.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-206 Position Offered in Writing

(1) A position is considered "offered in writing" if it is listed with the Department and the claimant is referred or offered a referral by the Department even if the claimant is given the referral verbally.

(2) If an employer makes a verbal offer of work and the job is not listed with the Department, Subsection 35A-4- 405(3) may apply.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-207 Systematic and Sustained Work Search

(1) A claimant for EB must have a realistic plan for finding employment, which includes making a systematic and sustained work search. To make a systematic and sustained work search, the claimant must:

(a) register for work with the Department; and

(b) make at least four job contacts each week, unless advised otherwise by a Department representative. The claimant should have a realistic plan for finding employment. All contacts cannot be made on the same day except in circumstances where a work search on several days of the week is impractical. Job contacts must be made for jobs that have not been contacted within the last 90 days.

(2) Except as otherwise provided in this section, a claimant for EB must make a systematic and sustained work search.

(a) There is no good cause exception for a claimant's failure to make a systematic and sustained work search after the claimant has received instructions with regard to the required work search.

(b) Notwithstanding Subsection R994-402-207(2)(a), the Department may suspend or relax the requirement to make a systematic and sustained work search if:

(i) the claimant receives an exemption from the work search requirement under Section R994-403-201;

(ii) the claimant is hospitalized for treatment of an emergency or life-threatening condition;

(iii) the claimant is on jury duty and the Department would have allowed regular unemployment insurance benefits under similar circumstances;

(iv) the claimant has obtained part-time work, and is working a substantial amount of time in the part-time job, in which case:

(A) the claimant must search for work on days the claimant is not working; and

(B) the Department may reduce the number of job contacts the claimant must make; or

(v) the Department determines that severe weather conditions or other calamity has forced a suspension of work search activities by most members of the community.

(3) The Department will deny EB under Section 35A-4-402, and not under Subsection 35A-4-403(1)(c), if the claimant:

(a) is ill or otherwise unable to seek work;

(b) files a claim for EB after being instructed with regard to work search requirement;

(d) is not exempted from the work search requirement under Subsection R994-402-207(2)(b)(ii).

(4) If the claimant made the required work search but was unable to work or unavailable for work for more than half the normal workweek, the claimant may be ineligible for EB under Section R994-403-111c or R994-403-112c.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-208 Claimant Responsibilities

(1) An EB claimant must report all information as requested by the Department.

(2) An EB claimant shall keep a detailed record of the employers contacted including:

(a) the name and address of the employer;

(b) the date of contact with the employer;

(d) the result of the contact; and

(e) the type of work sought.

(3) An EB claimant's failure to keep records or provide such information will result in a conclusion that a work search was not made unless the claimant provides other convincing evidence.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-209 Period of Disqualification

(1) A claimant who fails to accept an offer of suitable work or fails to actively seek work will be denied EB for the week in which such failure occurs and for the following weeks until the claimant has had employment during at least four subsequent weeks and has earned at least six times the claimant's weekly benefit amount.

(2) The claimant's earnings do not have to be earned in consecutive weeks, but must be from bona fide, covered, employment.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-210 Requalification Requirement Following a Disqualification for a Crime in Connection with Employment

(1) A disqualification for regular unemployment insurance benefits will be in effect on an EB claim.

(2) A claimant who has been denied regular unemployment insurance benefits under Subsection 35A-4-405(2)(b) is not eligible to receive EB until the claimant has returned to bona fide, covered, employment and earned at least six times the claimant's weekly benefit amount after the disqualifying separation, even if the disqualification period has ended.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-211 Out of State Claimants

(1) A claimant is only entitled to two weeks of EB while residing in another state if:

(a) the claimant is filing for EB in Utah under the interstate benefit payment plan; and

(b) the claimant's state of residence is not in an extended benefit period.

(2) The amount of the payment, whether it is a full or partial payment, is immaterial. When a payment of any amount has been made for each of two weeks, whether or not consecutive, no further payments can be made.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-212 Overpayments

Overpayments established on EB are collectible in accordance with Subsections 35A-4-406(4) and 35A-4-406(5).

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-601 Notice

(1) Immediately after it has been determined that an EB period will become effective or will end in the state, the Department will make a public announcement and give personal notice calculated to reach the largest practicable number of potentially eligible persons within the state.

(2) The notice given at the beginning of an EB period will state:

(a) the first date on which potential claimants may file a claim for, and become eligible for, EB;

(b) eligibility criteria for EB; and

(3) Whenever there has been a determination that an EB period will end, the Department will provide notice to each claimant currently filing claims for EB of the forthcoming end of the EB period and its effect on the claimant's right to EB.

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

Utah Admin. Code R994-402-602 Effective Date of EB Claim

(1) The effective date of claims for EB will be the Sunday of the first week during which EB are payable in accordance with Subsection 35A-4-402(7) if the claimant has filed as instructed.

(2) The effective date of the EB claim may be backdated upon a showing of good cause under Subsections 35A-4- 403(1) and 35A-4-401(1)(b).

History

KEY: unemployment compensation, employee recruitment, extended benefits
Date of Last Change: April 21, 2022
Notice of Continuation: June 9, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-402(2); 35A-4-402(6)(a)

R994-403 Claim for Benefits

Utah Admin. Code R994-403-101a Filing a New Claim

(1) A new claim for unemployment benefits is made by filing with the Department of Workforce Services Claims Center. A new claim can be filed by completing an application at the Department's website, or as otherwise instructed by the Department.

(2) The effective date of a new claim for benefits is the Sunday of the week in which the claim is filed, provided the claimant did not work full-time during that week, or is not entitled to earnings equal to or in excess of the WBA for that week. A claim for benefits can only be made effective for a prior week if the claimant can establish good cause for late filing in accordance with R994-403-106a.

(3) When a claimant files a new claim during the last week of a quarter and has worked less than full-time for that week, the Department will make the claim effective that week if it is advantageous to the claimant, even if the claimant has earnings for that week that are equal to or in excess of the WBA.

(4) Wages used to establish eligibility for a claim cannot be used on a subsequent claim.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-102a Cancellation of Claim

(1) Once a weekly claim has been filed and the claimant has been deemed monetarily eligible, the claim is considered to have been established, even if no payment has been made or waiting week credit granted. The claim then remains established for 52 weeks during which time another regular claim may not be filed against the state of Utah unless the claim is canceled.

(2) A claim may be canceled if the claimant requests that the claim be canceled and one of the following circumstances can be shown:

(a) no weekly claims have been filed;

(b) cancellation is requested prior to the issuance of the monetary determination;

(c) the request is made within the same time period permitted for an appeal of the monetary determination and the claimant returns any benefits that have been paid;

(d) the claimant had earnings, severance, or vacation payments equal to or greater than the WBA applicable to all weeks for which claims were filed;

(e) the claimant meets the eligibility requirements for filing a new claim following a disqualification due to a strike in accordance with the requalifying provisions of Subsection 35A-4-405(4)(c);

(f) the claimant meets the requirements for cancellation established under the provisions for combined wage claims in R994-106-107; or

(g) the claimant has filed an unemployment compensation for ex-military (UCX) claim, and it is determined the claimant does not have wage credits under Title 5, chapter 85, U.S. Code.

(3) If a claimant is disqualified from the receipt of unemployment benefits because he or she was discharged for a crime in connection with work under R994-405-210, whether the claimant was deemed monetarily eligible or not, the claim will be established for 52 weeks and cannot be canceled even if the requirements of subsection (2) have been satisfied.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-103a Reopening a Claim

(1) A claim for benefits is considered "closed" when a claimant reports four consecutive weeks of earnings equal to or in excess of the WBA or does not file a weekly claim within 27 days from the last week filed. In those circumstances, the claimant must reopen the claim before benefits can be paid.

(2) A claimant may reopen the claim any time during the 52-week period after first filing by completing the application to reopen at the Department's website, or as otherwise instructed by the Department. The effective date of the reopened claim will be the Sunday of the week in which the claimant requests reopening unless good cause is established for failure to request reopening during a prior week in accordance with R994-403-106a.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-104g Using Unused Wages for a Subsequent Claim

(1) A claimant may have sufficient wage credits to monetarily qualify for a subsequent claim without intervening employment.

(2) With the exception of subsection (3), benefits will not be paid under Subsection 35A-4-403(1)(g) from the effective date of the claim and continuing until the week the claimant provides proof of covered employment equal to at least six times the WBA. Each of the following elements must be satisfied:

(a) the claimant must have performed work in covered employment after the effective date of the original claim, but not necessarily during the benefit year of the original claim;

(b) actual services must have been performed. Vacation, severance pay, or a bonus cannot be used to requalify; and

(c) the claimant must have earnings from covered employment, as defined in R994-201-101(9), equal to at least six times the WBA of the original or subsequent claim, whichever is lower.

(3) Intervening covered employment is not required if the claimant did not receive benefits during the preceding benefit year.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-105a Filing Weekly Claims

(1) Claims must be filed on a weekly basis. For unemployment benefit purposes, the week begins at 12:01 a.m. on Sunday and ends at midnight on Saturday. The claimant is the only person who is authorized to file weekly claims. The responsibility for filing weekly claims cannot be delegated to another person.

(2) Each weekly claim should be filed as soon as possible after the Saturday week ending date. If the claim has not been closed, the Department will allow 20 days after the week ending date to file a timely claim. A weekly claim filed 21 or more calendar days after the week ending date will be denied unless good cause for late filing is established in accordance with R994-403-106a.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-106a Good Cause for Late Filing

(1) Claims must be filed timely to insure prompt, accurate payment of benefits. Untimely claims are susceptible to errors and deprive the Department of its responsibility to monitor eligibility. Benefits may be paid if it is determined that the claimant had good cause for not filing in a timely manner.

(2) The claimant has the burden to establish good cause by competent evidence. Good cause is limited to circumstances where it is shown that the reasons for the delay in filing were due to circumstances beyond the claimant's control or were compelling and reasonable. Some reasons for good cause for late filing may raise other eligibility issues. Some examples that may establish good cause for late filing are:

(a) a crisis of several days duration that interrupts the normal routine during the time the claim should be filed;

(b) hospitalization or incarceration; or

(3) The Department is the only acceptable source of information about unemployment benefits. Relying on inaccurate advice from friends, relatives, other claimants or similar sources does not constitute good cause.

(4) Good cause for late filing cannot extend beyond 65 weeks from the filing date of the initial claim.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-107b Registration, Workshops, Deferrals - General Definition

(1) A claimant must register for work with the Department, unless, at the discretion of the Department, registration is waived or deferred.

(2) The Department may require attendance at workshops designed to assist claimants in obtaining employment.

(3) Failure, without good cause, to comply with the requirements of Subsections (1) and (2) of this section may result in a denial of benefits. The claimant has the burden to establish good cause through competent evidence. Good cause is limited to circumstances where it is shown that the failure to comply was due to circumstances beyond the control of the claimant or which were compelling and reasonable. The proof of inability to register or report may raise an able or available issue.

(4) The denial of benefits begins with the Sunday of the week the claimant failed to comply and will continue through the Saturday prior to the week the claimant contacts the Department and complies by either registering for work, reporting as required, or scheduling an appointment to attend the next available workshop or conference. The denial can be waived if the Department determines the claimant complied within 7 calendar days of the decision date.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-108b Deferral of Work Registration and Work Search

(1) The Department may elect to defer the work registration and work search requirements. A claimant placed in a deferred status is not required to actively seek work but must meet all other availability requirements of the act. Deferrals are generally limited to the following circumstances:

(a) Labor Disputes.

A claimant who is unemployed due to a labor dispute may be deferred while an eligibility determination under Subsection 35A-4-405(4) is pending. If benefits are allowed, the claimant must register for work immediately.

(b) Union Attachment.

(i) A claimant who is a union member in good standing, is on the out-of-work list, or is otherwise eligible for a job referral by the union, and has earned at least half of his or her base period earnings through the union, may be eligible for a deferral. If a deferral is granted to a union member, it shall not be extended beyond the mid-point of the claim unless the claimant can demonstrate a reasonable expectation of obtaining employment through the union.

(ii) If the claimant is not in deferred status because the claimant did not earn at least 50 percent of his or her base period wage credits in employment as a union member, or the deferral has ended, the claimant must meet the requirements of an active, good faith work search by contacting employers in addition to contacts with the union. This work search is required even though unions may have regulations and rules which penalize members for making independent contacts to try to find work or for accepting nonunion employment.

A claimant who has an attachment to a prior employer and reasonable assurance of returning to full-time employment within ten weeks of filing or reopening a claim may have the work registration requirement deferred to the expected date of recall. A claimant is presumed to have reasonable assurance of employment if he or she previously worked for the employer and there has been no change in the conditions of his or her employment which would indicate severance of the employment relationship. The deferral should generally not extend longer than ten weeks. To extend beyond ten weeks, the claimant must have earned at least half of his or her base period earnings with the employer in question and the employer must submit a request to the department.

(d) Three Week Deferral.

A claimant who accepts a definite offer of full-time work to begin within three weeks, shall be deferred for that period.

(e) Seasonal.

A claimant may be deferred when, due to seasonal factors, work is not available in the claimant's primary base period occupation and other suitable work is not available in the area.

(f) Department approval.

If Department approval is granted under the elements of R994-403-202, the claimant will be placed in deferred status once the training begins and will not be required to register for work or to seek and accept work. The deferral also applies to break periods between successive terms as long as the break period is four weeks or less. A claimant must make a work search prior to the onset of training, even if the claimant has been advised that the training has been approved.

(2) Deferrals cannot be granted if prohibited by state or federal law for certain benefit programs.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-109b Profiled Claimants

(1) The Department will identify individuals who are likely to exhaust unemployment benefits through a profiling system and require that they participate in reemployment services. These services may include job search workshops, job placement services, counseling, testing, and assessment.

(2) In order to avoid disqualification for failure to participate in reemployment services, the claimant must show good cause for nonparticipation. Good cause is limited to circumstances where the claimant can show that the reasons for the delay in filing were due to circumstances beyond the claimant's control or were compelling and reasonable.

(3) Failure to participate in reemployment services without good cause will result in a denial of benefits beginning with the week the claimant refuses or fails to attend scheduled services and continuing until the week the claimant participates in the required reemployment service.

(4) Some reasons for good cause for nonparticipation may raise other eligibility issues.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-110c Able and Available - General Definition

(1) The primary obligation of the claimant is to become reemployed. A claimant may meet all of the other eligibility criteria but, if the claimant cannot demonstrate ability, availability, and an active good faith effort to obtain work, benefits cannot be allowed.

(2) A claimant must be attached to the labor force, which means the claimant can have no encumbrances to the immediate acceptance of full-time work. The claimant must:

(a) be actively engaged in a good faith effort to obtain employment; and

(b) have the necessary means to become employed including tools, transportation, licenses, and childcare if necessary.

(3) The continued unemployment must be due to the lack of suitable job opportunities.

(4) The only exception to the requirement that a claimant actively seek work is if the Department has approved schooling under Section 35A-4-403(2) and the claimant meets the requirements of R994-403-107b.

(5) The only exception to the requirements that the claimant be able to work and actively seeking full-time work are that the claimant meets the requirements of R994-403-111c(6).

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-111c Able

(1) The claimant must have no physical or mental health limitation which would preclude immediate acceptance of full-time work. A recent history of employment is one indication of a claimant's ability to work. If there has been a change in the claimant's physical or mental capacity since his or her last employment, there is a presumption of inability to work which the claimant must overcome by competent evidence. The claimant must show that there is a reasonable likelihood that jobs exist which the claimant is capable of performing before unemployment insurance benefits can be allowed. Pregnancy is treated the same as other physical limitations.

(2) For purposes of determining weekly eligibility for benefits, it is presumed a claimant who is not able to work more than one-half the normal workweek will be considered not able to perform full-time work. The normal workweek means the normal workweek in the claimant's occupation. A claimant will be denied under this section for any week in which the claimant refuses suitable work due to an inability to work, regardless of the length of time the claimant is unable to work.

(a) Past Work History.

Benefits will not be denied solely on the basis of a physical or mental health limitation if the claimant earned base period wages while working with the limitation and is:

(i) willing to accept any work within his or her ability;

(ii) actively seeking work consistent with the limitation; and

(iii) otherwise eligible.

Under these circumstances, the unemployment is considered to be due to a lack of employment opportunities and not due to an inability to work.

(b) Medical Verification.

When an individual has a physical or mental health limitation, medical information from a competent health care provider is one form of evidence used to determine the claimant's ability to work. The provider's opinion is presumed to be an accurate reflection of the claimant's ability to work, however, the provider's opinion may be overcome by other competent evidence. The Department will determine if medical verification is required.

(3) Temporary Disability.

(a) Employer Attached.

A claimant is not eligible for benefits if the claimant is not able to work at his or her regular job due to a temporary disability and the employer has agreed to allow the claimant to return to the job when he or she is able to work. In this case, the claimant's unemployment is due to an inability to work rather than lack of available work. The claimant is not eligible for benefits even if there is other work the claimant is capable of performing with the disability. If a claimant is precluded from working due to Federal Aviation Administration regulations because of pregnancy, and the employer has agreed to allow the claimant to return to the job, the claimant is considered to be on a medical leave of absence and is not eligible for benefits.

(b) No Employer Attachment.

If the claimant has been separated from employment with no expectation of being allowed to return when he or she is again able to work, or the temporary disability occurred after becoming unemployed, benefits may be allowed even though the claimant cannot work in his or her regular occupation if the claimant can show there is work the claimant is capable of performing and for which the claimant reasonably could be hired. The claimant must also meet other eligibility requirements including making an active work search.

(4) Hospitalization.

A claimant is unable to work if hospitalized unless the hospitalization is on an out-patient basis or the claimant is in a rehabilitation center or care facility and there is independent verification that the claimant is not restricted from immediately working full-time. Immediately following hospitalization, a rebuttable presumption of physical inability continues to exist for the period of time needed for recuperation.

(5) Workers' Compensation.

(a) Compensation for Lost Wages.

A claimant is not eligible for unemployment benefits while receiving temporary total disability workers' compensation benefits.

(b) Subsequent Awards.

The Department may require that a claimant who is receiving permanent partial disability benefits from workers' compensation show that he or she is able and available for full-time work and can reasonably expect to obtain full-time work even with the disability.

(6) Physical or Mental Health Limitation.

(a) A claimant who is not able to work full-time due to a physical or mental health limitation, may be considered eligible under this rule if:

(i) the claimant's base period employment was limited to part-time because of the claimant's physical or mental health limitations;

(ii) the claimant's prior part-time work was substantial. Substantial is defined as at least 50 percent of the hours customarily worked in the claimant's occupation;

(iii) the claimant is able to work at least as many hours as he or she worked prior to becoming unemployed;

(iv) there is work available which the claimant is capable of performing; and

(v) the claimant is making an active work search.

(b) The Department may require that the claimant establish ability by competent evidence.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-112c Available

(1) General Requirement.

The claimant must be available for full-time work. Any restrictions on availability, such as lack of transportation, domestic problems, school attendance, military obligations, church or civic activities, whether self-imposed or beyond the control of the claimant, lessen the claimant's opportunities to obtain suitable full-time work.

(2) Activities Which Affect Availability.

It is not the intent of the act to subsidize activities which interfere with immediate reemployment. A claimant is not considered available for work if the claimant is involved in any activity which cannot be immediately abandoned or interrupted so that the claimant can seek and accept full-time work.

(a) Activities Which May Result in a Denial of Benefits.

For purposes of establishing weekly eligibility for benefits, a claimant who is engaged in an activity for more than half the normal workweek that would prevent the claimant from working, is presumed to be unavailable and therefore ineligible for benefits. The normal workweek means the normal workweek in the claimant's occupation. This presumption can be overcome by a showing that the activity did not preclude the immediate acceptance of full-time work, referrals to work, contacts from the Department, or an active search for work. When a claimant is away from his or her residence but has made arrangements to be contacted and can return quickly enough to respond to any opportunity for work, the presumption of unavailability may be overcome. The conclusion of unavailability can also be overcome in the following circumstances:

(i) Definite Offer of Work or Recall.

If the claimant has accepted a definite offer of full-time employment or has a date of recall to begin within three weeks, the claimant does not have to demonstrate further availability except as provided in subparagraphs (B) and (C) of this section and is not required to seek other work. Because the statute requires that a claimant be able to work, if a claimant is unable to work for more than one-half of any week due to illness or hospitalization, benefits will be denied.

(ii) Jury Duty or Court Attendance.

Jury duty or court attendance is a public duty required by law and a claimant will not be denied benefits if he or she is unavailable because of a lawfully issued summons to appear as a witness or to serve on a jury unless the claimant:

(A) is a party to the action;

(B) had employment which he or she was unable to continue or accept because of the court service; or

The time spent in court service is not a personal service performed under a contract of hire and therefore is not considered employment.

(b) Activities Which Will Result in a Denial of Benefits.

(i) Refusal of Work.

When a claimant refuses any suitable work, the claimant is considered unavailable. Even though the claimant had valid reasons for not accepting the work, benefits will not be allowed for the week or weeks in which the work was available. Benefits are also denied when a claimant fails to be available for job referrals or a call to return to work under reasonable conditions consistent with a previously established work relationship. This includes referral attempts from a temporary employment service, a school district for substitute teaching, or any other employer for which work is "on-call."

(ii) Failure to Perform All Work During the Week of Separation.

(A) Benefits will be denied for the week in which separation from employment occurs if the claimant's unemployment was caused because the claimant was not able or available to do his or her work. In this circumstance, there is a presumption of continued inability or unavailability and an indefinite disqualification will be assessed until there is proof of a change in the conditions or circumstances.

(B) If the claimant was absent from work during the last week of employment and the claimant was not paid for the day or days of absence, benefits will be denied for that week. The claimant will be denied benefits under this section regardless of the length of the absence.

(3) Hours of Availability.

(a) Full-Time.

Except as provided in R994-403-111c(5), in order to meet the availability requirement, a claimant must be ready and willing to immediately accept full-time work. Full-time work generally means 40 hours a week but may vary due to customary practices in an occupation. If the claimant was last employed less than full-time, there is a rebuttable presumption that the claimant continues to be available for only part-time work.

(b) Other Than Normal Work Hours.

If the claimant worked other than normal work hours and the work schedule was adjusted to accommodate the claimant, the claimant cannot continue to limit his or her hours of availability even if the claimant was working 40 hours or more. The claimant must be available for full-time work during normal work hours as is customary for the industry.

(4) Type of Work and Wage Restrictions.

(a) The claimant must be available for work that is considered suitable based on the length of time he or she has been unemployed as provided in R994-405-306.

(b) Contract Obligation.

If a claimant is restricted due to a contractual obligation from competing with a former employer or accepting employment in the claimant's regular occupation, the claimant is not eligible for benefits unless the claimant can show that he or she:

(i) is actively seeking work outside the restrictions of the noncompete contract;

(ii) has the skills and/or training necessary to obtain that work; and

(iii) can reasonably expect to obtain that employment.

(5) Employer/Occupational Requirements.

If the claimant does not have the license or special equipment required for the type of work the claimant wants to obtain, the claimant cannot be considered available for work unless the claimant is actively seeking other types of work and has a reasonable expectation of obtaining that work.

(6) Temporary Availability.

When an individual is limited to temporary work because of anticipated military service, school attendance, travel, church service, relocation, a reasonable expectation of recall to a former employer for which the claimant is not in deferral status, or any other anticipated restriction on the claimant's future availability, availability is only established if the claimant is willing to accept and is actively seeking temporary work. The claimant must also show there is a realistic expectation that there is temporary work in the claimant's occupation, otherwise the claimant may be required to accept temporary work in another occupation. Evidence of a genuine desire to obtain temporary work may be shown by registration with and willingness to accept work with temporary employment services.

(7) Distance to Work.

(a) Customary Commuting Patterns.

A claimant must show reasonable access to public or private transportation, and a willingness to commute within customary commuting patterns for the occupation and community.

(b) Removal to a Locality of Limited Work Opportunities.

A claimant who moves from an area where there are substantial work opportunities to an area of limited work opportunities must demonstrate that the new locale has work for which the claimant is qualified and which the claimant is willing to perform. If the work is so limited in the new locale that there is little expectation the claimant will become reemployed, the continued unemployment is the result of the move and not the failure of the labor market to provide employment opportunities. In that case, the claimant is considered to have removed himself or herself from the labor market and is no longer eligible for benefits.

(8) School.

(a) A claimant attending school who has not been granted Department approval for a deferral must still meet all requirements of being able and available for work and be actively seeking work. Areas that need to be examined when making an eligibility determination with respect to a student include reviewing a claimant's work history while attending school, coupled with his or her efforts to secure full-time work. If the hours of school attendance conflict with the claimant's established work schedule or with the customary work schedule for the occupation in which the claimant is seeking work, a rebuttable presumption is established that the claimant is not available for full-time work and benefits will generally be denied. An announced willingness on the part of a claimant to discontinue school attendance or change his or her school schedule, if necessary, to accept work must be weighed against the time already spent in school as well as the financial loss the claimant may incur if he or she were to withdraw.

(b) A presumption of unavailability may also be raised if a claimant moves, for the purpose of attending school, from an area with substantial labor market to a labor market with more limited opportunities. In order to overcome this presumption, the claimant must demonstrate there is full-time work available in the new area which the claimant could reasonably expect to obtain.

(9) Employment of Youth.

Title 34, Chapter 23 of the Utah Code imposes limitations on the number of hours youth under the age of 16 may work. The following limitations do not apply if the individual has received a high school diploma or is married. Claimants under the age of 16 who do not provide proof of meeting one of these exceptions are under the following limitations whether or not in student status because they have a legal obligation to attend school. Youth under the age of 16 may not work:

(a) during school hours except as authorized by the proper school authorities;

(b) before or after school in excess of 4 hours a day;

(d) in excess of 8 hours in any 24-hour period; or

(e) more than 40 hours in any week.

(10) Domestic Obligations.

When a claimant has an obligation to care for children or other dependents, the claimant must show that arrangements for the care of those individuals have been made for all hours that are normally worked in the claimant's occupation and must show a good faith, active work search effort.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-113c Work Search

(1) General Requirements.

Unless the claimant qualifies for a work search deferral pursuant to R994-403-108b, a claimant must make an active, good faith effort to secure employment each and every week for which benefits are claimed. Efforts to find work must be judged by the standards of the occupation and the community.

(2) Active.

An active effort to look for work means that the claimant must make a minimum of four new job contacts each week unless the claimant is otherwise directed by the unemployment division. Those contacts should be made with employers that hire people in the claimant's occupation or occupations for which the claimant has work experience or would otherwise be qualified and willing to accept employment. If the claimant fails to make four new job contacts during the first week filed, involvement in job development activities that are likely to result in employment will be accepted as reasonable, active job search efforts.

(3) Good Faith.

Good faith efforts are defined as those methods which a reasonable person, anxious to return to work, would make if desirous of obtaining employment. A good faith effort extends beyond simply making a specific number of contacts to satisfy the Department requirement.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-114c Claimant's Obligation to Prove Weekly Eligibility

The claimant:

(1) has the burden of proving that he or she is able, available, and actively seeking full-time work:

(2) must report any information that might affect eligibility;

(3) must provide any information requested by the Department which is required to establish eligibility;

(4) must immediately notify the Department if the claimant is incarcerated; and

(5) must keep a detailed record of his or her weekly job contacts so that the Department can verify the contact at any time for an audit or eligibility review. A detailed record includes the following information:

(a) the date of the contact,

(b) the name of the employer or other identifying information such as a job reference number,

(c) employer contact information such as the employer's mailing address, phone number, email address, or website address, and name of the person contacted if available,

(d) details of the position for which the claimant applied,

(e) method of contact, and

(f) results of the contact.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-115c Period of Ineligibility

(1) Eligibility for benefits is established on a weekly basis. If the Department has determined that the claimant is not able or available for work, and it appears the circumstances will likely continue, an indefinite disqualification will be assessed, and the claimant must requalify by showing that he or she is able and available for work.

(2) If the Department has reason to believe a claimant has not made a good faith effort to seek work, or the Department is performing a routine audit of a claim, the Department can only require that the claimant provide proof of work search activities for the four weeks immediately preceding the Department's request. However, if the claimant admits he or she did not complete the work search activities required under this rule, the Department can disqualify a claimant for more than four weeks. The claimant will be disqualified for any week during which he or she fails to provide the information required under R994-403-114c(5).

(3) If the Department seeks verification of a job contact from an employer, the claimant will only be disqualified if the employer provides clear and convincing evidence that there was no contact.

(4) The claimant will be disqualified for all weeks in which it is discovered that the claimant was not able or available to accept work without regard to the four-week limitation.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-116e Eligibility Determinations: Obligation to Provide Information

(1) The Department cannot make proper determinations regarding eligibility unless the claimant and the employer provide correct information in a timely manner. Claimants and employers therefore have a continuing obligation to provide any and all information and verification which may affect eligibility.

(2) Providing incomplete or incorrect information will be treated the same as a failure to provide information if the incorrect or insufficient information results in an improper decision with regard to the claimant's eligibility.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-117e Claimant's Responsibility

(1) The claimant must provide all of the following:

(a) his or her correct name, social security number, citizenship or alien status, address and date of birth;

(b) the correct business name and address for each base period employer and for each employer subsequent to the base period;

(c) information necessary to determine eligibility or continuing eligibility as requested on the initial claim form, or on any other Department form including work search information. This includes information requested through the use of an interactive voice response system or the Internet;

(d) the reasons for the job separation from base period and subsequent employers when filing a new claim, requalifying for a claim, or any time the claimant is separated from employment during the benefit year. The Department may require a complete statement of the circumstances precipitating the separation; and

(e) any other information requested by the Department. The Claimant is required to return telephone calls and respond to requests that are made electronically, verbally, or by U.S. Mail. Generally, claimants will be given 48 hours, excluding hours during weekends or legal holidays, to respond to requests made verbally or electronically and five (5) full business days to respond to requests mailed through the U. S. Mail.

(2) Claimants are also required to report, at the time and place designated, for an in-person interview with a Department representative if so requested.

(3) By filing a claim for benefits, the claimant has given consent to the employer to release to the Department all information necessary to determine eligibility even if the information is confidential.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-118e Disqualification Periods if a Claimant Fails to Provide Information

(1) A claimant is not eligible for benefits if the Department does not have sufficient information to determine eligibility. Except as provided in subsection (5) of this section, a claimant who fails to provide necessary information without good cause is disqualified from the receipt of unemployment benefits until the information is received by the Department. Good cause is limited to circumstances where the claimant can show that the reasons for the delay in filing were due to circumstances beyond the claimant's control or were compelling and reasonable.

(2) If insufficient or incorrect information is provided when the initial claim is filed, the disqualification will begin with the effective date of the claim.

(3) If a potentially disqualifying issue is identified as part of the weekly certification process and the claimant fails to provide the information requested by the Department, the disqualification will begin with the Sunday of the week for which eligibility could not be determined.

(4) If insufficient or incorrect information is provided as part of a review of payments already made, the disqualification will begin with the week in which the response to the Department's request for information is due.

(5) The disqualification will continue through the Saturday prior to the week in which the claimant provides the information. The denial can be waived if the Department determines the claimant complied within 7 calendar days of the date the decision was issued.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-119e Overpayments Resulting from a Failure to Provide Information

(1) Any overpayment resulting from the claimant's failure to provide information, or based on incorrect information provided by the claimant, will be assessed as a fault overpayment in accordance with Subsection 35A-4-406(4) or as a fraud overpayment in accordance with Subsection 35A-4-405(5).

(2) Any overpayment resulting from the employer's failure to provide information will be assessed as a nonfault overpayment in accordance with Subsection 35A-4-406(5).

(3) If more than one party was at fault in the creation of an overpayment, the overpayment will be assessed as:

(a) a fraud or fault overpayment if the claimant was more at fault than the other parties; or

(b) a nonfault overpayment if the employer and/or the Department was more at fault, or if the parties were equally at fault.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-120e Employer's Responsibility

Employers must provide wage, employment, and separation information and complete all forms and reports as requested by the Department. The employer also must return telephone calls from Department employees in a timely manner and answer all questions regarding wages, employment, and separations.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-121e Penalty for the Employer's Failure to Comply

(1) A claimant has the right to have a claim for benefits resolved quickly and accurately. An employer's failure to provide information in a timely manner results in additional expense and unnecessary delay.

(2) If an employer or agent fails to provide adequate information in a timely manner without good cause, the ALJ will determine on appeal that the employer has relinquished its rights with regard to the affected claim and is no longer a party in interest. The employer's appeal will be dismissed and the employer is liable for benefits paid.

(3) The ALJ may, in his or her discretion, choose to exercise continuing jurisdiction with respect to the case and subpoena or call the employer and claimant as witnesses to determine the claimant's eligibility. If, after reaching the merits, the ALJ determines to reverse the initial decision and deny benefits, the employer is not eligible for relief of charges resulting from benefits overpaid to the claimant prior to the date of the ALJ's decision.

(4) In determining whether to exercise discretion and reach the merits, the ALJ may take into consideration:

(a) the flagrancy of the refusal or failure to provide complete and accurate information. An employer's or agent's refusal to provide information at the time of the initial Department determination on the grounds that it wants to wait and present its case before an ALJ, for instance, will be subject to the most severe penalty;

(b) whether or not the employer or agent has failed to provide complete and accurate information in the past or on more than one case; and

(c) whether the employer is represented by counsel or a professional representative. Counsel and professional representatives are responsible for knowing Department rules and are therefore held to a higher standard.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-122e Good Cause for Failure to Comply

If the employer or claimant has good cause for failing to provide the information in the time frame requested, no disqualification or penalty will be assessed. Good cause is limited to circumstances where the claimant or employer can show that the reasons for the delay in filing were due to circumstances that were compelling and reasonable or beyond the party's control.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-123 Obligation of Department Employees

Employees of the Department are obligated, regardless of when the information is discovered, to bring to the attention of the proper Department representatives any information that may affect a claimant's eligibility for unemployment insurance benefits or information affecting the employer's contributions.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-201 Department Approval for School Attendance - General Definition

(1) Unemployment insurance is not intended to subsidize schooling. However, it is recognized that training may be a practical way to reduce chronic and persistent unemployment due to a lack of work skills, job obsolescence or foreign competition. Even though the claimant is granted Department approval, the claimant must still be able to work. With Department approval, a claimant meets the availability requirement based on his or her school attendance and successful performance. With the exception of very short-term training, Department approval is intended for classroom training as opposed to on-the-job training. Department approval is to be used selectively and judiciously. It is not to be used as a substitute for selective placement, job development, on-the-job training, or other available programs.

(2) If a claimant is ineligible under 35A-4-403(1)(c) due to school attendance, Department approval will be considered.

(3) Department approval will be granted when required by state or federal law for specific training programs.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-202 Qualifying Elements for Approval of Training

All of the following nine elements must be satisfied for a claimant to qualify for Department approval of training. Some of these elements will be waived or modified when required by state or federal law for specific training programs.

(1) The claimant's unemployment is chronic or persistent, or likely to be chronic or persistent, due to any one of the following three circumstances:

(a) A lack of basic work skills. A lack of basic work skills may not be established unless a claimant:

(i)(A) has a history of repeated unemployment attributable to lack of skills and has no recent history of employment earning a wage substantially above the federal minimum wage or

(B) qualifies for Department sponsored training because the claimant meets the eligibility requirements for public assistance;

(ii) has had no formal training in occupational skills;

(iii) does not have skills developed over an extended period of time by training or experience; and

(iv) does not have a marketable degree from an institution of higher learning; or

(b) a change in the marketability of the claimant's skills has resulted due to new technology, or major reductions within an industry; or

(c) inability to continue working in occupations using the claimant's skills due to a verifiable, permanent physical or emotional disability,

(2) a claimant must have a reasonable expectation for success as demonstrated by:

(a) an aptitude for and interest in the work the claimant is being trained to perform, or course of study the claimant is pursuing; and

(b) sufficient time and financial resources to complete the training.

(3) The training is provided by an institution approved by the Department.

(4) The training is not available except in school. For example, on-the-job training is not available to the claimant.

(5) The length of time required to complete the training should generally not extend beyond 24 months.

(6) The training should generally be vocationally oriented unless the claimant has no more than two terms, quarters, semesters, or similar periods of academic training necessary to obtain a degree.

(7) There is a reasonable expectation of employment following completion of the training. Reasonable expectation means the claimant will find a job using the skills and education acquired while in training pursuant to a fair and objective projection of job market conditions expected to exist at the time of completion of the training.

(8) A claimant did not leave work to attend school even if the employer required the training for advancement or as a condition of continuing employment.

(9) The schooling is full-time, as defined by the training facility.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-203 Extensions of Department Approval

Initial approval shall be granted, for the school term beginning with the week in which the attendance began, or the effective date of the claim, whichever is later. The Department may extend the approval if the claimant establishes proof of:

(1) satisfactory attendance;

(2) passing grades;

(3) continuance of the same course of study and classes originally approved; and

(4) compliance with all other qualifying elements.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-204 Availability Requirements When Approval is Granted

(1) The work search and registration requirements for a claimant who is granted Department approval are found in R994-403-108b(1)(f). Once the claimant is actually in training, benefits will not be denied when work is refused as satisfactory attendance and progress in school serves as a substitute for the availability requirements of the act.

(2) Absences from school will not necessarily result in a denial of benefits during those weeks the claimant can demonstrate he or she is making up any missed school work and is still making satisfactory progress in school. Satisfactory progress is defined as passing all classes with a grade level sufficient to qualify for graduation, licensing, or certification, as appropriate.

(3) A disqualification will be effective with the week the claimant knew or should have known he or she was not going to receive a passing grade in any of his or her classes or was otherwise not making satisfactory progress in school. It is the claimant's responsibility to immediately report any information that may indicate a failure to maintain satisfactory progress.

(4) The claimant must attend school full-time as defined by the educational institution. If a claimant discontinues school attendance, drops or changes any classes before the end of the term, Department approval may be terminated immediately. However, discontinuing a class that does not reduce the school credits below full-time status will not result in the termination of Department approval. Department approval may be reinstated during any week a claimant demonstrates, through appropriate verification, the claimant is again attending class regularly and making satisfactory progress.

(5) Notwithstanding any other provisions of this section, if the claimant was absent from school for more than one- half of the workweek due to illness or hospitalization, the claimant is considered to be unable to work and unemployment benefits will be denied for that week. A claimant has the responsibility to report any sickness, injury, or other circumstances that prevented him or her from attending school.

(6) A claimant is ineligible for Department approval if the claimant is retaking a class that was originally taken while receiving benefits under Department approval. However, if Department approval was denied during the time the course was originally in progress, approval may be reinstated to cover that portion of the course not previously subsidized if the claimant can demonstrate satisfactory progress.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-205 Short-Term Training

Department approval may be granted even though a claimant has marketable skills and does not meet the requirements for Department approval as defined in R994-403-202 if the entire course of training is no longer than eight weeks and will enhance the claimant's employment prospects. A claimant will not be granted a waiver for training that is longer than eight weeks even if the claimant needs only eight weeks or less to complete the training. This is intended as a one-time approval per benefit year and may not be extended beyond eight weeks.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-301 Requirements for Special Benefits

Some benefit programs, including Extended Benefits, have different availability and work search requirements. The rule governing work search for Extended Benefits is R994-402. Other special programs are governed by the act or federal law.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

Utah Admin. Code R994-403-302 Foreign Travel

(1) Benefits will not be denied if the claimant is required to travel to seek, apply for, or accept work within the United States or in a foreign country where the claimant has authorization to work and where there is a reciprocal agreement. The trip itself must be for the purpose of obtaining work. There is a rebuttable presumption that the claimant is not available for work when the trip is extended to accommodate the claimant's personal needs or interests, and the extension is for more than one-half of the workweek.

(2) Unemployment benefits cannot be paid to a claimant located in a foreign country unless the claimant has authorization to work there and there is a reciprocal agreement concerning the payment of unemployment benefits with that foreign country.

(3) Unemployment benefits are intended, in part, to stimulate the economy of Utah and the United States and thus are expected to be spent in this country. A claimant who travels to a foreign country must report to the Department that he or she is out of the country, even if it is for a temporary purpose and regardless of whether the claimant intends to return to the United States if work becomes available. Failure to inform the Department will result in a fraud overpayment for the weeks benefits were paid while the claimant was in a foreign country. The claimant may be eligible if the travel is to Canada but must notify the Department of that travel. Canada is the only country with which Utah has a reciprocal agreement. If the claimant travels to, but is not eligible to work in, Canada and fails to notify the Department of the travel, it will result in a fraud overpayment for the weeks benefits were paid while the claimant was in Canada.

History

KEY: filing deadlines, registration, student eligibility, unemployment compensation
Date of Last Change: May 1, 2019
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-403(1)

R994-404 Payments Following Workers' Compensation

Utah Admin. Code R994-404-101 Claimants Who Qualify for an Adjustment to the Base Period

(1) A claimant who did not work due to a work-related illness or injury may qualify for an adjusted base period if each of the following elements is satisfied.

(a) The claimant received temporary total disability (TTD) compensation for the illness or injury under the workers' compensation or occupational disease laws of this state or under federal law.

(b) The claimant received TTD for at least seven full weeks during the base period immediately preceding the effective date of the claim. The base period may be either the first four of the last five completed calendar quarters or the last four completed calendar quarters as provided in Section R994-404-104. The weeks during which the claimant received TTD need not be consecutive.

(c) The initial claim for unemployment insurance benefits was filed no later than 90 calendar days after the claimant was released by the claimant's health care provider to return to full-time work, not including release to limited or light duty work. The effective date of the eligible claim must be within the 90 days regardless of the date on which the claimant contacts the Department to file a claim. For example, if the 90th day falls on Wednesday and the claimant files a claim on Thursday, the effective date of the claim would be Sunday of that calendar week and would fall within the 90-day limitation period.

(d) The initial claim for unemployment insurance benefits was filed within 36 months of the week the covered injury or illness occurred. The covered injury may be the initial injury or an event such as a re-injury that caused the claimant to go back on TTD.

(2) Wages previously used to establish a benefit year may not be re-used.

History

KEY: unemployment compensation, workers' compensation
Date of Last Change: February 17, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-404

Utah Admin. Code R994-404-102 Good Cause for Late Filing

(1) Good cause for not filing within the 90-day period may be established if:

(a) the claimant contested the release to work date by filing for a hearing with the appropriate administrative agency and there was no substantial delay between the date of the decision of the agency and the filing of the claim;

(b) the delay in filing was due to circumstances beyond the claimant's control;

(d) the claimant returned to work immediately after receiving a release from the claimant's health care provider and there was no substantial delay between the time the employment ended and the filing of the claim.

(2) A lack of knowledge about the wage freeze provisions due to the claimant's failure to ask or the employer's failure to provide information does not establish good cause for failure to file within the 90-day period.

History

KEY: unemployment compensation, workers' compensation
Date of Last Change: February 17, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-404

Utah Admin. Code R994-404-103 The Effective Date of the Claim

The effective date of the claim for benefits is the Sunday of the week in which the claimant submits an application for benefits. Although the Act provides for the use of an alternate benefit year, it does not extend coverage to the weeks that were not filed timely in accordance with Subsection 35A-4-403(1)(a).

History

KEY: unemployment compensation, workers' compensation
Date of Last Change: February 17, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-404

Utah Admin. Code R994-404-104 Adjustment of the Base Period

(1) The claimant may file a claim using wages paid during the first four of the last five completed calendar quarters immediately preceding the effective date of the claim or the first four of the last five completed calendar quarters before the date the claimant left work due to the illness or injury.

(2) If a claimant does not qualify under either base period described in Subsection R994-404-104(1), and the claim is effective on or after January 2, 2011, the claimant may use the four completed calendar quarters immediately preceding the effective date of the claim or the four completed calendar quarters immediately before the date the claimant left work due to the illness or injury.

History

KEY: unemployment compensation, workers' compensation
Date of Last Change: February 17, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-404

R994-405 Ineligibility for Benefits

Utah Admin. Code R994-405-1 Determining the Reason for Separation

When a job ends and a claim is filed, the Department must determine the reason for the separation. If there is more than one separation from the same employer, eligibility for benefits will be based on the reason for the last separation occurring prior to the date the claim is filed. However, an existing prior denial of benefits which resulted in a disqualification based on a prior separation from the same employer, will continue until the claimant has earned six times the weekly benefit amount on the claim in which the disqualification took place.) Charge decisions will also be made on the last separation as provided in rule R994-307-101(1)(a)(i). A separation decision will be made and may affect eligibility even if the employer is not covered by the Act except no separation decision will be made on noncovered self employment cases.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-2 Separations From a Temporary Help Company (THC)

(1) THC is defined in R994-202-102. Because the THC is the employer, eligibility for benefits of employees of a THC and the THC's liability for claims is based on the reason for the separation from the THC and not the reason for the separation from the client company. Once the Department determines the type of separation, it will then use the following rules to determine eligibility:

(a) R994-405-101 et seq. for a voluntary quit;

(b) R994-405-201 et seq. for a discharge or reduction of force;

(2) If there is no contact between the claimant and the THC within a reasonable period of time after the assignment ends, the separation is considered a voluntary quit. A reasonable period of time is generally considered to be whatever is stipulated in the employment contract between the claimant and the THC but must be at least two business days.

(a) If it is an initial or reopened claim, the contact must be before the claim is filed or it is considered a voluntary quit.

(b) If the THC informs the claimant about the end of an assignment, the requirement for contact is considered to have been satisfied.

(3) If the claimant and the THC have the required contact and:

(a) the THC is willing to send the claimant out on future assignments, but no new work is offered, the separation is considered a reduction of force;

(b) the THC refuses to send the claimant out on any future assignments, the separation is considered a discharge;

(c) the THC suspends the claimant from future assignments for a specific period of time, the separation will be adjudicated as a discharge if the claimant files a claim during the suspension period. If the claim is filed after the suspension period is over, and no new work has been offered, the separation is considered a reduction of force; or

(d) the claimant refuses an offer for a new assignment, the job separation is a quit if the new assignment is similar to his or her previous assignments. The separation is a reduction of force and an offer of new work if the new assignment is substantially different from the previous assignments. The elements listed in R994-405-306 should be considered in determining if the new assignment is similar to past assignments.

(i) If the only work available is the assignment the claimant just left and the claimant refuses to return to that assignment, the separation is considered a voluntary quit.

(ii) If the claimant is no longer able to perform the type of work previously performed for the THC and the THC agrees to send the claimant out on work he or she is able to do when it is available, the separation is considered a quit and the THC may be eligible for relief of charges.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-3 Professional Employer Organizations (PEO)

(1) PEO is defined in R994-202-106 and must be licensed pursuant to Sections 31A-40-301 through 306. PEOs are also known as employee leasing companies. PEOs are treated differently from a THC because the assignments are usually not of a temporary nature.

(2) When a client company contracts with a PEO, the PEO becomes the employer of the client company's employees. Because the client company is no longer the employer, a job separation has occurred. The job separation is a reduction of force and the client company is not eligible for relief of charges.

(3) When the contract between a PEO and a client company ends, a separation occurs. Regardless of the circumstances or which entity is the moving party, the affected employees are considered separated due to a reduction of force, and the PEO is not eligible for relief of charges. Any offers of work extended to affected employees subsequent to the termination of the contract shall be considered offers of new work and shall be adjudicated in accordance with 35A-4-405(3) and R994-405-301 et seq.

(4) If the contract between the client company and the PEO remains in effect and the claimant's assignment with the client company ends, the PEO, or the client company acting on the PEO's behalf, must provide written notice to the claimant instructing the claimant to contact the PEO within a reasonable time for a new assignment. A reasonable time to contact the PEO is generally considered to be two working days after the assignment ends. The written notice must be provided to the claimant when the assignment ends and must be provided even if the PEO has a contract with the claimant requiring the claimant to contact the PEO when an assignment ends.

(5) If the PEO or client company does not provide written notice as referenced in paragraph (4) of this section, unemployment benefits will be determined based on the reason the assignment with the client company ended.

(6) If the PEO provides the notice referenced in paragraph (4) of this section and the claimant contacts the PEO as instructed and:

(a) refuses a new work assignment that is similar to the claimant's previous assignments with the PEO, the job separation is a quit. The duties, wages, hours, and conditions of the new assignment will be considered in determining if the new assignment is similar to the previous assignments.

(b) refuses a new work assignment that is substantially different from the claimant's previous assignments, the job separation is a layoff and an offer of new work.

(7) If the PEO does not intend to offer the claimant another assignment the PEO should not provide the written notice referenced in paragraph (4) of this section at the time of separation. If no notice is provided, the separation will be determined based on the reason for the separation from the client company.

(8) If the claimant does not contact the PEO after receiving notice given pursuant to paragraph (4) of this section, the job separation is a quit.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-101 Voluntary Leaving (Quit) - General Information

(1) A separation is considered voluntary if the claimant was the moving party in ending the employment relationship. A voluntary separation includes leaving existing work, or failing to return to work after:

(a) an employer attached layoff which meets the requirements for a deferral under R994-403-108b(1)(c),

(b) a suspension, or

(2) Failing to renew an employment contract may also constitute a voluntary separation.

(3) Two standards must be applied in voluntary separation cases: good cause and equity and good conscience. If good cause is not established, the claimant's eligibility must be considered under the equity and good conscience standard.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-102 Good Cause

To establish good cause, a claimant must show that continuing the employment would have caused an adverse effect which the claimant could not control or prevent. The claimant must show that an immediate severance of the employment relationship was necessary. Good cause is also established if a claimant left work which is shown to have been illegal or to have been unsuitable new work.

(1) Adverse Effect on the Claimant.

(a) Hardship.

The separation must have been motivated by circumstances that made the continuance of the employment a hardship or matter of concern, sufficiently adverse to a reasonable person so as to outweigh the benefits of remaining employed. There must have been actual or potential physical, mental, economic, personal or professional harm caused or aggravated by the employment. The claimant's decision to quit must be measured against the actions of an average individual, not one who is unusually sensitive.

(b) Ability to Control or Prevent.

Even though there is evidence of an adverse effect on the claimant, good cause will not be found if the claimant:

(i) reasonably could have continued working while looking for other employment,

(ii) had reasonable alternatives that would have made it possible to preserve the job like using approved leave, transferring, or making adjustments to personal circumstances, or,

(iii) did not give the employer notice of the circumstances causing the hardship thereby depriving the employer of an opportunity to make changes that would eliminate the need to quit. An employee with grievances must have made a good faith effort to work out the differences with the employer before quitting unless those efforts would have been futile.

(2) Illegal.

Good cause is established if the claimant was required by the employer to violate state or federal law or if the claimant's legal rights were violated, provided the employer was aware of the violation and refused to comply with the law.

(3) Unsuitable New Work.

Good cause may also be established if a claimant left new work which, after a short trial period, was unsuitable consistent with the requirements of the suitable work test in Section R994-405-306. The fact the claimant accepted a job does not necessarily make the job suitable. The longer a job is held, the more it tends to negate the argument that the job was unsuitable. After a reasonable period of time a contention the quit was motivated by unsuitability of the job is generally no longer persuasive. The Department has an affirmative duty to determine whether the employment was suitable, even if the claimant does not raise suitability as an issue.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-103 Equity and Good Conscience

(1) If the good cause standard has not been met, the equity and good conscience standard must be considered in all cases except those involving a quit to accompany, follow, or join a spouse as provided in R994-405-104. If there are mitigating circumstances, and a denial of benefits would be unreasonably harsh or an affront to fairness, benefits may be allowed under the provisions of the equity and good conscience standard if the claimant:

(a) acted reasonably.

The claimant acted reasonably if the decision to quit was logical, sensible, or practical. There must be evidence of circumstances which, although not sufficiently compelling to establish good cause, would have motivated a reasonable person to take similar action, and,

(b) demonstrated a continuing attachment to the labor market.

A continuing attachment to the labor market is established if the claimant took positive actions which could have resulted in employment during the first week subsequent to the separation and each week thereafter. An active work search, as provided in R994-403-113c, should have commenced immediately after the separation whether or not the claimant received specific work search instructions from the Department. Failure to show an immediate attachment to the labor market may not be disqualifying if it was not practical for the claimant to seek work. Some circumstances that may interfere with an immediate work search include illness, hospitalization, incarceration, or other circumstances beyond the control of the claimant provided a work search commenced as soon as practical.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-104 Quit to Accompany, Follow or Join a Spouse

(1) Except as provided in subsection (3) if a claimant quit work to join, accompany, or follow a spouse or significant other to a new locality, good cause is not established. Furthermore, the equity and good conscience standard is not to be applied in this circumstance. It is the intent of this provision to deny benefits even though a claimant may have faced extremely compelling circumstances including the cost of maintaining two households and the desire to keep the family intact. If the claimant's employment is contingent on the spouse's military assignment and the spouse is reassigned, the separation will be considered a discharge.

(2) Quitting to get married is also disqualifying as provided in R994-405-107(7)(a).

(3)(a) A claimant who quits to accompany or follow his or her spouse to a new locality can establish good cause for quitting if the claimant can show all of the following:

(i) the claimant's spouse is a member of the United States armed forces and has been relocated by a full time assignment scheduled to last at least 180 days while on active duty as defined in 10 U.S.C. Sec. 101(d)(1) or active guard or reserve duty as defined in 10 U.S.C. Sec. 101(d)(6),

(ii) it is impractical for the claimant to commute to the previous work from the new locality, and

(iii) the claimant otherwise meets and follows the eligibility and reporting requirements including R994-403- 112c(2)(a)(i).

(b) A claimant who is eligible under this subsection will be denied benefits for the limited period of time the claimant could have continued working up to 15 days before the scheduled start date of the spouse's active duty assignment as it is considered to be a failure to accept all available work as required under subsection 35A-4-403(1)(c).

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-105 Burden of Proof in a Quit

The claimant was the moving party in a voluntary separation, and is the best source of information with respect to the reasons for the quit. The claimant has the burden to establish that the elements of good cause or of equity and good conscience have been met. The failure of the claimant to provide information will not necessarily result in a ruling favorable to the employer. If the claimant quit unsuitable new work, the burden of proof as described in R994-405-308 applies.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-106 Quit or Discharge

(1) Refusal to Follow Instructions.

If the claimant refused or failed to follow reasonable requests or instructions, and knew the loss of employment would result, the separation is a quit.

(2) Leaving Prior to Effective Date of Termination.

(a) If a claimant leaves work prior to the date of an impending reduction of force, the separation is a quit. Notice of an impending layoff does not establish good cause for leaving work. However, the duration of available work may be a factor in considering whether a denial of benefits would be contrary to equity and good conscience. If the claimant is not disqualified for quitting benefits will be denied for the limited period of time the claimant could have continued working, as there was a failure to accept all available work as required under Subsection 35A-4-403(1)(c).

(b) If the claimant quit to avoid a disqualifying discharge the separation will be adjudicated as a discharge.

(3) Leaving Work Because of a Disciplinary Action.

If the disciplinary action or suspension was reasonable, leaving work rather than submitting to the discipline, or failing to return to work at the end of the suspension period, is considered a quit unless the claimant was previously disqualified as a result of the suspension.

(4) Leave of Absence.

If a claimant takes a leave of absence for any reason and files a claim while on such leave from the employer, the claimant will be considered unemployed and the separation is adjudicated as a quit, even though there still may be an attachment to the employer. If a claimant fails to return to work at the end of the leave of absence, the separation is a quit.

(5) Leaving Due to a Remark or Action of the Employer or a Coworker.

If a claimant hears rumors or other information suggesting he or she is to be laid off or discharged, the claimant has the responsibility to confirm, prior to leaving, that the employer intended to end the employment relationship. The claimant also has a responsibility to continue working until the date of an announced discharge. If the claimant failed to do so and if the employer did not intend to discharge or lay off the claimant, the separation is a quit.

(6) Resignation Intended.

(a) Quit.

If a claimant gives notice of his or her intent to leave at a future date and is paid regular wages through the announced resignation date, the separation is a quit even if the claimant was relieved of work responsibilities prior to the effective date of the resignation. A separation is also a quit if a claimant announces an intent to quit but agrees to continue working for an indefinite period as determined by the employer, even though the date of separation was determined by the employer. If a claimant resigns but later decides to stay and attempts to remain employed, the reasonableness of the employer's refusal to continue the employment is the primary factor in determining if the claimant quit or was discharged. For example, if the employer had already hired a replacement, or taken other action because of the claimant's impending quit, it may not be practical for the employer to allow the claimant to rescind the resignation, and the separation is a quit.

(b) Discharge.

If a claimant submitted a resignation to be effective at a definite future date, but was relieved of work responsibilities and was not paid regular wages through the balance of the notice period, the separation is considered a discharge as the employer was the moving party in determining the final date of employment. Merely assigning vacation pay not previously assigned to the notice period does not make the separation a quit.

(7) If an employer tells a claimant it intends to discharge the claimant but allows the claimant to stay at work until he or she finds another job and the claimant decides to leave before finding another job, the separation is a quit. Good cause may be established if it would be unreasonable to require a claimant to remain employed after the employer has expressed its intent to discharge him or her.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-107 Examples of Reasons for Quitting

(1) Prospects of Other Work.

Good cause is established if, at the time of separation, the claimant had a definite and immediate assurance of another job or self-employment that was reasonably expected to be full-time and permanent. However, if the new work is later determined to have been unsuitable and it is apparent the claimant knew, or should have known, about the unsuitability of the new work, but quit the first job and subsequently quit the new job, a disqualification will be assessed from the time the claimant quit the first job unless the claimant has purged the disqualification through earnings received while on the new job.

If, after giving notice but prior to leaving the first job, the claimant learns the new job will not be available when promised, permanent, full-time, or suitable, good cause may be established if the claimant immediately attempted to rescind the notice, unless such an attempt would have been futile.

(a) A definite assurance of another job means the claimant has been in contact with someone with the authority to hire, has been given a definite date to begin working and has been informed of the employment conditions.

(b) An immediate assurance of work generally means the prospective job will begin within two weeks from the last day the claimant was scheduled to work on the former job. Benefits will be denied for failure to accept all available work from the prior employer under the provisions of Subsection 35A-4-403(1)(c) if the claimant files during the period between the two jobs.

(2) Reduction of Hours.

The reduction of an employee's working hours generally does not establish good cause for leaving a job. However, in some cases, a reduction of hours may result in personal or financial hardship so severe the circumstances justify leaving.

(3) Personal Circumstances.

There may be personal circumstances that are sufficiently compelling or create sufficient hardship to establish good cause for leaving work, provided the claimant made a reasonable attempt to make adjustments or find alternatives prior to quitting.

(4) Leaving to Attend School.

Although leaving work to attend school may be a logical decision from the standpoint of personal advancement, it is not compelling or reasonable, within the meaning of the Act.

(5) Religious Beliefs.

To support an award of benefits following a voluntary separation due to religious beliefs, the work must conflict with a sincerely held religious or moral conviction. If a claimant was not required to violate such religious beliefs, quitting is not compelling or reasonable within the meaning of the Act. A change in the job requirements, such as requiring an employee to work on the employee's day of religious observance when such work was not agreed upon as a condition of hire, may establish good cause for leaving a job if the employer is unwilling to make adjustments.

(6) Transportation.

If a claimant quits a job due to a lack of transportation, good cause may be established if the claimant has no other reasonable transportation options available. However, an availability issue may be raised in such a circumstance. If a move resulted in an increased distance to work beyond normal commuting patterns, the reason for the move, not the distance to the work, is the primary factor to consider when adjudicating the separation.

(7) Marriage.

(a) Marriage is not considered a compelling or reasonable circumstance, within the meaning of the Act, for quitting employment. Therefore, if the claimant quit to get married, benefits will be denied even if the new residence is beyond a reasonable commuting distance from the claimant's former place of employment.

(b) If the employer has a rule requiring the separation of an employee who marries a coworker, the separation is a discharge even if the employer allowed the couple to decide who would leave.

(8) Health or Physical Condition.

(a) Although it is not essential for the claimant to have been advised by a physician to quit, a contention that health problems required the separation must be supported by competent evidence. Even if the work caused or aggravated a health problem, if there were alternatives, such as treatment, medication, or altered working conditions to alleviate the problem, good cause for quitting is not established.

(b) If the risk to the health or safety of the claimant was shared by all those employed in the particular occupation, it must be shown the claimant was affected to a greater extent than other workers. Absent such evidence, quitting was not reasonable.

(9) Retirement and Pension.

Voluntarily leaving work solely to accept retirement benefits is not a compelling reason for quitting, within the meaning of the Act. Although it may have been reasonable for a claimant to take advantage of a retirement benefit, payment of unemployment benefits in this circumstance is not consistent with the intent of the Unemployment Insurance program, and a denial of benefits is not contrary to equity and good conscience.

(10) Sexual Harassment.

(a) A claimant may have good cause for leaving if the quit was due to discriminatory and unlawful sexual harassment, provided the employer was given a chance to take necessary action to stop the objectionable conduct. If it would have been futile to complain, as when the owner or top manager of the employer company is causing the harassment, the requirement that the employer be given an opportunity to stop the conduct is not necessary. Sexual harassment is a form of sex discrimination prohibited by Title VII of the United States Code and the Utah Anti-Discrimination Act.

(b) "Sexual harassment" means unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when:

(i) submission to the conduct is either an explicit or implicit term or condition of employment, or

(ii) submission to or rejection of the conduct is used as a basis for an employment decision affecting the person, or

(iii) the conduct has a purpose or effect of substantially interfering with a person's work performance or creating an intimidating, hostile, or offensive work environment.

(c) Inappropriate behavior which has sexual connotation but does not meet the test of sexual discrimination is insufficient to establish good cause for leaving work.

(11) Discrimination.

A claimant may have good cause for leaving if the quit was due to prohibited discrimination, provided the employer was given a chance to take necessary action to stop the objectionable conduct. If it would have been futile to complain, as when the owner or top manager of the employer company is the cause of the discrimination, the requirement that the employer be given an opportunity to stop the conduct is not necessary. It is a violation of federal law to discriminate against employees regarding compensation, terms, conditions, or privileges of employment, because of race, color, religion, sex, age or national origin; or to limit, segregate, or classify employees in any way which would deprive or tend to deprive them of employment opportunities or otherwise adversely affect their employment status because of race, color, religion, sex, age or national origin.

(12) Voluntary Acceptance of Layoff.

If the employer wishes to reduce its workforce and gives the employees the option to volunteer for the layoff, those who do volunteer are separated due to reduction of force regardless of incentives.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-108 Effective Date of Disqualification and Period of Disqualification

A disqualification based on a job separation begins the Sunday of the week in which the job separation took place. If the claimant did not file for benefits the week of the separation, the disqualification begins with the effective date of the new or reopened claim. The disqualification ends when the claimant earns requalifying wages equal to six times his or her WBA in bona fide covered employment as defined in R994-201-101(9). The WBA used to determine requalifying wages under this section is the WBA of the original claim. A disqualification that begins in one benefit year will continue into a new benefit year unless the claimant has earned requalifying wages. Severance or vacation pay cannot be used as requalifying wages.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-109 Proximate Cause in a Quit

The claimant must show a relationship between the reason or reasons for quitting both as to cause and time. If the claimant did not quit immediately after becoming aware of the adverse conditions which led to the decision to quit, a presumption arises that the claimant quit for other reasons. The presumption may be overcome by showing the delay was due to the claimant's reasonable attempts to cure the problem.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-201 Discharge - General Definition

A separation is a discharge if the employer was the moving party in determining the date the employment ended. Benefits will be denied if the claimant was discharged for just cause or for an act or omission in connection with employment, not constituting a crime, which was deliberate, willful, or wanton and adverse to the employer's rightful interest. However, not every legitimate cause for discharge justifies a denial of benefits. A just cause discharge must include some fault on the part of the claimant. A reduction of force is considered a discharge without just cause.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-202 Just Cause

To establish just cause for a discharge, each of the following three elements must be satisfied:

(1) Culpability.

The conduct causing the discharge must be so serious that continuing the employment relationship would jeopardize the employer's rightful interest. If the conduct was an isolated incident of poor judgment and there was no expectation it would be continued or repeated, potential harm may not be shown. The claimant's prior work record is an important factor in determining whether the conduct was an isolated incident or a good faith error in judgment. An employer might not be able to demonstrate that a single violation, even though harmful, would be repeated by a long-term employee with an established pattern of complying with the employer's rules. In this instance, depending on the seriousness of the conduct, it may not be necessary for the employer to discharge the claimant to avoid future harm.

(2) Knowledge.

The claimant must have had knowledge of the conduct the employer expected. There does not need to be evidence of a deliberate intent to harm the employer; however, it must be shown the claimant should have been able to anticipate the negative effect of the conduct. Generally, knowledge may not be established unless the employer gave a clear explanation of the expected behavior or had a written policy, except in the case of a violation of a universal standard of conduct. A specific warning is one way to show the claimant had knowledge of the expected conduct. After a warning the claimant should have been given an opportunity to correct the objectionable conduct. If the employer had a progressive disciplinary procedure in place at the time of the separation, it generally must have been followed for knowledge to be established, except in the case of very severe infractions, including criminal actions.

(3) Control.

(a) The conduct causing the discharge must have been within the claimant's control. Isolated instances of carelessness or good faith errors in judgment are not sufficient to establish just cause for discharge. However, continued inefficiency, repeated carelessness or evidence of a lack of care expected of a reasonable person in a similar circumstance may satisfy the element of control if the claimant had the ability to perform satisfactorily.

(b) The Department recognizes that in order to maintain efficiency it may be necessary to discharge workers who do not meet performance standards. While such a circumstance may provide a basis for discharge, this does not mean benefits will be denied. To satisfy the element of control in cases involving a discharge due to unsatisfactory work performance, it must be shown the claimant had the ability to perform the job duties in a satisfactory manner. In general, if the claimant made a good faith effort to meet the job requirements but failed to do so due to a lack of skill or ability and a discharge results, just cause is not established.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-203 Burden of Proof in a Discharge

In a discharge, the employer initiates the separation and therefore has the burden to prove there was just cause for discharging the claimant. The failure of the employer to provide information will not necessarily result in a ruling favorable to the claimant. Interested parties have the right to rebut information contrary to their interests.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-204 Quit or Discharge

The circumstances of the separation as found by the Department determine whether it was a quit or discharge. The conclusions on the employer's records, the separation notice, or the claimant's report are not controlling.

(1) Discharge Before Effective Date of Resignation.

(a) Discharge.

If a claimant notifies the employer of an intent to leave work on a definite date, and the employer ends the employment relationship prior to that date, the separation is a discharge unless the claimant is paid through the resignation date. Unless there is some other evidence of disqualifying conduct, benefits will be awarded.

(b) Quit.

If the claimant gives notice of an intent to leave work on a particular date and is paid regular wages through the announced resignation date, the separation is a quit even if the claimant was relieved of work responsibilities prior to the effective date of resignation. A separation is also a quit if a claimant announces an intent to quit but agrees to continue working for an indefinite period, even though the date of separation is determined by the employer. The claimant is not considered to have quit merely by saying he or she is looking for a new job. If a claimant resigns but later decides to stay and announces an intent to remain employed, the reasonableness of the employer's refusal to continue the employment is the primary factor in determining whether the claimant quit or was discharged. If the employer had already hired a replacement, or had taken other action because of the claimant's impending quit, it may not be practical for the employer to allow the claimant to rescind the resignation, and it would be held the separation was a quit.

(2) Leaving in Anticipation of Discharge.

If a claimant leaves work in anticipation of a possible discharge and if the reason for the discharge would not have been disqualifying, the separation is a quit. A claimant may not escape a disqualification under the discharge provisions, Subsection 35A-4-405(2)(a), by quitting to avoid a discharge that would result in a denial of benefits. In this circumstance the separation is considered a discharge.

(3) Refusal to Follow Instructions.

If the claimant refused or failed to follow reasonable requests or instructions, and knew the loss of employment would result, the separation is a quit.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-205 Disciplinary Suspension

When a claimant is placed on a disciplinary suspension, the definition of being unemployed may be satisfied. If a claimant files during the suspension period, the matter will be adjudicated as a discharge, even though the claimant may have an attachment to the employer and may expect to return to work. A suspension that is reasonable and necessary to prevent potential harm to the employer will generally result in a disqualification if the elements of knowledge and control are established. If the claimant fails to return to work at the end of the suspension period, the separation is a voluntary quit and may then be adjudicated under Subsection 35A-4-405(1), if benefits had not been previously denied.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-206 Proximate Cause - Relation of the Offense to the Discharge

(1) The cause for discharge is the conduct that motivated the employer to make the decision to discharge the claimant. If a separation decision has been made, it is generally demonstrated by giving notice to the claimant. Although the employer may learn of other offenses following the decision to terminate the claimant's services, the reason for the discharge is limited to the conduct the employer was aware of prior to making the separation decision. If an employer discharged a claimant because of preliminary evidence, but did not obtain "proof" of the conduct until after the separation notice was given, it may still be concluded the discharge was caused by the conduct the employer was investigating.

(2) If the discharge did not occur immediately after the employer became aware of an offense, a presumption arises that there were other reasons for the discharge. The relationship between the offense and the discharge must be established both as to cause and time. The presumption that a particular offense was not the cause of the discharge may be overcome by showing the delay was necessary to accommodate further investigation, arbitration or hearings related to the claimant's conduct. If a claimant files for benefits while a grievance or arbitration process is pending, the Department shall make a decision based on the best information available. The Department's decision is not binding on the grievance process nor is the decision of an arbitrator binding upon the Department. If an employer elects to reduce its workforce and uses a claimant's prior conduct as the criteria for determining who will be laid off, the separation is a reduction of force.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-207 In Connection with Employment

Disqualifying conduct is not limited to offenses that take place on the employer's premises or during business hours. However, it is necessary that the offense be connected to the employment in such a manner that it is a subject of legitimate and significant concern to the employer. Employers generally have the right to expect that employees will refrain from acts detrimental to the business or that would bring dishonor to the business name or institution. Legitimate interests of employers include: goodwill, efficiency, employee morale, discipline, honesty and trust.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-208 Examples of Reasons for Discharge

In the following examples, the basic elements of just cause must be considered in determining eligibility for benefits.

(1) Violation of Company Rules.

If a claimant violates a reasonable employment rule and just cause is established, benefits will be denied.

(a) An employer has the prerogative to establish and enforce work rules that further legitimate business interests. However, rules contrary to general public policy or that infringe upon the recognized rights and privileges of individuals may not be reasonable. If a claimant believes a rule is unreasonable, the claimant generally has the responsibility to discuss these concerns with the employer before engaging in conduct contrary to the rule, thereby giving the employer an opportunity to address those concerns. When rules are changed, the employer must provide appropriate notice and afford workers a reasonable opportunity to comply.

(b) If an employment relationship is governed by a formal employment contract or collective bargaining agreement, just cause may only be established if the discharge is consistent with the provisions of the contract.

(c) Habitual offenses may not constitute disqualifying conduct if the acts were condoned by the employer or were so prevalent as to be customary. However, if a claimant was given notice the conduct would no longer be tolerated, further violations may result in a denial of benefits.

(d) Culpability may be established if the violation of the rule did not, in and of itself, cause harm to the employer, but the lack of compliance diminished the employer's ability to maintain necessary discipline.

(e) Serious violations of universal standards of conduct do not require prior warning to support a disqualification.

(2) Attendance Violations.

(a) Attendance standards are usually necessary to maintain order, control, and productivity. It is the responsibility of a claimant to be punctual and remain at work within the reasonable requirements of the employer. A discharge for unjustified absence or tardiness is disqualifying if the claimant knew enforced attendance rules were being violated. A discharge for an attendance violation beyond the claimant's control is generally not disqualifying unless the claimant could reasonably have given notice or obtained permission consistent with the employer's rules, but failed to do so.

(b) In cases of discharge for violations of attendance standards, the claimant's recent attendance history must be reviewed to determine if the violation is an isolated incident, or if it demonstrates a pattern of unjustified absence within the claimant's control. The flagrant misuse of attendance privileges may result in a denial of benefits even if the last incident is beyond the claimant's control.

(3) Falsification of Work Record.

The duty of honesty is inherent in any employment relationship. An employee or potential employee has an obligation to truthfully answer material questions posed by the employer or potential employer. For purposes of this subsection, material questions are those that may expose the employer to possible loss, damage or litigation if answered falsely. If false statements were made as part of the application process, benefits may be denied regardless of whether the claimant would have been hired if all questions were answered truthfully.

(4) Insubordination.

An employer generally has the right to expect lines of authority will be followed; reasonable instructions, given in a civil manner, will be obeyed; supervisors will be respected and their authority will not be undermined. In determining when insubordination becomes disqualifying conduct, a disregard of the employer's rightful and legitimate interests is of major importance. Protesting or expressing general dissatisfaction without an overt act is not a disregard of the employer's interests. However, provocative remarks to a superior or vulgar or profane language in response to a civil request may constitute insubordination if it disrupts routine, undermines authority or impairs efficiency. Mere incompatibility or emphatic insistence or discussion by a claimant, acting in good faith, is not disqualifying conduct.

(5) Loss of License.

If the discharge is due to the loss of a required license and the claimant had control over the circumstances that resulted in the loss, the conduct is generally disqualifying. Harm is established as the employer would generally be exposed to an unacceptable degree of risk by allowing an employee to continue to work without a required license. In the example of a lost driving privilege due to driving under the influence (DUI), knowledge is established as it is understood by members of the driving public that driving under the influence of alcohol is a violation of the law and may be punishable by the loss of driving privileges. Control is established as the claimant made a decision to risk the loss of his or her license by failing to make other arrangements for transportation.

(6) Incarceration.

When a claimant engages in illegal activities, it must be recognized that the possibility of arrest and detention for some period of time exists. It is foreseeable that incarceration will result in absence from work and possible loss of employment. Generally, a discharge for failure to report to work because of incarceration due to proven or admitted criminal conduct is disqualifying.

(7) Abuse of Drugs and Alcohol.

(a) The Legislature, under the Utah Drug and Alcohol Testing Act, Section 34-38-1 et seq., has determined the illegal use of drugs and abuse of alcohol creates an unsafe and unproductive workplace. In balancing the interests of employees, employers and the welfare of the general public, the Legislature has determined the fair and equitable testing for drug and alcohol use is a reasonable employment policy.

(b) An employer can establish a prima facie case of ineligibility for benefits under the Employment Security Act based on testing conducted under the Drug and Alcohol Testing Act by providing the following information:

(i) A written policy on drug or alcohol testing consistent with the requirements of the Drug and Alcohol Testing Act and that was in place at the time the violation occurred.

(ii) Reasonable proof and description of the method for communicating the policy to all employees, including a statement that violation of the policy may result in discharge.

(iii) Proof of testing procedures used which would include:

(A) Documentation of sample collection, storage and transportation procedures.

(B) Documentation that the results of any screening test for drugs and alcohol were verified or confirmed by reliable testing methods.

(c) The above documentation shall be admissible as competent evidence under various exceptions to the hearsay rule, including Rule 803(6) of the Utah Rules of Evidence respecting "records of regularly conducted activity," unless determined otherwise by a court of law.

(d) A positive alcohol test result shall be considered disqualifying if it shows a blood or breath alcohol concentration of 0.08 grams or greater per 100 milliliters of blood or 210 liters of breath. A blood or breath alcohol concentration of less than 0.08 grams may also be disqualifying if the claimant worked in an occupation governed by a state or federal law that allowed or required discharge at a lower standard.

(e) Proof of a verified or confirmed positive drug or alcohol test result or refusal to provide a proper test sample is a violation of a reasonable employer rule. The claimant may be disqualified from the receipt of benefits if his or her separation was consistent with the employer's written drug and alcohol policy.

(f) In addition to the drug and alcohol testing provisions above, ineligibility for benefits under the Employment Security Act may be established through the introduction of other competent evidence.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-209 Effective Date of Disqualification

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-210 Discharge for Crime - General Definition

(1) A crime is a punishable act in violation of law, an offense against the State or the United States. Though in common usage "crime" is used to denote offenses of a more serious nature, the term "crime" as used in these sections, includes "misdemeanors". An insignificant, although illegal act, or the taking or destruction of something that is of little or no value, or believed to have been abandoned may not be sufficient to establish a crime was committed for the purposes of Subsection 35A-4- 405(2)(b), even if the claimant was found guilty of a violation of the law. Before a claimant may be disqualified under the provisions of Subsection 35A-4-405(2)(b), it must be established the claimant was discharged for a crime that:

(a) was in connection with work,

(b) involved dishonesty constituting a crime or a felony or class A misdemeanor, and

(2) Discharges that are not disqualifying under Subsection 35A-4-405(2)(b), discharge for crime, must be adjudicated under Subsection 35A-4-405(2)(a), discharge for just cause.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-211 In Connection with Work

Connection to the work is not limited to offenses that take place on the employer's premises or during business hours nor does the employer have to be the victim of the crime. However, the crime must have affected the employer's rightful interests. The offense must be connected to the employment in such a manner that it is a subject of legitimate and significant concern to the employer. Employers generally have the right to expect that employees will refrain from acts detrimental to the business or that would bring dishonor to the business name or institution. Legitimate employer interests include goodwill, efficiency, business costs, employee morale, discipline, honesty, trust and loyalty.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-212 Dishonesty or Other Disqualifying Crimes

(1) For the purposes of this subsection, dishonesty generally means theft. Theft is defined as taking property without the owner's consent. Theft also includes swindling, embezzlement and obtaining possession of property by lawful means and thereafter converting it to the taker's own use. Theft includes:

(a) obtaining or exerting unauthorized control over property;

(b) obtaining control over property by threat or deception;

(d) obtaining services from another by deception, threat, coercion, stealth, mechanical tampering or by use of a false token or device.

(2) Felonies and Class A misdemeanors are also disqualifying even if they are not theft-related such as assault, arson, or destruction of property. Whether the crime is a felony or misdemeanor is determined by the court's verdict and not by the penalty imposed.

(3) A disqualification under this Subsection 35A-4-405(2)(b) may be assessed against Utah claimants based upon equivalent convictions in other states.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-213 Admission or Conviction in a Court

(1) An admission offered to satisfy the requirements of R994-405-210(1)(c), must be a voluntary statement, verbal or written, in which a claimant acknowledges committing an act that is a violation of the law. The admission does not necessarily have to be made to a Department representative, however, the admission must have been made freely and not a false statement given under duress or made to obtain some concession.

(2) If the requirements of R994-405-210(1) have been met, a disqualification may be assessed even if no criminal charges have been filed and even if it appears the claimant will not be prosecuted. If the claimant agrees to a diversionary program as permitted by the court or enters a plea in abeyance, there is a rebuttable presumption, for the purposes of this subsection, that the claimant has admitted to the criminal act.

(3) A conviction occurs when a claimant has been found guilty by a court of committing an act in violation of the criminal code. Under Subsection 35A-4-405(2)(b), a plea of "no contest" is considered a conviction.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-214 Disqualification Period

The 52-week disqualification period for Subsection 35A-4-405(2)(b) begins the Sunday immediately preceding the discharge even if this date precedes the effective date of the claim. A disqualification which begins in one benefit year shall continue into a new benefit year until the 52-week disqualification has ended.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-215 Deletion of Wage Credits

The wage credits to be deleted are those from the employer who discharged the claimant under circumstances resulting in a denial under Subsection 35A-4-405(2)(b), "Discharge for Crime." All base period and lag period wages from this employer will be unavailable for current or future claims. Lag period wages are wages paid after the base period but prior to the effective date of the claim.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-216 Cancellations Not Allowed

If a claimant is disqualified from the receipt of unemployment benefits because he or she was discharged for a crime in connection with work, the claim will be established for 52 weeks and cannot be canceled as provided in R994-403-102a(3).

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-301 Failure to Apply for or Accept Suitable Work

(1) The primary obligation of a claimant is to become reemployed. The intent of the unemployment insurance program is to assist people during periods of unemployment when suitable work is not available. However, if suitable work is available, the claimant has an obligation to properly apply for and accept offered work.

(2) A claimant will not be disqualified for failing to apply for or accept suitable work unless all of the following elements are established:

(a) Availability of a Job.

There must be an actual job opening the claimant could reasonably expect to obtain.

(b) Knowledge.

It must be shown that the claimant knew, or should have known, about the job including the wage, type of work, hours, general location, and conditions of the job. The claimant must understand a referral for work is being offered as opposed to a general discussion of job possibilities or labor market conditions. If a job offer is made, it must be clearly communicated as an offer of work.

The failure of the claimant to obtain the employment must be the result of the claimant's own actions or behavior in failing to:

(i) accept a referral, or

(ii) properly apply for work, or

(iii) accept work when offered.

(3) If the elements of Subsection (2) above have been met, benefits will be denied under Subsection 35A-4-405(3) unless:

(a) the job is not suitable;

(b) the claimant had good cause for refusing a referral, the failure to apply for or accept the job; or

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-302 Failure to Accept a Referral

(1) Definition of a Referral. A referral occurs when the department provides information about a job opening to the claimant and the claimant is given the opportunity to apply. The information must meet the requirements of R994-405- 301(2)(b).

(2) Failure to Accept a Referral. A claimant fails to accept a referral when he or she prevents or discourages the Department from providing the necessary referral information. Failing to respond to a notice to contact the Department for the purpose of being referred to a specific job is the same as refusing a referral for possible employment.

(3) If there was a suitable job opening to which the claimant would have been referred, benefits will be denied unless good cause is established for not responding as directed, or the elements of equity and good conscience are established.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-303 Proper Application for Work

A proper application for work is established if the claimant does those things normally done by applicants who are seriously and actively seeking work. Generally, the claimant must:

(1) meet with the employer at the designated time and place,

(2) report to the employer dressed and groomed in a manner appropriate for the type of work being sought,

(3) present no unreasonable conditions or restrictions on acceptance of the available work and

(4) report for and pass a drug test if necessary.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-304 Failure to Accept an Offer of Work

It will be considered to be a refusal of new work if the claimant engages in conduct which discourages an offer of work, places unreasonable barriers to employment, or accepts an offer of new work but imposes unreasonable conditions which causes the offer to be rescinded. A refusal of work will not result in a denial of benefits if the claimant has accepted a definite offer of full-time employment which is expected to start within three weeks or has a date of recall to full-time work expected to begin within three weeks.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-305 Suitability of Work

(1) The unemployment compensation system is not intended to exert downward pressure on existing labor standards, nor is it intended to allow claimants to restrict availability to jobs with increased wages or improved working conditions.

(2) Workers should not feel compelled, through a threatened or potential denial of benefits, to accept work under less favorable conditions than those generally available in the area for similar work. The phrase "similar work" does not mean "identical work." Similar work is work in the same occupation or a different occupation which requires essentially the same skills.

(3) Notwithstanding any other provisions of this chapter, no work shall be deemed suitable and benefits shall not be denied under this chapter to any otherwise eligible individual for refusing to accept new work under any of the following conditions:

(a) If the position offered is vacant due to a strike, lockout, or other labor dispute;

(b) If the wages, hours, or other conditions of work offered are substantially less favorable to the individual than those prevailing for similar work in the locality; or

(c) If as a condition of being employed, the individual would be required to join a company union or to resign from or refrain from joining any bona fide labor organization.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-306 Elements to Consider in Determining Suitability

A claimant is not required to accept an offer of new work unless the work is suitable. Whether a job is suitable depends on the length of time the claimant has been unemployed. As the length of unemployment increases, the claimant's demands with respect to earnings, working conditions, job duties, and the use of prior training must be systematically reduced unless the claimant has immediate prospects of reemployment. The following elements must be considered in determining the suitability of employment:

(1) Prior Earnings.

Work is not suitable if the wage is less than the state or federal minimum wage, whichever is applicable.

The claimant's prior earnings, length of unemployment and prospects of obtaining work are the primary factors in determining whether the wage is suitable. If a claimant's former wage was earned in another geographical area, the prevailing wage is determined by the new area.

(a) Until the claimant has received 50% of the maximum benefit amount (MBA) for his or her regular claim, work paying at least the customary wage earned during the base period is suitable. Customary wage is defined as the wage earned during the majority of the base period.

(b) After a claimant has received 50% of the MBA for his or her regular claim, any work paying a wage that is at least 75% of the customary wage earned during the base period is suitable.

(2) Prior Experience.

A claimant must be given a reasonable time to seek work that will preserve his or her customary skills. Customary skills or skill level, as used in this subsection, is defined as skills used during a majority of the base period. However, if a claimant has no realistic expectation of obtaining employment in an occupation utilizing his or her customary skill level, work in related occupations becomes suitable.

After the claimant has received 50% of the MBA for his or her regular claim, any work that he or she can reasonably perform consistent with the claimant's past work experience, training and skills is considered suitable.

(3) Working Conditions.

"Working conditions" refers to the provisions of the employment agreement whether express or implied as well as the physical conditions of the work.Working conditions include the following:

(a) Hours of Work.

Claimants are expected to make themselves available for work during the usual hours for similar work in the area provided they are not in violation of the law. However, the hours the claimant worked during his or her base period are generally considered suitable. A claimant's preference for certain hours or shifts based on mere convenience is not good cause for failure to accept otherwise suitable employment.

(b) Fringe Benefits.

Working conditions include fringe benefits such as health insurance, pensions, and retirement provisions.

Work is not suitable if the working conditions are in violation of any state or federal law, or the job opening is due to a strike, lockout, or labor dispute. If a claimant was laid off or furloughed prior to the labor dispute, and the former employer makes an offer of employment after the dispute begins, it is considered an offer of new work. The vacancy must be presumed to be the result of the labor dispute unless the claimant had a definite date of recall, or recall has historically occurred at a similar time.

(4) Prior Training.

The type of work performed during the claimant's base period is suitable unless there is a compelling circumstance that would prevent returning to work in that occupation. If a claimant has training that would now meet the qualifications for a new occupation, work in that occupation may also be suitable, particularly if the training was obtained, at least in part, while the claimant was receiving unemployment benefits under Department approval, or the training was subsidized by another government program.

(5) Risk to Health and Safety.

Work is not suitable if it presents a risk to a claimant's physical or mental health greater than the usual risks associated with the occupation. If a claimant would be required, as a condition of employment, to perform tasks that would cause or substantially aggravate health problems, the work is not suitable.

(6) Physical Fitness.

The claimant must be physically capable of performing the work. Employment beyond the claimant's physical capacity is not suitable.

(7) Distance of the Available Work from the Claimant's Residence.

To be considered suitable, the work must be within customary commuting patterns as they apply to the occupation and area. A claimant's failure to provide his or her own transportation within the normal or customary commuting pattern in the area, or failure to utilize alternative sources of transportation when available, does not establish good cause for failing to apply for or accept suitable work. Work is not suitable if accepting the employment would require a move from the current area of residence unless that is a usual practice in the occupation.

(8) Religious or Moral Convictions.

The work must conflict with sincerely held religious or moral convictions before a conscientious objection could support a conclusion that the work was not suitable. This does not mean all personal beliefs are entitled to protection. However, beliefs need not be acceptable, logical, consistent, or comprehensible to others, or shared with members of a religious or other organized group in order to show the conviction is held in good faith.

(9) Part-time or Temporary Work.

Part-time or temporary work may be suitable depending on the claimant's work history. If the major portion of a claimant's base period work history consists of part-time or temporary work, then any work which is otherwise suitable would be considered suitable even if the work is part-time or temporary. If the claimant has no recent history of temporary or part-time work, the work may still be considered suitable, particularly if the claimant has been unemployed for an extended period and does not have an immediate prospect of full-time work.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-307 New Work

(1) All work is performed under a contract of employment between a worker and an employer whether written, oral, or implied. The contract addresses the job duties, as well as the terms and conditions under which the work is to be performed. A substantial change in the duties, terms, or conditions of the work, not authorized by the existing employment contract, is in effect a termination of the existing contract and the offer of a new contract and constitutes a separation and an offer of new work.

(2) The provisions of R994-405-310 are used to determine if the new contract constitutes suitable work. A request to perform different duties that are customary in the occupation and that do not result in a loss of skills, wages, or benefits, does not constitute an offer of a new work, even if those duties are not specified as part of the official job requirements. The contract of employment has not changed if it is customary for workers to perform short-term tasks involving different or new duties and those assignments do not replace the regular duties of the worker. It is not considered to be a termination of the existing contract and an offer of new work if the claimant fails to return after a vacation, with or without pay, or a short-term layoff for a definite period. A short-term layoff must meet the requirements for a deferral under R994-403-108b(1)(c).

(3) New work is defined as:

(a) work offered by an employer for whom the individual has never worked;

(b) work offered by an individual's current employer involving duties, terms, or conditions substantially different from those agreed upon as part of the existing contract of employment; or

(c) reemployment offered by an employer for whom the individual is not working at the time the offer is made, whether the conditions of employment are the same or different from the previous job.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-308 Burden of Proof

(1) The statute requires that the wage, hours, and other conditions of the work shall not be substantially less favorable to the individual than those prevailing for similar work in the area in order to be considered suitable work. The Department has the burden to prove that the work offered meets these minimum standards before benefits can be denied. Before benefits may be denied, the Department must show:

(a) the job was available,

(b) the claimant had an opportunity to learn about the conditions of employment,

(d) the claimant's action or inaction resulted in the failure to obtain the job.

(2) When the Department has established all of the elements in paragraph (1) of this subsection, a disqualification must be assessed unless it can be established that the work was not suitable, that there was good cause for failing to obtain the job, or the claimant or the Department can show that a disqualification would be contrary to equity and good conscience.

(3) The Department has the option, but not the obligation, to review Department records concerning the claimant's wages and work history to determine suitability in cases where the claimant has not provided a reason for refusing the job, or the claimant's stated reason for refusing the job was for a reason other than suitability. In these cases, department intervention would only be appropriate if the available information establishes that a denial would be an affront to fairness.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-309 Period of Ineligibility

(1) The disqualification period imposed under Subsection 35A-4-405(3) begins the Sunday of the week in which the claimant's action or inaction resulted in the failure to obtain employment or the first week the work was available, whichever is later. The disqualification ends when the claimant earns requalifying wages equal to six times his or her WBA in bona fide covered employment as defined in R994-201-101(9). The WBA used to determine requalifying wages under this section is the WBA of the original claim. A disqualification that begins in one benefit year will continue into a new benefit year unless the claimant has earned requalifying wages. Severance or vacation pay cannot be used as requalifying wages.

(2) A disqualification will be assessed as of the effective date of a new claim if the claimant refused an offer of suitable work after his or her last job ended and prior to the effective date of the claim. A disqualification will also be assessed as of the reopening date, if the claimant refused an offer of suitable work after his or her last job ended and prior to the reopening date.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-310 Good Cause

(1) Good cause for failing to accept available work is established if the work is not suitable or accepting the job would cause hardship which the claimant was unable to overcome. Hardship can only be established if the claimant can show that the employment would result in actual or potential physical, mental, economic, personal, or professional harm.

(2) Good cause is limited to circumstances which were beyond the claimant's control or were compelling and reasonable.

(3) A claimant may have good cause for failing to obtain employment due to personal circumstances if acceptance of the employment would cause a substantial hardship and there are no reasonable alternatives. However, if a personal circumstance prevents the acceptance of suitable employment, there is a presumption the claimant is not able or available for work.

(4) Good cause is not established if a claimant refuses suitable work because the work will interfere with school or training. Claimants attending school full-time with Department approval are not required to seek work.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-311 Equity and Good Conscience

A claimant will not be denied benefits for failing to apply for or accept work if it would be contrary to equity and good conscience, even though good cause has not been established. If there are mitigating circumstances and a denial of benefits would be unreasonably harsh or an affront to fairness, benefits may be allowed. A mitigating circumstance is one that may not be sufficiently compelling to establish good cause, but would motivate a reasonable person to take similar action. In order to establish eligibility under the equity and good conscience standard the following elements must be shown:

(1) Reasonableness.

The claimant must have acted reasonably and the decision to refuse the offer of work was logical, sensible, or practical.

(2) Continuing Attachment to the Labor Market.

The claimant must show evidence of a genuine and continuing attachment to the labor market by making an active and consistent effort to become reemployed. The claimant must have a realistic plan for obtaining suitable employment and show evidence of employer contacts prior to, during, and after the week the job in question was available.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-401 Strike

Claimants may be ineligible for unemployment benefits when the unemployment is due to a strike.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-402 Elements Necessary for a Disqualification

All of the following elements must be present before a disqualification will be assessed under Subsection 35A-4- 405(4):

(1) the claimant's unemployment must be the result of an ongoing strike,

(2) the strike must involve workers at the factory or establishment of the claimant's last employment;

(3) the strike must have been initiated by the workers,

(4) the employer must not have conspired, planned or agreed to foment the strike,

(5) there must be a stoppage of work,

(6) the strike must involve the claimant's grade, group or class of workers, and,

(7) the strike must not have been caused by the employer's failure to comply with State or Federal laws governing wages, hours or other conditions of work.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-403 Unemployment Due to a Strike

(1) The claimant's unemployment must be the result of an ongoing strike. A strike exists when combined workers refuse to work except upon a certain contingency involving concessions either by the employer or the bargaining unit. A strike consists of at least four components in addition to the suspended employer-employee relationship:

(a) a demand for some concession,

(b) a refusal to work with intent to bring about compliance with demands,

(d) an intention on the part of the employer to re-employ the same employees or employees of a similar class when the demands are acceded to or withdrawn or otherwise adjusted.

(2) A strike may exist without such actions as a proclamation preceding a stoppage of work or pickets at the business or industry announcing an intent and purpose to go out on strike. Although a strike involves a labor dispute, a labor dispute can exist without a strike and a strike can exist without a union. The party or group who first resorts to the use of economic sanctions to settle a dispute must bear the responsibility. A strike occurs when workers withhold services. A lockout occurs when the employer withholds work because of a labor dispute including: the physical closing of the place of employment, refusing to furnish available work to regular employees, or by imposing such terms on their continued employment so that the work becomes unsuitable or the employees could not reasonably be expected to continue to work.

(3) The following are examples of when unemployment is due to a strike;

(a) a strike is formally and properly announced by a union or bargaining group, and as a result of that announcement, the affected employer takes necessary defensive action to discontinue operations,

(b) after a strike begins the employer suspends work because of possible destruction or damage to which the employer's property would not otherwise be exposed, provided the measures taken are those that are reasonably required,

(c) if the employer is not required by contract to submit the dispute to arbitration and the workers ceased working because the employer rejects a proposal by the union or bargaining group to submit the dispute to arbitration, or

(d) upon the expiration of an existing contract, whether or not negotiations have ceased, the employer is willing to furnish work to the employees upon the terms and conditions in force under the expired contract.

(4) The following are examples of when unemployment is not due to a strike;

(a) the claimant was separated from employment for some other reason that occurred prior to the strike, for example: a quit, discharge or a layoff even if the layoff is caused by a strike at an industry upon which the employer is dependent,

(b) the claimant was replaced by other permanent employees,

(c) the claimant was on a temporary layoff, prior to the strike, with a predetermined date of recall; however, if the claimant refuses to return to his or her regular job when called on the predetermined date his or her subsequent unemployment is due to a strike,

(d) as a result of start up delays, the claimant is not recalled to work for a period after the settlement of the strike,

(e) the employer refuses to agree to binding arbitration when the contract provides that the dispute shall be submitted to arbitration, or

(f) the claimant is unemployed due to a lockout. The immediate cause of the work stoppage determines if it is a strike or a lockout depending on who first imposes economic sanctions. A lockout occurs when;

(i) the employer takes the first action to suspend operations resulting from a dispute with employees over wages, hours, or working conditions,

(ii) an employer, anticipating that employees will go on strike, but prior to a positive action by the workers, curtails operations by advising employees not to report for work until further notice. Positive action can include a walkout or formal announcement that the employees are on strike. In this case the immediate cause of the unemployment is the employer's actions, even if a strike is subsequently called., or

(iii) upon expiration of an existing contract where the employer is seeking to obtain unreasonable wage concessions, the employees offer to work at the rate of the expired agreement and continue to bargain in good faith.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-404 Workers at Factory or Establishment of the Claimant's Last Employment

(1) "At the factory or establishment" of last employment may include any job sites where the work is performed by any members of the grade, group or class of employees involved in the labor dispute, and is not limited to the employer's business address.

(2) "Last employment" is not limited to the last work performed prior to the filing of the claim, but means the last work prior to the strike. If the claimant becomes unemployed due to a strike, the provisions of Subsection 35A-4-405(4) apply beginning with the week in which the strike began even if the claimant did not file for benefits immediately and continues until the strike ends or until the claimant establishes subsequent eligibility as required by Subsection 35A-4-405(4)(c). For example: the claimant left work for employer A due to a disqualifying strike, and then obtained work for employer B where he or she worked for a short period of time before being laid off due to reduction of force. If he or she then files for unemployment benefits, and cannot qualify monetarily for benefits based solely on his or her employment with employer B, the claimant is not eligible for unemployment benefits.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-405 Fomented by the Employer

A strike will not result in a denial of benefits to claimants if the employer or any of its agents or representatives conspired, planned or agreed with any of the workers in promoting or inciting the development of the strike.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-406 Work Stoppage

Work stoppage means that the claimant is no longer working but it is not necessary for the employer to be unable to continue to conduct business. For the purposes of this rule, a work stoppage exists when an employee chooses to withhold his services in concert with fellow employees.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-407 Grade, Group or Class of Worker

(1) A claimant is a member of the grade, group or class if:

(a) the dispute affects hours, wages, or working conditions of the claimant, even if the claimant is not a member of the group conducting the strike or not in sympathy with its purposes,

(b) the labor dispute concerns all of the employees and as a direct result causes a stoppage of their work,

(d) the claimant voluntarily refuses to cross a peaceful picket line even when the picket line is being maintained by another group of workers.

(2) A claimant is not included in the grade, group or class if:

(a) the claimant is not participating in, financing, or directly interested in the dispute or is not included in any way in the group that is participating in or directly interested in the dispute,

(b) the claimant was an employee of a company that has no work for him or her as a result of the strike, but the company is not the subject of the strike and whose employee's wages, hours or working conditions are not the subject of negotiation,

(c) the claimant was an employee of a company that is out of work as a result of a strike at one of its work sites but he or she is not participating in the strike, will not benefit from the strike, and the constitution of the union leaves the power to join a strike with the local union, provided the governing union has not concluded that a general strike is necessary, or

(d) work continues to be available after a strike begins and the claimant reported for work and performed work after the strike began and was subsequently unemployed.

(3) The burden of proof is on the claimant to show that he or she is not participating in any way in the strike.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-408 Strike Caused by Employer Non-Compliance with State or Federal Laws

If the strike was caused by the employer's failure to comply with state or federal laws governing wages, hours, or working conditions, the claimant is not disqualified as a result of the strike. However, to establish the strike was caused by unlawful practices, the issue of an unfair labor practice must be one of the grievances still subject to negotiation at the time the strike occurs. The making of such an allegation after the strike begins will not enable workers to claim that such a violation was the initiating factor in the strike.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-409 Period of Disqualification

The period of disqualification begins on the effective date of the new or reopened claim and continues as long as all the elements are present. If the claimant has other employment subsequent to the beginning of the strike which is insufficient when solely considered to qualify for a new claim, the disqualification under Subsection 35A-4-405(4) would continue to apply. It is not necessary for the employer involved in the strike to be a base period employer for a disqualification to be assessed.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-410 Wages Used to Establish Claim as Provided by Subsection 35A-4-405(4)(c)

(1) Ineligibility following a strike. A disqualification must be assessed if the elements for disqualification are present, even if the claim is not based on employment with the employer involved in the labor dispute. Wages for an employer not involved in the strike that are concurrent with employment for an employer that is involved in the strike will not be used independently to establish a claim in order to avoid a disqualification.

(2) New claim following strike. If a claimant is ineligible due to a strike, wages used in establishing a new claim must have been earned after the strike began. The job does not have to be obtained after the strike but only those wage credits obtained after the strike may be used to establish a new claim. If the claimant has sufficient wages to qualify for a new benefit year after his or her unemployment due to a strike, a new claim may be established even if the claimant has a current benefit year under which benefits have been denied due to a strike.

(3) Redetermination after strike ends. No wages from the employer involved in the strike will be used to compute the new benefit amount, until after the provisions of Subsection 35A-4-405(4) no longer apply. Any such redetermination must be requested by the claimant and will be effective the beginning of the week in which the request for a redetermination is made.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-411 Availability

If benefits are not denied under Subsection 35A-4-405(4), the claimant's availability for work will be considered including the amount of time spent walking picket lines and working for the bargaining unit. A refusal to seek work except with employers involved in a lockout or strike is a restriction on availability that will be considered in accordance with Subsection 35A-4-405(3) and R994-403-115c. A refusal to accept work with an employer involved in a lockout or strike is not disqualifying.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-412 Suitability of Work Available Due to a Strike

Subsection 35A-4-405(3)(b) provides that new work is not suitable and benefits will not be denied if the position offered is vacant due directly to a strike, lockout or other labor dispute. If the claimant was laid off or furloughed prior to the strike, and an offer of employment is made after the strike begins by the former employer, it is considered an offer of new work. The vacancy must be presumed to be the result of the strike unless the claimant had a definite date of recall, or recall has historically occurred at a similar time.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-413 Strike Benefits

Strike benefits received by a claimant, which are paid contingent upon walking a picket line or for other services, are reportable income that must be deducted from any weekly benefits to which the claimant is eligible in accordance with provisions of Subsection 35A-4-401(3). Money received for performance of services in behalf of a striking union may not be subject wages used as wage credits in establishing a claim. However, money received as a general donation from the union treasury that requires no personal services is not reportable income.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-701 Payments Following Separation - General Definition

Vacation and severance payments which a claimant is receiving, has received or is entitled to receive are treated as wages and the claimant's WBA is reduced as provided in R994-401-301(1). This is true even though vacation or severance payments do not meet the statutory definition of wages.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-702 Definition of Disqualifying Vacation and Severance Pay

(1) Before a disqualification is assessed, the claimant must be entitled to vacation or severance pay in addition to regular wages.

(a) Entitled To Receive. The claimant may not receive unemployment benefits for any week if he or she is eligible to receive payment from the employer whether the payment has already been made or will be made. The week in which the payment is actually received is not controlling in determining when the payment is deductible. It is not necessary for the employer to assign such payment to a particular week on the payroll records.

(b) Severance or Vacation Pay Which Is Subject to Negotiation. If there is a question of whether the claimant is entitled to receive a payment and the matter is being negotiated by the court, a union, or the employer, it has not been established the claimant is entitled to payment and therefore a disqualification cannot be assessed. However, when it is determined the claimant is entitled to receive payment from the employer, a disqualification will be assessed beginning with the week in which the agreement is made establishing the right to payment, provided the other elements are present. An overpayment will be established as appropriate.

(2) Vacation Pay.

Vacation pay is not considered earned during the period of time the claimant worked to qualify for the vacation pay, even if the amount of vacation pay is dependent upon length of service.

(3) Separation Payments.

(a) Any form of separation payment may subject the claimant to disqualification under Subsection 35A-4-405(7) if the payment would not have been made except for the severance of the employment relationship. If the payment is given at the time of the separation but would have been made even if the claimant was not separated, it is not a separation payment, but is considered earnings assignable to the period of employment subject to the provisions of Subsection 35A-4-401(7). The controlling factor is not the method used by the employer to determine the amount of the payment, but the reason the payment is being made. The history of similar payments is indicative of whether the payment is a bonus or is being made as the result of the separation. Whether a payment is based on the number of years of service or some other factor does not determine if the payment is disqualifying. Payments made directly to the claimant after separation and intended for the purchase of health insurance, whether made in a lump sum or periodically, are considered separation payments. When a business changes owners and some employees are retained by the new owners, but all employees receive a similar payment from the prior owner, the payment is not made subject to the separation of the employees and therefore would be a bonus and not a separation payment. Accrued sick leave, paid at the time of separation not because of an illness or injury is not considered a separation payment and will not result in a disqualification or a reduction in benefits under Subsection 35A-4-405(7).

(b) Payments for Remaining on the Job.

When an employer offers an additional payment for remaining on the job until a job is completed, the additional remuneration will be considered an increased wage or bonus attributable to a period of time prior to the date of separation, not a severance payment.

(4) Attributable to Weeks Following the Last Day of Work.

All vacation and severance payments are attributable to a period of time following the last day worked after a permanent separation and assigned to weeks according to the following guidelines:

(a) Designated as Covering Specified Weeks. If the employer specified that the payment is for a number of weeks which is consistent with the average weekly wage, the payment is attributable to those weeks. For example, if the claimant was entitled to two weeks of vacation or severance pay at his or her regular wage or salary, the last day worked was a Wednesday, and his or her normal working days were Monday through Friday, the claimant is considered to have two weeks of pay beginning on the Thursday following the last day of work. The claimant's earnings for the first week, including his or her wages would normally exceed the weekly benefit amount; the claimant would have a full week of pay for the second week, and would have reportable earnings for Monday, Tuesday and Wednesday of the following week.

(b) Lump Sum Payments. A lump sum payment is assigned to a period of time by comparison to the employee's most recent rate of pay. The period of assignment following the last day of work is equivalent to the number of days during which the worker would have received a similar amount of his or her regular pay. For example, if the claimant received $500 in severance pay, and last earned $10 an hour working a 40 hour week, the claimant's customary weekly earnings were $400 a week. The claimant is denied benefits for one week and must report $100 as if it were earnings on the claim for the following week. The Department will ordinarily use a claimant's base salary for calculations in this paragraph but if the claimant provides verifiable evidence of a rate of pay higher than the base salary in the period immediately preceding separation, that can be used.

(c) Payments Less than Weekly Benefit Amount. If separation payments are paid out over a specific period of time and the claimant does not have the option to receive a lump sum payment, the claimant will be entitled to have benefits reduced as provided by Subsection 35A-4-401(3), pursuant to offset earnings if the amount attributed to the week is less than the weekly benefit amount.

(d) If the claimant is entitled to both vacation and separation pay, the payments are assigned consecutively, not concurrently.

(5) Temporary Separation.

A claimant is not entitled to benefits if it is established that the week claimed coincides with a week:

(a) Designated as a week of vacation. If the separation from the employer is not permanent and the claimant chooses to take his or her vacation pay, or is filing during the time previously agreed to as his or her vacation, the vacation pay is assigned to that week. If the employer has prepaid vacation pay and at the time of a temporary layoff the claimant may still take his or her vacation time after being recalled, the vacation pay is not assigned to the weeks of the layoff unless the claimant chooses to have the vacation pay assigned to those weeks, or the employer, because of contractual obligations, must pay any outstanding vacation due the claimant.

(b) Designated as a vacation shutdown. If the claimant files during a vacation shutdown, and is entitled to vacation pay equivalent to the length of the vacation shutdown, the vacation pay is attributable to the weeks designated as a vacation shutdown, even if the claimant chooses to actually take his or her time off work before or after the vacation shutdown. A holiday shutdown is treated the same as a vacation shutdown.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-703 Period of Disqualification

Only those payments equal to or greater than the claimant's weekly benefit amount require a disqualification. Payments less than the weekly benefit amount are treated the same as earnings and deductions are made as provided by Subsection 35A-4-401(3).

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-704 Disqualifying Separations

If the claimant has been disqualified as the result of his or her separation under either Subsections 35A-4-405(1) or 35A-4-405(2), the vacation or separation pay cannot be used to satisfy the requirement to earn six times the weekly benefit amount in bona fide covered employment.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-705 Base Period Wages

Vacation pay is used as base period wages. Separation payments attributable to weeks following the separation can be used as base period wages if the employer was legally required to make such payments as provided in Section 35A-4-208. Separation payments that are treated as wages will be assigned to weeks in the manner explained in Subsections R994-405- 702(4).

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-801 Services in Education Institutions - General Definition

Subsection 35A-4-405(8) denies unemployment benefits during periods when the claimant's unemployment is due to school not being in session provided the claimant has been given a reasonable assurance that he or she can return to work when school resumes and the claimant intends to return when school resumes. Schools have traditionally not been in session during the summer months, holidays and between terms. This circumstance is known to employees when they accept work for schools. In extending coverage to school employees, it was intended such coverage would only be available when the claimant is no longer attached in any way to a school and the reason for the unemployment is not due to normal school recesses or paid sabbatical leave.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-802 Elements Required for Denial

(1) The claimant is ineligible if all of the following elements are met:

(a) The Claimant is an Employee of an Educational Institution.

The claimant's benefits are based on employment for an educational institution or a governmental agency established and operated exclusively for the purpose of providing services to an educational institution. The service performed for the educational institution may be in any capacity including professional employees teachers, researchers and principals and all non- professional employees including secretaries, lunch workers, teacher's aides, and janitors.

(b) School is Not in Session or the Claimant is on a Paid Sabbatical Leave.

Benefits are only denied if the week for which benefits are claimed is during a period between two successive academic years or a similar period between two regular terms whether or not successive, during a period of paid sabbatical leave provided in the contract, or during holiday recesses and customary vacation periods.

(c) The claimant has a reasonable assurance of returning to work for one or more educational institutions at the next regular year or term as set forth in Rule R994-405-805.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-803 Educational Institution (School)

(1) To be considered an educational institution it is not necessary the school be non-profit or that it be funded or controlled by a school district. However, the instruction provider must be sponsored by an "institution" that meets all of the following elements:

(a) An institution in which participants, trainees, or students are offered an organized course of study or training designed to transfer to them knowledge, skills, information, doctrines, attitudes or abilities from, by or under the guidance of an instructor or teacher.

(b) The course of study or training is academic, technical, trade, or preparation for gainful employment in an occupation.

(c) The instruction provider is approved or licensed to operate as a school by the State Board of Education or other government agency authorized to issue such license or permit.

(2) Head start programs operated by community based organizations, Indian tribes, or governmental associations as a side activity in a sponsorship role do not meet the definition of educational institution and therefore are not subject to the disqualifying provisions of this rule.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-804 Employee for an Educational Institution

(1) All employees of an educational institution, even though not directly involved in educational activities, are subject to the disqualifying provisions of Subsection 35A-4-405(8). Also, employees of a state or local governmental entity are not eligible for benefits provided the entity was established and operated exclusively for the purpose of providing services to or on behalf of an educational institution. For example, if a school bus driver is employed by the city rather than the school district, he or she is not subject to a disqualification under Subsection 35A-4-405(8).

(2) Ineligibility under Subsection 35A-4-405(8) shall only apply if there are base period wages from an educational institution. If the claimant had sufficient non-school employment in the base period to qualify for benefits, the claimant may establish a claim based only on the non-school employment and benefits would be payable during the period between successive school terms, provided he or she is otherwise eligible. If the claimant continues to be unemployed when school commences, he or she may be entitled to benefits based upon the combined school and non-school employment. In most cases this would result in higher weekly and maximum benefit amounts, less the benefits already received. A revision of the monetary determination will be made effective the beginning of the week in which the claimant submits a request for a revision to include school employment.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-805 Reasonable Assurance

(1) "Reasonable assurance" is defined as a written, oral, or implied agreement that the employee will perform service in the same or similar capacity during the ensuing academic year, term, or remainder of a term.

(2) Reasonable Assurance Presumed.

A claimant is presumed to have implied reasonable assurance of employment during the next regular school year or term with an educational institution if he or she worked for the educational institution during the prior school term and there has been no change in the conditions of his or her employment that would indicate severance of the employment relationship. Under such circumstances benefits initially will be denied.

(3) Advised on Non-Recall.

If the claimant has been advised by proper school administrative authorities that he or she will not be offered employment when the next school term begins, benefits would not be denied under Subsection 35A-4-405(8) unless the claimant otherwise has a reasonable assurance of returning to work that is not substantially less suitable under Subsection (4) below.

(4) Offer of New Work by an Educational Institution.

Reasonable assurance is not limited to the same school where the claimant was employed during the base period or the same type of work. Reasonable assurance exists if the terms and conditions of the new work offered in the second term are not substantially less suitable, as defined by Subsection 35A-4-405(3), than the terms and conditions of the work performed during the first term. For purposes of this section, new work in the educational field is considered to be substantially less suitable if the claimant will not earn from all educational employers at least 90% of the amount earned from all educational employers during the previous academic year or term at issue. A disqualification under Subsection 35A-4-405(8) would begin with the week the employment is offered, and a disqualification under Subsection 35A-4-405(3) may begin with the week in which the offered employment would become available. For example: if a claimant was advised that due to reduction in enrollment he or she will not be recalled by the school where he or she last worked as a teacher's aide, but then obtains an offer of employment as a librarian from another school or another school district, a disqualification under Subsection 35A-4-405(8) would be assessed beginning with the week in which the offer of employment was made to the claimant, and a disqualification under Subsection 35A-4-405(3) would begin at the beginning of the school term if the work is not accepted.

(5) Separated Due to a Quit or Discharge.

If the employment relationship is severed either due to a quit or discharge, the provisions of Subsection 35A-4-405(8) do not apply, but Subsections 35A-4-405(1) or 35A-4-405(2) may apply and a disqualification, if assessed, would begin with the effective date of the separation or the claim, whichever is later.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-806 Substitute Teachers

A substitute teacher is treated the same as any other school employee. If the claimant worked as a substitute teacher during the prior school term, he or she is presumed to have a reasonable assurance of having work under similar conditions during the next term and benefits will be denied when school is not in session. However, for any weeks the claimant is not called to work when school is in session, a disqualification under Subsection 35A-4-405(8) would not apply.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-807 Period of Disqualification

The effective date of the unemployment insurance claim does not have to begin between regular school terms for a disqualification to apply, but benefits will be denied for a week that begins during a period when school is not in session or the claimant is on a paid sabbatical leave. A disqualification under Subsection 35A-4-405(8) can only be assessed for weeks:

(1) between two successive academic years or terms, or

(2) during a break in school activity between two regular terms even if the terms are not successive, including school vacations and holidays as well as the break between academic terms, or

(3) when the claimant is on a paid sabbatical leave if the claimant worked during the prior school year and has a contract or reasonable assurance (as defined in Rule R994-405-805) of working in any capacity for one or more educational institutions in the school term following the sabbatical leave. When the claimant is on an unpaid sabbatical leave, benefits may be allowed provided he or she is otherwise eligible including meeting the eligibility requirements of Subsection 35A-4-403(1)(c) and R994-405-106(4).

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-808 Retroactive Payments

Retroactive payments under Subsection 35A-4-406(2) may be made after a disqualification has been assessed only if the claimant:

(1) is not a professional employee in an instructional, research or administrative capacity,

(2) was not offered reasonable assurance of employment, as defined in Rule R994-405-805, for one or more educational institutions for the second academic years or terms,

(3) filed weekly claims in a timely manner as instructed, and

(4) benefits were denied solely by reason of Subsection 35A-4-405(8).

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-901 Professional Athletes

(1) Eligibility for Professional Athletes.

A claimant who has performed services as a professional athlete for substantially all of his or her base period is not eligible for benefits between successive sports seasons or similar periods when the claimant has a reasonable assurance of performing those services in the next sports season or similar period.

(2) Substantially All Services Performed in a Base Period.

A claimant has performed services as a professional athlete for substantially all of his or her base period when the base period wages from that work equal 90 percent or more of the claimant's total base period wages.

(3) Definition of Professional Athlete.

For the purposes of determining eligibility for benefits, a claimant is a professional athlete when he or she is employed as a competitive athlete or works as a specified ancillary employee. Employment as a competitive athlete includes preparing for and participating in competitive sports events. Specified ancillary employees are managers, coaches, and trainers who are employed by professional sports organizations and referees and umpires employed by professional sports leagues or associations.

(4) Reasonable Assurance.

(a) The claimant has a reasonable assurance of performing services as a professional athlete during the next sports season or similar period when the claimant has:

(i) a multi-year contract with a professional sports organization, league or association;

(ii) a year-to-year contract and no indication of release;

(iii) no contract but the employer affirms intent to recall;

(iv) no contract but an employer representative confirms that the claimant is being considered for next season; or

(v) no contract but plans to pursue employment as a professional athlete.

(b) The claimant does not have a reasonable assurance if he or she has no contract and has withdrawn from sports as a professional athlete.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-902 Base Period Wage Credits

(1) If the claimant has a reasonable assurance of performing services as a professional athlete during the next sports season or similar period and 90 percent or more of the claimant's base period wage credits were earned as a professional athlete, neither those wage credits nor any other base period wage credits can be used to establish monetary eligibility for any weeks that begin during a period between the applicable sports seasons or similar periods.

(2) All of the claimant's base period wage credits can be used if the claimant did not earn 90 percent or more of his or her base period wage credits as a professional athlete.

(3) All of the claimant's base period wages credits can be used to establish monetary eligibility for any weeks that begin during the applicable sports season or similar period.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1001 Aliens - General Definition

The protection provided by the unemployment insurance program is limited to American citizens and people who are lawfully admitted to the United States. It is not the intent of this program to subsidize people who have worked unlawfully or who cannot legally accept employment. All claimants will be required, as a condition of eligibility, to sign a declaration under penalty of perjury stating whether the claimant is a citizen or national of the United States, or if not, whether the claimant is lawfully admitted to the United States with permission to work. A claimant who certifies to lawful admission must present documentary evidence. A denial of benefits under Subsection 35A-4-405(10) can only be made if there is a preponderance of evidence the claimant is not legally admitted to work. Benefits must be denied to claimants who are NOT United States citizens unless they are lawfully present BOTH during the base period of the claim and while filing for benefits. In addition, to be considered "available for work," a claimant must be legally authorized to work at the time benefits are claimed.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1002 Alien Status

(1) An alien may establish wage credits and qualify for benefit payments if he or she was:

(a) Lawfully admitted for permanent residence at the time the services were performed, or

(b) Lawfully present for the purpose of performing the services, or

(d) Granted the status of "refugee" or "asylee" by the Immigration and Nationality Act, United States Code Title 8, Section 1101 et seq.

(2) The status of temporary residence or the granting of work authorization does not confer retroactive lawful presence for purposes of monetary entitlement or work authorization.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1003 Lawfully Admitted for Permanent Residence

A claimant who is lawfully admitted for permanent residence must be given a dated employment authorization or other appropriate work permit by the US Citizenship and Immigration Services (USCIS).

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1004 Lawfully Present for the Purpose of Performing Services

These are aliens with work permits issued by USCIS who have received permission to work in the United States. Aliens who do not possess USCIS documentation have not been processed through USCIS procedures and are not lawfully present in the United States. Aliens permitted to reside in the United States temporarily have privileges accorded by USCIS which may include work authorization. The claimant's work authorization must be printed on the document or stamped on the form.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1005 Permanently Residing in U.S. Under Color of Law

Eligibility can be established if:

(1) The USCIS knows of the alien's presence and has provided the alien with written assurance that deportation is not planned, and

(2) The alien is "permanently residing" which means the USCIS has given the alien permission to remain in the U.S. for an indefinite period of time. Individuals who have been granted the status of refugees or have been granted asylum have been defined by the USCIS as individuals who are permanently residing "under color of law."

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1006 Section 1182(d)(5)(A) of the Immigration and Nationality Act

For reference, 8 USC 1182(d)(5)(A) includes people, referred to as parolees, admitted under specific authorization given by the United States Attorney General and those paroled into the United States temporarily for emergent reasons or for reasons rooted in the public interest, including crew members refused shore leave who are admitted on parole for medical treatment. All of these individuals are issued USCIS forms endorsed to show work status.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1007 Procedural Requirements

(1) Verification of Status.

If the claimant states he or she is an alien, the claimant must present documentary evidence of alien status. Acceptable evidence includes:

(a) An alien registration document or other proof of immigration registration from USCIS that contains the claimant's alien admission number or alien file number, or

(b) Other documents that constitute reasonable evidence indicating a satisfactory alien status such as a passport.

(2) Verification by the Department.

The Department must verify documentation referred to in Subsection R994-405-1007(1) with the USCIS through an automated system or other system designated by the USCIS. This system must protect the claimant's privacy as required by law. The Department must use the claimant's alien file number or alien admission number as the basis for verifying the alien status. If the claimant provides other documents, the Department must submit a photocopy of the documents to USCIS for verification. Pending verification of the alien's documentation, the Department may not delay, deny, reduce or terminate the claimant's eligibility for benefits.

(3) Claimant Rights.

(a) Reasonable Opportunity to Submit Documentation.

The Department will provide the claimant with a reasonable opportunity to submit documentation establishing satisfactory alien status if such documentation is not presented at the time of filing. The Department will also provide the claimant reasonable opportunity to submit evidence of satisfactory alien status if the documentation presented is not verified by the USCIS. The claimant will initially be given three weeks to provide documentation or advise the Department as to any circumstances that would justify an extension of the time allowed. Failure to provide documentation or request an extension of time will result in a denial of benefits under Subsection 35A-4-403(1)(e) or Sections R994-403-122e through R994-403-128e.

(b) Disqualification Restrictions.

The Department will not delay, deny, reduce or terminate a claimant's eligibility for benefits on the basis of alien status until a reasonable opportunity has been provided for the claimant to present required documentation or pending its verification after the claimant presents the documents. The claimant will be considered at fault in the creation of any overpayment if benefits were paid based on the claimant's unverifiable assertion of legal admission.

When benefits are denied by reason of alien status, a written, appealable decision must be issued to the claimant stating the evidence upon which the denial is based, the findings of fact, and the conclusion of law.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1008 Preponderance of Evidence

Benefits will be denied only if the preponderance of evidence supports denial. Aliens are presumed lawfully admitted or lawfully present under the Immigration and Nationality Act until it is established by a preponderance of evidence they are not lawfully admitted. The preponderance of evidence required to support a denial of benefits is not satisfied by a lack of evidence. Therefore, the claimant's certification as to citizenship or legal alien status should be accepted while USCIS is being contacted for verification.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1009 Availability for Work

While filing for benefits, an alien must show authorization to work to be considered available for work as required under Subsection 35A-4-403(1)(c). An alien with temporary resident status may be granted authorization to engage in employment in the United States. In such cases the alien will be provided with an "employment authorized" endorsement or other appropriate work permit. Termination of "temporary residence status" can be made by the United States Attorney General only upon a determination the alien is deportable.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

Utah Admin. Code R994-405-1010 Periods of Ineligibility

Any wages earned during a period of time when the alien was not in legal status, cannot be used in the monetary determination, and a disqualification must be assessed under Subsection 35A-4-405(10). If the claimant was in legal status during a portion of the base period, only wages earned during that portion may be used to establish a claim. If the alien did earn sufficient wage credits while in legal status, but is no longer in legal status at the time the benefits are claimed, the claimant is ineligible under Subsection 35A-4-403(1)(c) because he or she cannot legally obtain employment.

History

KEY: unemployment compensation, employment, employee's rights, employee terminations
Date of Last Change: June 21, 2017
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-502(1)(b); 35A-1-104(4); 35A-4-405

R994-406 Fraud, Fault, and Nonfault Overpayments

Utah Admin. Code R994-406-101 Claimant Responsible for Providing Complete and Correct Information

(1) The claimant is responsible for providing all information requested by the Department in writing or in a verbal request from a Department representative. The claimant is also responsible for following Department instructions.

(2) The claimant may not shift responsibility for providing correct information to another person such as a spouse, parent, or friend. The claimant is responsible for all information required on the claim.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-201 Nonfault Overpayments

(1) If the claimant followed the Department's instructions and provided complete and correct information as required in Subsection R994-406-101(1) and then received unemployment insurance benefits to which the claimant was not entitled due to an error made by the Department or an employer, the claimant is not at fault in the creation of the overpayment.

(2) The claimant is not liable to repay overpayments created through no fault of the claimant except that the sum will be deducted from any future unemployment insurance benefits.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-202 Method of Repayment of Nonfault Overpayments

(1) If a claimant is without fault in the creation of the overpayment pursuant to Section R994-406-201, 50% of the claimant's weekly benefit amount will be deducted from any future unemployment insurance benefits payable to the claimant until the overpayment is repaid.

(2) The Department will not bill the claimant or initiate collection procedures for a nonfault overpayment.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-203 Waiver of Recovery of Nonfault Overpayments

(1) The Department may waive recovery of a nonfault overpayment if the claimant:

(a) is currently eligible to receive unemployment insurance benefits from the state and has filed a weekly claim with the Department within the last 27 days;

(b) requests a waiver within ten days, or shows good cause in accordance with Section R994-403-106a for failing to request a waiver within ten days, of:

(i) notification of the opportunity to request a waiver;

(ii) the first offset of unemployment insurance benefits following a reopening; or

(iii) a significant change in the claimant's financial circumstances; and

(c) shows that recovery of the 50% offset as provided in Section R994-406-202 would make the claimant unable to pay for the basic needs of survival for the claimant's immediate family, dependents, and other household members.

(i) The claimant must provide verification of financial resources and the social security numbers of family members, dependents, and household members.

(ii) Before granting the waiver, the Department must consider all potential financial resources of the claimant, the claimant's family, dependents, and other household members.

(iii) "Unable to pay for the basic needs of survival" means "economically disadvantaged" and is defined as 70% of the Lower Living Standard Income Level (LLSIL). Therefore, if the claimant's total family resources in relation to family size are not more than 70% of the LLSIL, the waiver will be granted provided the economic circumstances are not expected to change within the next 90 days. Individual expenses will not be considered. Available financial resources, current income, and anticipated income will be included and averaged for the 90 days.

(2) Any nonfault overpayment outstanding at the time the request is granted is forgiven and the claimant has no further repayment obligation.

(3) A waiver may not be granted retroactively for any payments made against an overpayment or for any portion of the overpayment which has already been offset unless the offset was made pending a decision on a timely waiver request which is ultimately granted.

(4) A claimant with an outstanding nonfault overpayment may also apply for an offer in compromise as provided in Section R944-305-1201.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-301 Claimant Fault

(1) Elements of Fault.

Fault is established if each of the following elements is present, or as provided in Subsection (3) or (4) of this section. If one or more elements cannot be established, the overpayment does not fall under Subsection 35A-4-405(5). The elements of fault are materiality, control, and knowledge.

(a) Materiality is established if unemployment insurance benefits were paid to which the claimant was not entitled.

(b) Control is established if unemployment insurance benefits were paid based on incorrect information or an absence of information which the claimant reasonably could have provided.

(2) Claimant Responsibility to Provide Information.

(a) The claimant is responsible for providing information requested by the Department regarding the claimant's unemployment insurance benefits claim.

(b) If the claimant has any questions about the claimant's eligibility for unemployment insurance benefits, or the Department's instructions, the claimant must ask the Department for clarification before certifying to eligibility.

(3) Receipt of Settlement or Back-Pay.

(a) A claimant is at fault for the resulting overpayment if the claimant fails to advise the Department that grievance procedures are being pursued which may result in payment of back-pay wages or other settlement pay for weeks during which the claimant claims unemployment insurance benefits.

(b) If the claimant advises the Department before receiving a settlement that the claimant has filed a grievance with the employer and makes an assignment directing the employer to pay to the Department that portion of the settlement equivalent to the amount of unemployment insurance benefits received, the claimant will not be at fault if an overpayment is created due to payment of wages attributable to weeks for which the claimant received unemployment insurance benefits. If the grievance is resolved in favor of the claimant and the employer was properly notified of the wage assignment, the employer is liable to immediately reimburse the Department upon settlement of the grievance. If reimbursement is not made to the Department consistent with the assignment, collection procedures will be initiated against the employer.

(c) If the claimant refuses to make an assignment of the wages claimed in a grievance proceeding, unemployment insurance benefits will be withheld on the basis that the claimant is not unemployed because of anticipated receipt of wages. In this case, the claimant should file weekly claims and if back wages are not received when the grievance is resolved, unemployment insurance benefits will be paid for weeks properly claimed provided the claimant is otherwise eligible.

(4) Notwithstanding any other provision of this section, a claimant who may be eligible for retirement income but does not apply for retirement income until after unemployment insurance benefits have been paid, is at fault for any overpayment resulting from a retroactive payment of retirement benefits as provided in Section R994-401-203.

(5) Correcting Earlier Weekly Claims.

(a) If a claimant reports incorrect information about the claimant's income or earnings when filing a weekly claim for unemployment insurance benefits, the claimant must immediately contact the Department to correct the information.

(b) A claimant who contacts the Department to correct reported income is considered to be at fault and is responsible for repaying any resulting overpayment even if at the time the claimant filed the weekly claim for unemployment insurance benefits the claimant was unaware of the correct income or earnings.

(c) A claimant who fails to contact the Department to correct inaccurately reported earnings may be subject to fraud penalties under Section R994-406-401.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-302 Repayment and Collection of Fault Overpayments

(1) When the claimant has been determined to be at fault in the creation of an overpayment pursuant to Section R994- 406-301, the overpayment must be repaid. If the claimant is otherwise eligible and files for additional unemployment insurance benefits during the same or any subsequent benefit year, 100% of the unemployment insurance benefits to which the claimant is entitled will be used to reduce the overpayment.

(2) Full restitution is required for fault overpayments except as provided in Section R994-305-1201. However, collection procedures may be held in abeyance at the Department's discretion and the overpayment will be deducted from future unemployment insurance benefits payable during the current or subsequent benefit years. The Department may exercise its discretion only if the Department or the employer share fault in the creation of the overpayment but it is determined the claimant was more at fault under Section R994-403-119e.

(3) Collection Procedures.

(a) The Department will send an initial overpayment notice on outstanding fault or fraud overpayments. If, after 15 days, the claimant does not either pay in full or enter into an installment payment agreement as provided in Subsection (4) of this section, the account will be considered delinquent and the claimant will be notified that a warrant will be filed unless a payment is received or an installment agreement entered into within 15 days. However, there may be other circumstances under which a warrant may be filed on any outstanding overpayment. A warrant attaches a lien to any personal or real property and establishes a judgment that is collectible under Utah Rules of Civil Procedure.

(b) Outstanding overpayments on which a lien has been created will be reported to the State Division of Finance for collection whereby any refunds due to the claimant from state income tax or any such rebates, refunds, or other amounts owed by the state and subject to attachment may be applied against the overpayment.

(c) Overpayments that are past due, enforceable, and attributable to fraud or the claimant's failure to report earnings shall be submitted to the Treasury Offset Program whereby the Secretary of the Treasury may offset federal tax refund payments to be applied against the overpayment. Only overpayments for which a valid warrant has been filed for failure to repay, that lack an installment agreement, or are not current on approved installment agreement payments will be subject to the Treasury Offset Program.

(d) No warrant will be issued on fault overpayments provided the claimant enters into an installment agreement within 30 days of the issuance of the initial overpayment notice and payments are made in a timely manner in accordance with the installment agreement.

(4) Installment Payments.

(a) If repayment in full has not been made within 30 days of the initial overpayment notice or the claimant has not voluntarily entered into an installment agreement or offer in compromise as provided in Section R994-305-1201, the Department will allow the claimant to pay in installments by notifying the claimant in writing of the minimum installment payment which the claimant shall make. If the claimant cannot make the minimum installment payment, the claimant may request a review within ten days of the date written notice is mailed.

(b) Whether voluntarily or involuntary, installment payment amounts will be established using the following formulas.

(i) If the entire overpayment is $3,000 or less, the monthly installment payment is equal to 50% of the claimant's weekly benefit entitlement.

(ii) If the entire overpayment is $3,001 to $5,000, the monthly installment payment is equal to 100% of the claimant's weekly benefit entitlement.

(iii) If the entire overpayment is $5,001 to $10,000, the monthly installment payment is equal to 125% of the claimant's weekly benefit entitlement.

(iv) If the entire overpayment is $10,001 or more, the monthly installment payment is equal to 150% of the claimant's weekly benefit entitlement.

(c) Installment agreements will not be approved in amounts less than those established in Subsection R994-406- 302(4)(b) except in cases where the claimant meets the requirements of economically disadvantaged as defined in Subsection R994-406-203(1)(c)(iii). On a periodic basis, the Department may send notice to the claimant requesting verification of the claimant's disadvantaged status. If the claimant fails to provide the verification as requested, or no longer qualifies for a lesser installment payment, the Department will send the claimant a new monthly payment amount. The new installment payment amount may be in accordance with the percentages in Subsection R994-406-302(4)(b) or a lesser amount depending on the information received from the claimant.

(d) Minimum monthly installment agreement payments must be received by the Department by the last day of each month. Payments not made timely are considered delinquent.

(5) Offsetting overpayments with subsequent eligible weeks.

(a) If an overpayment is set up under Section R994-406-201 or R994-406-301 for weeks paid on a claim, the claimant may repay the overpayment by filing for open weeks in the same benefit year after the claim has been exhausted, provided the claimant is otherwise eligible.

(b) One hundred percent of the compensation amount for each eligible week claimed will be credited to the established overpayment up to the total amount of the outstanding overpayment balance owed to the Department.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-401 Claimant Fraud

(1) Each of the following elements of fraud must be proved to establish an intentional misrepresentation sufficient to constitute fraud under Subsection 35A-4-405(5). The elements of fraud are materiality, knowledge, and willfulness.

(a) Materiality.

(i) Materiality is established if a claimant makes false statements or fails to provide accurate information to obtain:

(A) any benefit payment to which the claimant is not entitled; or

(B) waiting week credit which results in a benefit payment to which the claimant is not entitled.

(ii) A benefit payment received by fraud may include an amount as small as one dollar over the amount a claimant was entitled to receive.

(b) Knowledge.

(i) Knowledge is established if a claimant knew or should have known the information submitted to the Department was incorrect or that the claimant failed to provide information required by the Department.

(ii) The claimant does not have to know that the information will result in a denial of unemployment insurance benefits or a reduction of the benefit amount.

(iii) Knowledge may also be established if a claimant recklessly makes representations knowing the claimant has insufficient information upon which to base such representations.

(iv) A claimant has an obligation to read material provided by the Department and to ask a Department representative if the claimant has a question about what information to report.

(i) Willfulness is established if a claimant files claims or other documents containing false statements, responses, or deliberate omissions.

(ii) If a claimant delegates the responsibility to provide information or allows access to the claimant's Personal Identification Number (PIN) so that someone else may file a claim, the claimant is responsible for the information provided or omitted by the other person, even if the claimant had no advance knowledge that the information provided was false or that important information was omitted.

(iii) The claimant is responsible for securing the debit card (card) issued by the Department. Securing the card means that the card and the PIN are never kept together, the card is kept in a secure location, and the PIN is not known by anyone but the claimant.

(iv) If a claimant loses the claimant's card, the claimant must report the loss of the card to the Department and change the claimant's PIN immediately even if the claimant is not currently filing weekly claims for unemployment insurance benefits. If the claimant fails to report the loss of the card and change the PIN immediately, or fails to secure the card, the claimant will be liable for claims made and money removed from the card.

(2) The Department relies primarily on information provided by the claimant when paying unemployment insurance benefits. Fraud penalties do not apply if the overpayment was the result of an inadvertent error. Fraud requires a willful misrepresentation or concealment of information to obtain unemployment insurance benefits.

(3) The absence of an admission or direct proof of intent to defraud does not prevent a finding of fraud.

(4) A claimant is required, under Section R994-403-114c, to immediately notify the Department if the claimant is incarcerated. Upon notification, the Department will deny unemployment insurance benefits to the claimant until the claimant notifies the Department of the claimant's release from incarceration. If a claimant fails to notify the Department of the claimant's incarceration, any claims made during the incarceration period will be considered fraudulent.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-402 Burden and Standard of Proof in Fraud Cases

(1) The Department has the burden of proving each element of fraud.

(2) The elements of fraud must be established by clear and convincing evidence. No admission by the claimant or direct proof of the claimant's intent is required.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-403 Fraud Disqualification and Penalty

(1) Penalties Cannot be Modified.

The Department has no authority to reduce or otherwise change the period of disqualification or the monetary penalties imposed by statute. The Department cannot exercise repayment discretion for fraud overpayments and these amounts are subject to all collection procedures.

(2) Week of Fraud.

(a) A "week of fraud" means each week any unemployment insurance benefits were received due to fraud. The only exception is if the fraud occurred during the waiting week causing the next eligible week to become the new waiting week. In that case, the new waiting week will not be considered a week of fraud for disqualification purposes. Because the new waiting week is a non-payable week, any unemployment insurance benefits received during that week will be assessed as an overpayment and because the overpayment was a result of fraud, a fraud penalty will also be assessed.

(b) If a claimant commits a fraudulent act during one week, and unemployment insurance benefits are paid in later weeks which would not have been paid but for the original fraud, each week for which unemployment insurance benefits were paid is a week of fraud subject to an overpayment, a penalty, and a disqualification period.

(c) If the only week of fraud was the waiting week and no unemployment insurance benefits payments were made, there will be no disqualification period.

(3) Disqualification Period.

(a) The claimant is ineligible for unemployment insurance benefits for a period of 13 weeks for the first week of fraud. For each additional week of fraud, the claimant will be ineligible for unemployment insurance benefits for an additional six weeks. The total number of weeks of disqualification will not exceed 49 weeks for each fraud determination. The Department will issue a fraud determination on all weeks of fraud of which the Department is aware at the time of the determination.

(b) The disqualification period begins the Sunday of the week the fraud determination is made.

(4) Overpayment and Penalty.

(a) For any fraud decision where the initial fraud determination was issued on or before June 30, 2004, the claimant shall repay to the division an overpayment which is equal to the amount of the unemployment benefits actually received. In addition, a claimant shall be required to repay, as a civil penalty, the amount of unemployment insurance benefits received as a direct result of fraud. "Unemployment insurance benefits actually received" means the unemployment insurance benefits paid or constructively paid by the Department. "Constructively paid" refers to unemployment insurance benefits used to reduce or offset an overpayment, deducted at the request of the claimant to pay income taxes, or used as a payment to the Office of Recovery Services for child support obligations or other payments as required by law.

(b) For fraud decisions where the initial Department determination is issued on or after July 1, 2004, the claimant shall repay to the division the overpayment and, as a civil penalty, an amount equal to the overpayment. The overpayment described in this subsection is the amount of unemployment insurance benefits the claimant received by direct reason of fraud.

(5) Criminal prosecution of fraud may be pursued as provided by Subsection 35A-4-104(1) in addition to the administrative penalties.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-404 Repayment and Collection of Fraud Overpayments and Penalties

(1) Fraud overpayments and penalties will be collected in accordance with Section R994-406-302 except that a warrant will always issue for fraud overpayments even if the claimant enters into an installment agreement and is current in the monthly payments.

(2) Fraud overpayments and penalties may also be collected by civil action or warrant as provided by Subsections 35A-4-305(3) and 35A-4-305(5), respectively.

(3) The Department may use unemployment insurance benefits payable for weeks before the penalty period to reduce overpayments and penalties.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-405 Future Eligibility in Fraud Cases

(1) A claimant is ineligible for unemployment insurance benefits or waiting week credit after a disqualification for fraud until any overpayment and penalty established in conjunction with the disqualification has been satisfied in full.

(2) Wage credits earned by the claimant cannot be used to pay unemployment insurance benefits or transferred to another state until the overpayment and penalty are satisfied.

(3) An outstanding overpayment or penalty may not be satisfied by deductions from benefit payments for weeks claimed after the disqualification period ends, as a claimant is precluded from receiving any future unemployment insurance benefits or waiting week credit as long as there is an outstanding fraud overpayment.

(4) A claimant may file a new claim to preserve a particular benefit year.

(5) An overpayment is considered satisfied as of the beginning of the week during which payment is received by the Department.

(6) Unemployment insurance benefits will be allowed as of the effective date of a new claim if the claimant repays the overpayment and penalty within seven days of the date the notice of the outstanding overpayment and penalty is issued.

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

Utah Admin. Code R994-406-406 Agency Error in Determining Disqualification Periods

(1) If the Department has sufficient evidence to assess a disqualification before paying unemployment insurance benefits, but fails to act, a fraud disqualification will not be assessed even if the claimant provided false or information or made deliberate omissions.

(2) The resulting overpayment will be assessed under Subsection 35A-4-406(4)(b) or 35A-4-406(5)(a).

History

KEY: overpayments, unemployment compensation
Date of Last Change: March 31, 2022
Notice of Continuation: May 2, 2022
Authorizing, and Implemented or Interpreted Law: 35A-4-406(2); 35A-4-406(3); 35A-4-406(4); 35A-4-406(5)

R994-508 Appeal Procedures

Utah Admin. Code R994-508-101 Right to Appeal an Initial Department Determination

(1) An interested party has the right to appeal an initial Department determination on unemployment benefits or unemployment contributions by filing an appeal with the Appeals Unit or at any Department employment center.

(2) The appeal must be in writing and either sent through the U.S. Mail, faxed, delivered to the Department, or submitted electronically through the Department's website.

(3) The appeal must be signed by an interested party unless it can be shown that the party has conveyed, in writing, the authority to another person or is physically or mentally incapable of acting on the party's own behalf.

(4) The appeal should give the date of the determination being appealed, the social security number of any claimant involved, the employer number, a statement of the reason for the appeal, and any information which supports the appeal. The failure of an appellant to provide the information in this subsection will not preclude the acceptance of an appeal.

(5) The scope of the appeal is not limited to the issues stated in the appeal.

(6) If the claimant is receiving benefits at the time the appeal is filed, payments will continue pending the written decision of the Administrative Law Judge (ALJ) even if the claimant is willing to waive payment. If benefits are denied as a result of the appeal, an overpayment will be established.

(7) Providing the correct Personal Identification Number (PIN) when filing an appeal through the Department's website will be considered a signed appeal.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-102 Time Limits for Filing an Appeal from an Initial Department Determination

(1) The time permitted for an appeal is 15 calendar days from the date on the Department decision unless otherwise specified on the decision.

(2) In computing the period of time allowed for filing a timely appeal, the date as it appears in the determination is not included. The last day of the appeal period is included in the computation unless it is a Saturday, Sunday, or legal holiday when Department offices are closed. If the last day permitted for filing an appeal falls on a Saturday, Sunday, or legal holiday, the time permitted for filing a timely appeal will be extended to the next day when Department offices are open.

(3) An appeal sent through the U.S. Mail is considered filed on the date shown by the postmark.

(a) If the postmark date cannot be established because it is illegible, erroneous, or omitted, the appeal will be considered filed on the date it was mailed if the sender can establish that date by competent evidence and can show that it was mailed before the date of actual receipt.

(b) If the date of mailing cannot be established by competent evidence, the appeal will be considered filed on the date it is actually received by the Department as shown by the Department's date stamp on the document or other credible evidence such as a written notation of the date of receipt.

(c) "Mailed" in this subsection means taken to the post office or placed in a receptacle which is designated for pick up by an employee who has the responsibility of delivering it to the post office.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-103 Untimely Appeal

If it appears that an appeal was not filed in a timely manner, the appellant will be notified and given an opportunity to show that the appeal was timely or that it was delayed for good cause. If it is found that the appeal was not timely and the delay was without good cause, the ALJ or the Board will not have jurisdiction to consider the merits unless jurisdiction is established in accordance with provisions of Subsection 35A-4-406(2). Any decision with regard to jurisdictional issues will be issued in writing and delivered or mailed to all interested parties with a clear statement of the right of further appeal or judicial review.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-104 Good Cause for Not Filing Within Time Limitations

A late appeal may be considered on its merits if it is determined that the appeal was delayed for good cause. Good cause is limited to circumstances where it is shown that:

(1) the appellant received the decision after the expiration of the time limit for filing the appeal, the appeal was filed within ten days of actual receipt of the decision and the delay was not the result of willful neglect;

(2) the delay in filing the appeal was due to circumstances beyond the appellant's control; or

(3) the appellant delayed filing the appeal for circumstances which were compelling and reasonable.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-105 Response to an Appeal

A respondent is not required to file a written response to an appeal. A respondent may file a response if it does not delay the proceedings.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-106 Notice of the Hearing

(1) All interested parties will be notified by mail, at least seven days prior to the hearing, of:

(a) the time and place of the hearing;

(b) the right to be represented at the hearing;

(d) the procedure for submitting written documents;

(e) the consequences of not participating;

(f) the procedures and limitations for requesting a continuance or rescheduling; and

(g) the procedure for requesting an interpreter for the hearing, if necessary.

(2) When a new issue arises during the hearing, advance written notice may be waived by the parties after a full explanation by the ALJ of the issues and potential consequences.

(3) It is the responsibility of a party to notify and make arrangements for the participation of the party's representative and/or witnesses, if any.

(4) If a party has designated a person or professional organization as its agent, notice will be sent to the agent which will satisfy the requirement to give notice to the party.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-107 Department to Provide Documents

The Appeals Unit will obtain the information which the Department used to make its initial determination and the reasoning upon which that decision was based and will send all of the Department's relevant documentary information to the parties with the notice of hearing.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-108 Discovery

(1) Discovery is a legal process to obtain information which is necessary to prepare for a hearing. In most unemployment insurance hearings, informal methods of discovery are sufficient. Informal discovery is the voluntary exchange of information regarding evidence to be presented at the hearing, and witnesses who will testify at the hearing. Usually a telephone call to the other party requesting the needed information is adequate. Parties are encouraged to cooperate in providing information. If this information is not provided voluntarily, the party requesting the information may request that the ALJ compel a party to produce the information through a verbal or written order or issuance of a subpoena. In considering the requests, the ALJ will balance the need for the information with the burden the requests place upon the opposing party and the need to promptly decide the appeal.

(2) The use of formal discovery procedures in unemployment insurance appeals proceedings are rarely necessary and tend to increase costs while delaying decisions. Formal discovery may be allowed for unemployment insurance hearings only if so directed by the ALJ and when each of the following elements is present:

(a) informal discovery is inadequate to obtain the information required;

(b) there is no other available alternative that would be less costly or less intimidating;

(d) it is necessary for the parties to properly prepare for the hearing; and

(e) it does not cause unreasonable delays.

(3) Formal discovery includes requests for admissions, interrogatories, and other methods of discovery as provided by the Utah Rules of Civil Procedure.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-109 Hearing Procedure

(1) All hearings will be conducted before an ALJ in such manner as to provide due process and protect the rights of the parties.

(2) The hearing will be recorded.

(3) The ALJ will regulate the course of the hearing to obtain full disclosure of relevant facts and to afford the parties a reasonable opportunity to present their positions.

(4) The decision of the ALJ will be based solely on the testimony and evidence presented at the hearing.

(5) All testimony of the parties and witnesses will be given under oath or affirmation.

(6) All parties will be given the opportunity to provide testimony, present relevant evidence which has probative value, cross- examine any other party and/or other party's witnesses, examine or be provided with a copy of all exhibits, respond, argue, submit rebuttal evidence and/or provide statements orally or in writing, and/or comment on the issues.

(7) The evidentiary standard for ALJ decisions, except in cases of fraud, is a preponderance of the evidence. Preponderance means evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it; that is, evidence which as a whole shows that the fact sought to be proved is more probable than not. The evidentiary standard for determining claimant fraud is clear and convincing evidence. Clear and convincing is a higher standard than preponderance of the evidence and means that the allegations of fraud are highly probable.

(8) The ALJ will direct the order of testimony and rule on the admissibility of evidence. The ALJ may, on the ALJ's own motion or the motion of a party, exclude evidence that is irrelevant, immaterial, or unduly repetitious.

(9) Oral or written evidence of any nature, whether or not conforming to the rules of evidence, may be accepted and will be given its proper weight. A party has the responsibility to present all relevant evidence in its possession. When a party is in possession of evidence but fails to introduce the evidence, an inference may be drawn that the evidence does not support the party's position.

(10) Official Department records, including reports submitted in connection with the administration of the Employment Security Act, may be considered at any time in the appeals process including after the hearing.

(11) Parties may introduce relevant documents into evidence. Parties must mail, fax, or deliver copies of those documents to the ALJ assigned to hear the case and all other interested parties so that the documents are received three days prior to the hearing. Failure to prefile documents may result in a delay of the proceedings. If a party has good cause for not submitting the documents three days prior to the hearing or if a party does not receive the documents sent by the Appeals Unit or another party prior to the hearing, the documents will be admitted after provisions are made to insure due process is satisfied. At his or her discretion, the ALJ can either:

(a) reschedule the hearing to another time;

(b) allow the parties time to review the documents at an in-person hearing;

(c) request that the documents be faxed during the hearing, if possible, or read the material into the record in case of telephone hearing; or

(d) leave the record of the hearing open, send the documents to the party or parties who did not receive them, and give the party or parties an opportunity to submit additional evidence after they are received and reviewed.

(12) The ALJ may, on his or her own motion, take additional evidence as is deemed necessary.

(13) With the consent of the ALJ, the parties to an appeal may stipulate to the facts involved. The ALJ may decide the appeal on the basis of those facts, or may set the matter for hearing and take further evidence as deemed necessary to decide the appeal.

(14) The ALJ may require portions of the testimony be transcribed as necessary for rendering a decision.

(15) All initial determinations made by the Department are exempt from the provisions of the Utah Administrative Procedures Act (UAPA). Appeals from initial determinations will be conducted as formal adjudicative proceedings under UAPA.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-110 Telephone Hearings

(1) Hearings are scheduled as telephonic hearings. Every party wishing to participate in the telephone hearing must call the Appeals Unit before the hearing and provide a telephone number where the party can be reached at the time of the hearing. If the party that filed the appeal fails to call in advance as required by the notice of hearing, the appeal will be dismissed and an order of default will be issued.

(2) If a party requires an in-person hearing, the party must contact an ALJ and request that the hearing be scheduled as an in-person hearing. The request should be made sufficiently in advance of the hearing so that all other parties may be given notice of the change in hearing type and the opportunity to appear in person also. Requests will only be granted if the party can show that an in- person hearing is necessary to accommodate a special need or if the ALJ deems an in-person hearing is necessary to ensure an orderly and fair hearing which meets due process requirements. If the ALJ grants the request, all parties will be informed that the hearing will be conducted in person. Even if the hearing is scheduled as an in-person hearing, a party may elect to participate by telephone. In- person hearings are held in the office of the Appeals Unit unless the ALJ determines that another location is more appropriate. The Department is not responsible for any travel costs incurred by attending an in-person hearing.

(3) The Appeals Unit will provide a toll-free telephone number that parties and their witnesses can call for confirming and participating in telephone hearings.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-111 Evidence, Including Hearsay Evidence

(1) The failure of one party to provide information either to the Department initially or at the appeals hearing severely limits the facts available upon which to base a good decision. Therefore, it is necessary for all parties to actively participate in the hearing by providing accurate and complete information in a timely manner to assure the protection of the interests of each party and preserve the integrity of the unemployment insurance system.

(2) Hearsay, which is information provided by a source whose credibility cannot be tested through cross-examination, has inherent infirmities which make it unreliable.

(3) Evidence will not be excluded solely because it is hearsay. Hearsay, including information provided to the Department through telephone conversations and written statements will be considered, but greater weight will be given to credible sworn testimony from a party or a witness with personal knowledge of the facts.

(4) Findings of fact cannot be based exclusively on hearsay evidence unless that evidence is admissible under the Utah Rules of Evidence. All findings must be supported by a residuum of legal evidence competent in a court of law.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-112 Procedure For Use of an Interpreter at the Hearing

(1) If a party notifies the Appeals Unit that an interpreter is needed, the Unit will arrange for an interpreter at no cost to the party.

(2) The ALJ must be assured that the interpreter understands the English language and understands the language of the person for whom the interpreter will interpret.

(3) The ALJ will instruct the interpreter to interpret, word for word, and not summarize, add, change, or delete any of the testimony or questions.

(4) The interpreter will be sworn to truthfully and accurately translate all statements made, all questions asked, and all answers given.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-113 Department a Party to Proceedings

As a party to the hearing, the Department or its representatives have the same rights and responsibilities as other interested parties to present evidence, bring witnesses, cross-examine witnesses, give rebuttal evidence, and appeal decisions. The ALJ cannot act as the agent for the Department and therefore is limited to including in the record only that relevant evidence which is in the Department files, including electronically kept records or records submitted by Department representatives. The ALJ will, on his or her own motion, call witnesses for the Department when the testimony is necessary and the need for such witnesses or evidence could not have been reasonably anticipated by the Department prior to the hearing. If the witness is not available, the ALJ will, on his or her own motion, continue the hearing until the witness is available.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-114 Ex Parte Communications

Parties are not permitted to discuss the merits or facts of any pending case with the ALJ assigned to that case or with a member of the Board prior to the issuance of the decision, unless all other parties to the case have been given notice and opportunity to be present. Any ex parte discussions between a party and the ALJ or a Board member will be reported to the parties at the time of the hearing and made a part of the record. Discussions with Department employees who are not designated to represent the Department on the issue and are not expected to participate in the hearing of the case are not ex parte communications and do not need to be made a part of the record.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-115 Requests for Removal of an ALJ from a Case

A party may request that an ALJ be removed from a case on the basis of partiality, interest, or prejudice. The request for removal must be made to the ALJ assigned to hear the case. The request must be made prior to the hearing unless the reason for the request was not, or could not have been known prior to the hearing. The request must state specific facts which are alleged to establish cause for removal. If the ALJ agrees to the removal, the case will be assigned to a different ALJ. If the ALJ finds no legitimate grounds for the removal, the request will be denied and the ALJ will explain the reasons for the denial during the hearing. Appeals pertaining to the partiality, interest, or prejudice of the ALJ may be filed consistent with the time limitations for appealing any other decision.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-116 Rescheduling or Continuance of Hearing

(1) The ALJ may adjourn, reschedule, continue, or reopen a hearing on the ALJ's own motion or on the motion of a party.

(2) If a party knows in advance of the hearing that they will be unable to proceed with or participate in the hearing on the date or time scheduled, the party must request that the hearing be rescheduled or continued to another day or time.

(a) The request must be received prior to the hearing.

(b) The request must be made orally by calling the Appeals Unit. If the request is not received prior to the hearing, the party must show cause for failing to make a timely request.

(3) Unless compelling reasons exist, a party will not normally be granted more than one request for a continuance.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-117 Failure to Participate in the Hearing and Reopening the Hearing After the Hearing Has Been Concluded

(1) If a party fails to appear for or participate in the hearing, either personally or through a representative, the ALJ may take evidence from participating parties and will issue a decision based on the best available evidence.

(2) Any party failing to participate, personally or through a representative, may request that the hearing be reopened.

(3) The request must be in writing, must set forth the reason for the request, and must be mailed, faxed, or delivered to the Appeals Unit within ten days of the issuance of the decision issued under Subsection (1). Intermediate Saturdays, Sundays and legal holidays are excluded from the computation of the ten days in accordance with Rule 6 of the Utah Rules of Civil Procedure. If the request is made after the expiration of the ten-day time limit, but within 30 days, the party requesting reopening must show cause for not making the request within ten days. If no decision has yet been issued, the request should be made without unnecessary delay. If the request is received more than 30 days after the decision is issued, the Department will have lost jurisdiction and the party requesting reopening must show good cause for not making a timely request.

(4) If a request to reopen is not granted, the ALJ will issue a decision denying the request. A party may appeal a denial of the request to reopen to the Board within 30 days of the date of issuance of the decision. The appeal must be in writing and set forth the reason or reasons for the appeal. The appeal can only contest the denial of the request to set aside the default and not the underlying merits of the case except as provided in R994-508-118(2)(f).

(5) The ALJ may reopen a hearing on his or her own motion if it appears necessary to take continuing jurisdiction or if the failure to reopen would be an affront to fairness.

(6) If the request to reopen is made more than 30 days after the issuance of the ALJ's decision, the ALJ may consider the request or refer it to the Board to be treated as an appeal to the Board.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-118 What Constitutes Grounds to Reopen a Hearing

(1) The request to reopen will be granted if the party was prevented from appearing at the hearing due to circumstances beyond the party's control.

(2) The request may be granted upon such terms as are just for any of the following reasons: mistake, inadvertence, surprise, excusable neglect, or any other reason justifying relief from the operation of the decision. The determination of what sorts of neglect will be considered excusable is an equitable one, taking into account all of the relevant circumstances including:

(a) the danger that the party not requesting reopening will be harmed by reopening;

(b) the length of the delay caused by the party's failure to participate including the length of time to request reopening;

(d) whether the party requesting reopening acted in good faith;

(e) whether the party was represented at the time of the hearing. Attorneys and professional representatives are expected to have greater knowledge of Department procedures and rules and are therefore held to a higher standard; and

(f) whether based on the evidence of record and the parties' arguments or statements, taking additional evidence might affect the outcome of the case.

(3) Requests to reopen are remedial in nature and thus must be liberally construed in favor of providing parties with an opportunity to be heard and present their case. Any doubt must be resolved in favor of granting reopening.

(4) Excusable neglect is not limited to cases where the failure to act was due to circumstances beyond the party's control.

(5) The ALJ has the discretion to schedule a hearing to determine if a party requesting reopening satisfied the requirements of this rule or may, after giving the other parties an opportunity to respond to the request, grant or deny the request on the basis of the record in the case.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-119 Withdrawal of Appeal

A party who has filed an appeal with the Appeals Unit may request that the appeal be withdrawn. The request must explain the reasons for the withdrawal and be made to the ALJ assigned to hear the case, or the supervising ALJ if no ALJ has yet been assigned. The ALJ may deny the request if the withdrawal of the appeal would jeopardize the due process rights of any party. If the ALJ grants the request, the ALJ will issue a decision dismissing the appeal and the initial Department determination will remain in effect. The decision will inform the parties of the right to reinstate the appeal and the procedure for reinstating the appeal. A request to reinstate an appeal must be made within ten calendar days of the decision dismissing the appeal, must be in writing, and must show cause for the request. A request to reinstate made more than ten days after the dismissal will be treated as a late appeal.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-120 Prompt Notification of Decision

Any decision by an ALJ or the Board which affects the rights of any party with regard to benefits, tax liability, or jurisdictional issues will be mailed to the last known address of the parties or delivered in person. Each decision issued will be in writing with a complete statement of the findings of fact, reasoning and conclusions of law, and will include or be accompanied by a notice specifying the further appeal rights of the parties. The notice of appeal rights shall state clearly the place and manner for filing an appeal from the decision and the period within which a timely appeal may be filed.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-122 Finality of Decision

The ALJ's decision is binding on all parties and is the final decision of the Department unless appealed within 30 days of date the decision was issued.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-201 Non-Attorney Representative Fees

(1) An authorized representative who is not an attorney may not charge or receive a fee for representing a claimant in an action before the Department without prior approval by an ALJ or the Board. The Department is not responsible for the payment of the fee, only the regulation and approval of the fee. The Department does not regulate fees charged to employers or attorney's fees.

(2) Fees will not be approved in excess of 25 percent of the claimant's maximum potential regular benefit entitlement.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-202 Petition for Approval of Fee

(1) If a fee is to be charged, a written petition for approval must be submitted by the claimant's representative to the ALJ before whom the representative appeared, or to the supervising ALJ if no hearing was scheduled. An approval form can be obtained through the Appeals Unit. Prior to approving the fee, a copy of the petition will be sent to the claimant and the claimant will be allowed ten days from the date of mailing to object to the fee. At the discretion of the ALJ, the fee may be approved as requested, adjusted to a lower amount, or disallowed in its entirety.

(2) If the case is appealed to the Board level, the claimant's representative must file a new petition with the Board if additional fees are requested.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-203 Criteria for Evaluation of Fee Petition

The appropriateness of the fee will be determined using the following criteria:

(1) the complexity of the issues involved;

(2) the amount of time actually spent in;

(a) preparation of the case;

(b) attending the hearing;

(c) preparation of a brief, if required. Unless an appeal is taken to the Court of Appeals, fees charged for preparation of briefs or memoranda will not ordinarily be approved unless the ALJ requested or preapproved the filing of the brief or memoranda; and

(d) further appeal to the Board, the Court of Appeals, and/or the Supreme Court.

(3) The quality of service rendered including:

(a) preparedness of the representative;

(b) organization and presentation of the case;

(c) avoidance of undue delays. A representative should make every effort to go forward with the hearing when it is originally scheduled to avoid leaving the claimant without income or an unnecessary overpayment; and,

(d) the necessity of representation. If the ALJ or the Board determines that the claimant was not in need of representation because of the simplicity of the case or the lack of preparation on the part of the representative, only a minimal fee may be approved or, in unusual circumstances, a fee may be disallowed.

(4) The prevailing fee in the community. The prevailing fee is the rate charged by peers for the same type of service. In determining the prevailing fee for the service rendered, the Department may consider information obtained from the Utah State Bar Association, Lawyer's Referral Service, or other similar organizations as well as similar cases before the Appeals Unit.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-204 Appeal of Fee

The claimant or the authorized representative may appeal the fee award to the Board within 30 days of the date of issuance of the ALJ's decision. The appeal must be in writing and set forth the reason or reasons for the appeal.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-301 Appeal From a Decision of an ALJ

If the ALJ's decision did not affirm the initial Department determination, the Board will accept a timely appeal from that decision if filed by an interested party. If the decision of the ALJ affirmed the initial Department determination, the Board has the discretion to refuse to accept the appeal or request a review of the record by an individual designated by the Board. If the Board refuses to accept the appeal or requests a review of the record as provided in statute, the Board will issue a written decision declining the appeal and containing appeal rights.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-302 Time Limit for Filing an Appeal to the Board

(1) The appeal from a decision of an ALJ must be filed within 30 calendar days from the date the decision was issued by the ALJ. This time limit applies regardless of whether the decision of the ALJ was sent through the U.S. Mail or personally delivered to the party. "Delivered to the party" means personally handed, faxed, or sent electronically to the party. No additional time for mailing is allowed.

(2) In computing the period of time allowed for filing a timely appeal, the date as it appears in the ALJ's decision is not included. The last day of the appeal period is included in the computation unless it is a Saturday, Sunday, or legal holiday when Department offices are closed. If the last day permitted for filing an appeal falls on a Saturday, Sunday, or legal holiday, the time permitted for filing a timely appeal will be extended to the next day when Department offices are open.

(3) An appeal sent through the U.S. Mail is considered filed on the date shown by the postmark.

(c) "Mailed" in this subsection means taken to the post office or placed in a receptacle which is designated for pick up by an employee who has the responsibility of delivering it to the post office.

(4) If the appeal is faxed to the Board, the date of filing is the date recorded on the fax.

(5) If the appeal is submitted electronically, the date of filing is the date recorded by the electronic system.

(6) Appeals to the Board which appear to be untimely pursuant to Subsections R994-508-302(1) through (5) will be handled in the same way as untimely appeals to the ALJ in Sections R994-508-103 and R994-508-104.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-303 Procedure for Filing an Appeal to the Board

(1) An appeal to the Board from a decision of an ALJ must be in writing and include:

(a) the name and signature of the party filing the appeal;

(b) the name and social security number of the claimant in cases involving claims for unemployment benefits;

(d) the date when the appeal was mailed or sent to the Department.

(2) The appeal must be mailed, faxed, delivered to, or filed electronically with the Department.

(3) An appeal which does not state adequate grounds, or specify alleged errors in the decision of the ALJ, may be summarily dismissed.

(4) Accessing the Department's website to file an appeal and providing a correct PIN will be considered a signed appeal.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-304 Response to an Appeal to the Board

Interested parties will receive notice that an appeal has been filed and a copy of the appeal and will be given 15 days from the date the appeal was mailed to the party to file a response. Parties are not required to file a response. A party filing a response should mail a copy to all other parties and the Board.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-305 Decisions of the Board

(1) The Board has the discretion to consider and render a decision on any issue in the case even if it was not presented at the hearing or raised by the parties on appeal.

(2) Absent a showing of unusual or extraordinary circumstances, the Board will not consider new evidence on appeal if the evidence was reasonably available and accessible at the time of the hearing before the ALJ.

(3) The Board has the authority to request additional information or evidence, if necessary.

(4) The Board my remand the case to the Department or the ALJ when appropriate.

(5) A copy of the decision of the Board, including an explanation of the right to judicial review, will be delivered or mailed to the interested parties.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-307 Withdrawal of Appeal to the Board

A party who has filed an appeal from a decision of an ALJ may request that the appeal be withdrawn. The request must explain the reasons for the withdrawal by making a written statement to the Board explaining the reasons for the withdrawal. The

Board may deny such a request if the withdrawal of the appeal jeopardizes the due process rights of any party. If the Board grants the request, a decision dismissing the appeal will be issued and the underlying decision will remain in effect. The decision will inform the party of the right to reinstate the appeal and the procedure for reinstating the appeal. A request to reinstate an appeal under this subsection must be made within ten days of the decision dismissing the appeal, must be in writing, and must show cause for the request. A request to reinstate made more than 30 days after the dismissal will be treated as a late appeal.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

Utah Admin. Code R994-508-401 Jurisdiction and Reconsideration of Decisions

(1) An initial Department determination or a decision of an ALJ or the Board is not final until the time permitted for the filing of an appeal has elapsed. There are no limitations on the review of decisions until the appeal time has elapsed.

(2) After a determination or decision has become final, the Department may, on its own initiative or upon the request of any interested party, review a determination or decision and issue a new decision or determination, if appropriate, if there has been a change of conditions or a mistake as to facts. The reconsideration must be made at, or with the approval of, the level where the last decision on the case was made or is currently pending.

(a) A change in conditions may include a change in the law which would make reconsideration necessary in fairness to the parties who were adversely affected by the law change. A change in conditions may also include an unforeseeable change in the personal circumstances of the claimant or employer which would have made it reasonable not to file a timely appeal.

(b) A mistake as to facts is limited to material information which was the basis for the decision. A mistake as to facts may include information which is misunderstood or misinterpreted, but does not include an error in the application of the act or the rules provided the decision is made under the correct section of the act. A mistake as to facts can only be found if it was inadvertent. If the party alleging the mistake intentionally provided the wrong information or intentionally withheld information, the Department will not exercise jurisdiction under this paragraph.

(3) The Department is not required to take jurisdiction in all cases where there is a change in conditions or a mistake as to facts. The Department will weigh the administrative burden of making a redetermination against the requirements of fairness and the opportunities of the parties affected to file an appeal. The Department may decline to take jurisdiction if the redetermination would have little or no effect.

(4) Any time a decision or determination is reconsidered, all interested parties will be notified of the new information and provided with an opportunity to participate in the hearing, if any, held in conjunction with the review. All interested parties will receive notification of the redetermination and be given the right to appeal.

(5) A review cannot be made after one year from the date of the original determination except in cases of fraud or claimant fault. In cases of fault or fraud, the Department has continuing jurisdiction as to overpayments. In cases of fraud, the Department only has jurisdiction to assess the penalty provided in Utah Code Subsection 35A-4-405(5) for a period of one year after the discovery of the fraud.

History

KEY: unemployment compensation, appellate procedures
Date of Last Change: April 22, 2020
Notice of Continuation: March 22, 2023
Authorizing, and Implemented or Interpreted Law: 35A-4-508(2); 35A-4-508(5); 35A-4-508(6); 35A-4-406; 35A-4-103

R995 School Readiness Program

R995-100 School Readiness Program

Utah Admin. Code R955-100-100 Purpose

This rule describes the processes and procedures for administering the School Readiness Program in Title 35A, Chapter 15, Preschool Programs.

History

KEY: preschool, grant programs
Date of Last Change: October 18, 2024
Notice of Continuation: December 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-15-301; 35A-15-302; 35A-15-303

Utah Admin. Code R955-100-101 Authority

This rule is authorized by Sections 35A-15-301 through 35A-15-303 and is enacted under Title 63G, Chapter 3, Utah Administrative Rulemaking Act.

History

KEY: preschool, grant programs
Date of Last Change: October 18, 2024
Notice of Continuation: December 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-15-301; 35A-15-302; 35A-15-303

Utah Admin. Code R955-100-102 Definitions

(1) The terms used in this rule are defined in Section 35A-15-102.

(2) In addition:

(a) "OCC" means the Department of Workforce Services, Office of Child Care.

(b) "SRT" means school readiness team.

History

KEY: preschool, grant programs
Date of Last Change: October 18, 2024
Notice of Continuation: December 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-15-301; 35A-15-302; 35A-15-303

Utah Admin. Code R955-100-103 Priority for Funding

(1) The School Readiness Restricted Account distribution of funds is prioritized as follows:

(a) to pay results-based contracts if awarded;

(b) to grant awards for high quality school readiness programs; and

(2) Department staff shall develop grant documentation in consultation with the SRT.

(3) The department shall give priority in awarding a high quality school readiness grant to an applicant that has previously received a high quality school readiness grant, if all criteria are met.

History

KEY: preschool, grant programs
Date of Last Change: October 18, 2024
Notice of Continuation: December 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-15-301; 35A-15-302; 35A-15-303

Utah Admin. Code R955-100-200 Becoming Quality School Readiness Grant Program

(1) A grant under this section shall be awarded by the department in consultation with the SRT.

(2) During each program year, a grant recipient shall administer and report results of the assessments required in the grant agreement.

(3) The department shall monitor a grant recipient in accordance with department policy and procedure, and in consultation with the SRT.

(a) Monitoring may include:

(i) fiscal operations;

(ii) the terms, conditions, attachments, scope of work, and performance requirements of the grant agreement;

(iii) announced and unannounced site visits;

(iv) desk audit;

(v) third party monitoring;

(vi) expenditure document review; and

(vii) video or phone conferencing.

(b) Onsite monitoring will take place during normal business hours.

(c) If the department determines a grant recipient is not in compliance with the grant agreement, the recipient may be placed on a performance improvement plan or the agreement may be terminated in accordance with the terms of the grant agreement.

(d) If a grant recipient fails to comply with a performance improvement plan, the recipient may be ineligible to receive additional reimbursements or future grant funding.

(3) A grant recipient may receive a grant under this section for no longer than three years.

History

KEY: preschool, grant programs
Date of Last Change: October 18, 2024
Notice of Continuation: December 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-15-301; 35A-15-302; 35A-15-303

Utah Admin. Code R955-100-300 High Quality School Readiness Grant Program

(1) A grant under this section shall be awarded to an eligible LEA or private provider by the department in consultation with the SRT to expand access to high quality school readiness programs for eligible students.

(2) During each program year, a grant recipient shall administer and report results of the assessments required in the grant agreement.

(3) The department shall administer and monitor a grant in accordance with department policy and procedure, and in consultation with the SRT.

(a) Monitoring may include:

(i) fiscal operations;

(ii) the terms, conditions, attachments, scope of work, and performance requirements of the grant agreement;

(iii) announced and unannounced site visits;

(iv) desk audit;

(v) third party monitoring;

(vi) expenditure document review; and

(vii) video or phone conferencing.

(b) Onsite monitoring will take place during normal business hours.

(c) If the department determines a grant recipient is not in compliance with the grant agreement, the recipient may be placed on a performance improvement plan.

(d) If a grant recipient fails to comply with a performance improvement plan, the recipient may be ineligible to receive additional reimbursements or future grant funding.

History

KEY: preschool, grant programs
Date of Last Change: October 18, 2024
Notice of Continuation: December 23, 2024
Authorizing, and Implemented or Interpreted Law: 35A-15-301; 35A-15-302; 35A-15-303