By statute, the DETF Secretary is expressly authorized, with appropriate board approval, to promulgate rules required for the efficient administration of any benefit plan established in ch.
40
of the Wisconsin statutes. Also, each state agency may promulgate rules interpreting the provisions of any statute enforced or administered by the agency if the agency considers it necessary to effectuate the purpose of the statute.
Related statute or rule
Ch.
ETF 11
, Wis. Admin. Code, establishes a procedure for the review of appealable department determinations by the board responsible for the subject matter. There are no other related administrative rules or statutes.
Plain language analysis
The purpose of this rule is to improve the procedure for receipt of service of process upon the boards attached to the department by increasing the number of persons who are authorized to accept such service. The rule eliminates the reference to a chief counsel and changes that position to general counsel, and adds to other positions to the list of persons designated to accept service for the board.
Comparison with federal regulations
There are no existing or proposed federal regulations that directly pertain to this proposed rule.
Comparison with rules in adjacent states
The department did not locate any comparable rule or statute in any adjacent states.
Summary of factual data and analytical methodologies
Currently only three positions are designated by rule to receive service on behalf of the board: the chief counsel of the department and the division administrator or program director administering the program which pertains to the underlying appeal to the board.
This rule will improve the procedure for receipt of service of process upon the boards attached to the department by increasing the number of persons who are authorized to accept such service.
Analysis and supporting documents used to determine effect on small business
The rule does not have an effect on small businesses because private employers and their employees do not participate in, and are not covered by, the Wisconsin Retirement System.
Small Business Impact
There is no effect on small business.
Fiscal Estimate
The rule will have no effect on county, city, village, town, school district, technical college district or sewerage district fiscal liabilities or revenues. The rule will have no effect on state funds.
Text of Proposed Rule
ETF 11.15 (4) is amended to read:
(4) AGENT FOR SERVICE UPON BOARD. Except as provided in this subsection, no person or employee of the department is authorized to accept service for the board. From time to time the board may by motion designate a person, either by name or position, as agent to accept personal service for the board. Persons holding the following positions, whose names shall be disclosed by the department upon request, are designated as agents to accept personal service on behalf of the board:
(a) The
chief counsel
general counsel
of the department.
(b) The division administrator or program director administering the particular program which is the subject matter of the underlying appeal to the board.
(c) The deputy secretary of the department
(d) The secretary of the department, or his or her designees.
Agency Contact Person
Please direct any questions about the proposed rule to David Nispel, General Counsel, department of employee trust funds, P. O. Box 7931, Madison, WI 53707. The email address:
david.nispel@etf.state.wi.us
. The telephone number is: (608) 264-6936.
Notice of Hearing
Government Accountability Board
NOTICE IS HEREBY GIVEN that pursuant to ss.
5.05 (1) (f)
and
227.11 (2) (a)
, Stats., the Government Accountability Board will hold a public hearing to consider adoption of a rule to create Chapter
GAB 22
relating to settlement of certain campaign finance, ethics and lobbying violations.
Hearing Information
The public hearing will be held at the time and location shown below:
Date and Time
|
Location
|
July 28, 2009
10:00 a.m.
|
Government Accountability Board
Office
212 E. Washington Avenue
3rd Floor
Madison, WI 53703
|
This public hearing site is accessible to individuals with disabilities. If you have special needs or circumstances that may make communication or accessibility difficult at the hearing, please contact the person listed below.
Submission of Written Comments
Comments on the proposed rules should be submitted to the Government Accountability Board, 212 East Washington Ave., P.O. Box 7984, Madison, Wisconsin 53707-7984; (elections.state.wi.us). Comments should be submitted by July 28, 2009.
Analysis Prepared by Government Accountability Board
Statutes interpreted
Sections
5.05 (2m) (c) 12.
,
11.05
,
11.055
,
11.06
,
11.12
,
11.20
,
11.21
,
11.26
,
13.625
,
13.64
,
13.65
,
13.66
,
13.67
,
13.68
, and
19.43
, Stats.
Statutory authority
Explanation of agency authority
Pursuant to s.
5.05 (2m) (c) 12.
, Stats., the legislature specifically authorized the Board to prescribe, by rule, categories of civil offenses which the Board will agree to compromise and settle without a formal investigation and upon payment of specified amounts by the alleged offender.
Related statute(s) or rule(s)
Chapter
11
, Stats.—Campaign Financing, subch.
III of ch. 13
, Stats.—Regulation of Lobbying, and subch.
III
ch.
19
, Stats.—Code of Ethics for Public Officials and Employees. Chapter
GAB 1
—Campaign Financing.
Plain language analysis
Chapter
GAB 22
will establish settlement offer guidelines that the Government Accountability Board's staff may use to resolve certain violations of chapters 11, 13, and 19, Stats., in lieu of an enforcement action.
Comparison with federal regulations
Federal regulations will not apply to the activities covered by ch.
GAB 22
. The Federal Election Commission has established various formulas and charts for automatic administrative civil penalties for late filing of federal reports that are based upon the amount of activity during the reporting period. See
11 CFR 111.43
.
Comparison with rules in adjacent states
Illinois
Illinois statutes prescribe an automatic civil penalty of $25.00 per business day for late filing or failing to file statements of organization of political committees, except that the civil penalty for committees formed to support candidates for statewide offices is $50.00 per business day. 10 ILCS 5/9-3. Illinois has administrative rules regarding civil penalties for late campaign finance reports, categorized based upon the amount of receipts, expenditures and balance at the end of the report. See 26 Ill. Adm. Code §
125.425
. These civil penalties range from the lowest category of $25.00 per business day for the first violation, $50.00 per business day for the second violation. and $75.00 per business day for the third and each subsequent violation, to the highest category of $200.00 per business day for the first violation, $400.00 per business day for the second violation, and $600.00 per day for the third and each subsequent violation.
Id.
Iowa
Iowa's Ethics and Campaign Disclosure Board has the authority to administratively resolve late reports by assessment of automatic civil penalties prescribed by the Board. Ch.
351
-9.4(5), Iowa Adm. Code.
Michigan
Michigan has rules prescribing automatic late fees for registration, reports and statements for lobbying and campaign finance matters. Rs. 4.443, 4.452, and 169.4, Mich. Adm. Code. The automatic late fee for campaign registration statements is $10.00 per business day. See s.
169.224
, Mich. Stats. The automatic late fees for campaign finance reports are $25.00 for each business day it remains unfiled, an additional $25.00 for each business day after the first three that the report remains unfiled, and an additional $50.00 for each business day after the first ten that the report remains unfiled. s.
169.233
, Mich. Stats.
Minnesota
In Minnesota, the Office of Administrative Hearings has used a "penalty matrix" designed by the Secretary of State's Office to provide guidance for most campaign finance violations.
Summary of factual data and analytical methodologies
Adoption of these rules was primarily predicated upon the legislature's specific authorization to have the Government Accountability Board prescribe, by rule, categories of civil offenses which the Board will agree to compromise and settle without a formal investigation and upon payment of specified amounts by the alleged offender.
Analysis and supporting documentation used to determine effect on small businesses
The rule will have no effect on small business, nor any economic impact.
Small Business Impact
The creation of this rule does not affect business.
Fiscal Estimate
The creation of this rule has no new fiscal effect.
Text of Proposed Rule
SECTION 1. Chapter
GAB 22
is created to read:
CHAPTER
GAB 22
SETTLEMENT OFFER SCHEDULE
22.01 Definitions.
In this chapter:
(1) "Board" means the Wisconsin government accountability board.
(2) "Campaign finance registration statement" means the statement required to be filed by individuals, committees and groups under s.
11.05
, Stats.
(3) "Continuing campaign finance report" means the semi-annual campaign finance report required under s.
11.20 (4)
, Stats.
(4) "Contribution" has the meaning given in s.
11.01 (6)
, Stats.
(5) "Contributor" means an individual or committee who makes a contribution under s.
11.01 (6)
, Stats.
(6) "Contributor information" means the information required by s.
11.06 (1)
, Stats., regarding contributions greater than $20 or greater than $100.
(7) "Disbursement" has the meaning given in s.
11.01 (7)
, Stats.
(8) "Disbursement information" means the information required by s.
11.06(1)
, Stats., regarding disbursements greater than $20.
(9) "Excess contribution" means a contribution that exceeds any of the limits set in s.
11.26
, Stats.
(10) "File electronically" means the requirement in s. 11.2l (16), Stats., that registrants subject to that subsection file a copy of their campaign finance reports in electronic format.
(11) "Filing fee" means the fee required by s.
11.055
, Stats.
(12) "Last-minute contribution" means the contribution or contributions described in s.
11.12 (5)
, Stats., that are made later than 15 days prior to a primary or an election.
(13) "Lobbyist" has the meaning given in s.
13.62 (11)
, Stats.
(14) "Pre-primary report or pre-election campaign finance report" means the campaign finance reports referred to in s.
11.20 (2)
, Stats., that are due no earlier than 14 days before a primary or election and no later than 8 days before a primary or election.
(15) "Principal" has the meaning given in s.
13.62 (12)
, Stats.
(16) "Registrant" has the meaning given in s.
11.01 (18m)
Stats.
(17) "Statement of economic interests" has the meaning given in s.
19.43
, Stats.
22.02 Settlement of campaign finance violations.
(1) VIOLATIONS OF S.
11.05
, STATS., FAILURE TO TIMELY FILE A CAMPAIGN FINANCE REGISTRATION STATEMENT. (a) If a campaign finance registration statement is received within 5 days after the due date for that registration, no penalty may be imposed on the registrant.
(b) If a campaign finance registration statement is received within 6 to 10 days after the due date for that registration, a settlement offer of $100 may be extended to the registrant.
(c) If a campaign finance registration statement is received within 11 to 15 days after the due date for that registration, a settlement offer of $250 may be extended to the registrant.
(d) If a campaign finance registration is received more than 15 days after the due date for that registration, a settlement offer of $500 may be extended to the registrant.
(e) Notwithstanding the settlement terms provided in pars. (a) to (d), the board may consider mitigating circumstances, including the registrant's low level of activity, in determining the amount of the settlement offer that may be extended to the registrant.
(2) VIOLATIONS OF S.
11.20 (4)
, STATS., FAILURE TO TIMELY FILE THE CONTINUING CAMPAIGN FINANCE REPORT. (a) If a continuing campaign finance report is received within 5 days after the due date for that report, no penalty may be imposed on the registrant.
(b) If a continuing campaign finance report is received within 6 to 10 days after the due date for that report, a settlement offer of $200 may be extended to the registrant.
(c) If a continuing campaign finance report is received within 11 to 15 days after the due date for that report, a settlement offer of $500 may be extended to the registrant.
(d) If a continuing campaign finance report is received within 16 to 30 days after the due date for that report, a settlement offer of $500, plus $25 per day or, for a candidate committee, .1 % of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(e) If a continuing campaign finance report is received more than 30 days after the due date for that report, a settlement offer of $500, plus $50 per day or, for a candidate committee, .5% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(f) Notwithstanding the settlement terms provided pars. (a) to (e), the board may consider mitigating circumstances, including the registrant's level of activity under $1,000 in receipts, in determining the amount of the settlement offer that may be extended to the registrant.
(3) VIOLATIONS OF S.
11.20 (2)
, STATS., FAILURE TO TIMELY FILE THE PRE-PRIMARY OR PRE-ELECTION CAMPAIGN FINANCE REPORTS. (a) If a pre-primary or pre-election campaign finance report is received within 1 day after the due date for that report, no penalty may be imposed on the registrant.
(b) If a pre-primary or pre-election campaign finance report is received within 2 days after the due date for that report, a settlement offer of $250 may be extended to the registrant.
(c) If a pre-primary or pre-election campaign finance report is received within 3 days after the due date for that report, a settlement offer of $500 may be extended to the registrant.
(d) If a pre-primary or pre-election campaign finance report is received more than 3 days after the due date for that report, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(e) Notwithstanding the settlement terms provided in pars. (a) to (d), the board may consider mitigating circumstances, including the registrant's failure to win the primary election, in determining the amount of the settlement offer that may be extended to the registrant.
(4) VIOLATIONS OF S.
11.12 (5)
, STATS., FAILURE TO TIMELY FILE THE 24-HOUR REPORT OF LAST MINUTE CONTRIBUTIONS. (a) If a 24-hour report of last-minute contributions is received within 1 day after the due date for that report, a settlement offer of $500 may be extended to the registrant.
(b) If a 24-hour report of last-minute contributions is received more than 1 day after the due date for that report, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(5) VIOLATIONS OF S.
11.21 (16)
, STATS., FAILURE TO TIMELY FILE ANY CAMPAIGN FINANCE REPORT ELECTRONICALLY WHEN REQUIRED TO DO SO. The board will extend a settlement offer based on treating the failure to timely file electronically the same as the failure to file a campaign finance report in any other format.
(6) VIOLATIONS OF S.
11.055
, STATS., FAILURE TO TIMELY PAY THE FILING FEE.
(a) If a registrant has not paid the filing fee within the time provided by s.
11.055
, Stats., but does pay the fee within 10 days after notice of nonpayment from the board, a settlement offer of $300 may be extended to the registrant.
(b) If a registrant has not paid the filing fee within the time provided by s. l1.055, Stats., but does pay the fee within 11 to 18 days after notice of nonpayment from the board, a settlement offer of $500 may be extended to the registrant.
(c) If a registrant has not paid the filing fee within the time provided by s. l1.055, Stats., and does not pay the fee within 18 days after notice of nonpayment from the board, a settlement offer of $500 plus three times the payable fee may be extended to the registrant.
(7) VIOLATIONS OF S.
11.06
, STATS., FAILURE TO REPORT ALL REQUIRED CONTRIBUTOR INFORMATION ON A CAMPAIGN FINANCE REPORT. (a) If the contributor information required by s. l1.06, Stats., is not included on a campaign finance report and is not provided within 10 days after the board's notice of failure to comply, the registrant shall be extended a settlement offer consisting of the registrant's donation of the contribution to charity.
(b) If a report of the donation to charity of the prohibited contribution is not provided within 20 days of notice of the board's settlement offer, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant, and the prohibited contribution must be paid to charity.
(c) Notwithstanding the settlement terms provided in pars. (a) and (b), the board may consider mitigating circumstances, including the registrant's inability to obtain the required information from the contributor, in determining the amount of the settlement offer that may be extended to the registrant.
(8) VIOLATIONS OF S.
11.06
, STATS., FAILURE TO REPORT ALL REQUIRED DISBURSEMENT INFORMATION ON A CAMPAIGN FINANCE REPORT. (a) If the disbursement information required by s.
11.06
, Stats., is not included on a campaign finance report and is not provided within 10 days after the board's notice of failure to comply, the registrant may be extended a settlement offer of $100 plus 10% of the disbursement amount up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(b) If disbursement information required by s.
11.06
, Stats., is not included on a campaign finance report and is not provided within 20 days after the board's notice of failure to comply, the registrant may be extended a settlement offer of $100 plus 25% of the disbursement amount up to a maximum settlement offer of $500, plus $50 per day or, in the case of a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(c) If the disbursement information required by s.
11.06
, Stats., is not included on a campaign finance report and is not provided within 30 days after the board's notice of failure to comply, the registrant may be extended a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(9) VIOLATIONS OF S.
11.06 (5)
, STATS., FAILURE TO TIMELY REPORT THE RECEIPT OF A CONTRIBUTION. (a) If a contribution has not been included on a campaign finance report and the late report of the contribution is filed within 10 days after the due date for reporting the contribution, a settlement offer of 10% of the contribution may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(b) If the late report of the contribution is filed within 11 to 20 days after the due date for reporting the contribution, a settlement offer of 25% of the contribution may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(c) If the late report of the contribution is filed more than 20 days after the due date for reporting the contribution, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(d) Notwithstanding the settlement terms provided in pars. (a) to (c), the board may consider mitigating or aggravating circumstances, including the board's discovery of the receipt of the contribution without disclosure by the registrant, in determining the amount of the settlement offer that may be extended to the registrant.
(10) VIOLATIONS OF S.
11.06(5)
, STATS., FAILURE TO TIMELY REPORT THE RECEIPT OF A DISBURSEMENT. (a) If a disbursement has not been included on a campaign finance report and the late report of the disbursement is filed within 10 days after the due date for reporting the disbursement, a settlement offer of 10% of the disbursement may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(b) If the late report of the disbursement is filed within 11 to 20 days after the due date for reporting the disbursement, a settlement offer of 25% of the disbursement may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(c) If the late report of the disbursement is filed more than 20 days after the due date for reporting the disbursement, a settlement offer of $500, plus $50 per day or, for a candidate committee, or 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(d) Notwithstanding the settlement terms provided in pars. (a) to (c), the board may consider mitigating or aggravating circumstances, including the board's discovery of the making of the disbursement without disclosure by the registrant, in determining the amount of the settlement offer that may be extended to the registrant.
(11) VIOLATIONS OF S.
11.26
, STATS., FOR RECEIVING OR MAKING CONTRIBUTIONS IN EXCESS OF STATUTORY LIMITS. Any committee that receives a contribution in excess of the limits set by s.
11.26
, Stats., may be required to pay the excess portion of the contribution to a charitable organization and may also be extended a settlement offer for a forfeiture of 50% of the excess contribution up to a maximum of $500. Any individual or committee who makes a contribution in excess of the limits set by s.
11.26
, Stats., may be extended a settlement offer for a forfeiture of one and one-half times the excess portion of the contribution.
(12) OTHER VIOLATIONS OF CH.
11
, STATS. Settlement offers to resolve all other violations of ch.
11
, Stats., will be determined on a case-by-case basis.
22.03 Violations of subch.
III of ch. 19
, Stats., the Code of Ethics for Public Officials and Employees, the failure to timely file the statement of economic interests as required by s.
19.43
, Stats.
(1) If a statement of economic interests is received within 5 days after the due date for that statement, no penalty may be imposed on the official.
(2) If a statement of economic interests is received within 6 to 10 days after the due date for that statement, a settlement offer of $10 may be extended to the official.
(3) If a statement of economic interests is received within 11 to 25 days after the due date for that statement, a settlement offer of $50 may be extended to the official.
(4) If a statement of economic interests is received within 26 to 30 days after the due date for that statement, a settlement offer of $100 may be extended to the official.
(5) If a statement of economic interests is received more than 30 days after the due date for that statement, a settlement offer of $250 may be extended to the official.
(6) Notwithstanding the settlement terms provided in subs. (1) to (5), the board may consider mitigating circumstances, including the fact that the board's staff failed to notify the person filing the statement of the requirement to file the statement of economic interests, in determining the amount of the settlement offer.
22.04 Violations of subch.
III of ch. 13
, Stats., the Regulation of Lobbying in Wisconsin
. (1) VIOLATIONS OF S.
13.64
, STATS., FAILURE OF A PRINCIPAL TO TIMELY FILE A REGISTRATION STATEMENT. (a) If the registration statement of a principal, as required by s.
13.64
, Stats., is received within 7 days after the due date for that registration, no penalty may be imposed on the principal, but a warning that any future failure to timely file could lead to a forfeiture will be issued.
(b) If the registration statement of a principal is received within 8 to 14 days after the due date for that registration, a settlement offer of $250 may be extended to the principal.
(c) If the lobbying registration statement of a principal is received within 15 to 21 days after the due date for that registration, a settlement offer of $500 may be extended to the principal.
(d) If the lobbying registration statement of a principal is received within 22 to 28 days after the due date for that registration, a settlement offer of $750 may be extended to the principal.
(e) If the lobbying registration statement of a principal is received more than 28 days after the due date for that registration, a settlement offer of $1,000 may be extended to the principal.
(2) VIOLATIONS OF S.
13.66
, STATS., FAILURE OF A LOBBYIST TO TIMELY OBTAIN A LICENSE TO ACT AS A LOBBYIST. (a) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66
, Stats., but obtains that license within 7 days after the due date for obtaining that license, no penalty may be imposed on the lobbyist, but a warning that any future failure to timely file could lead to a forfeiture will be issued.
(b) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66
, Stats., but obtains that license within 8 to 14 days after the due date for obtaining that license, a settlement offer of $75 may be extended to the lobbyist.
(c) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66
, Stats., but obtains that license within 15 to 21 days after the due date for obtaining that license, a settlement offer of $125 may be extended to the lobbyist.
(d) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66
, Stats., but obtains that license within 22 to 28 days after the due date for obtaining that license, a settlement offer of $250 may be extended to the lobbyist.
(e) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66
, Stats., and does not obtains that license until more than 28 days after the due date for obtaining that license, a settlement offer of $500 may be extended to the lobbyist.
(3) VIOLATIONS OF S.
13.65
, STATS., FAILURE OF A PRINCIPAL TO TIMELY FILE A WRITTEN AUTHORIZATION FOR A LOBBYIST TO REPRESENT THE PRINCIPAL. (a) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65
, Stats., but files that authorization within 7 days after the due date for filing that authorization, no penalty may be imposed on the principal, but a warning that any future failure to timely file could lead to a forfeiture will be issued.
(b) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65
, Stats., but files that authorization within 8 to 14
days after the due date for filing that authorization, a settlement offer of $125 may be extended to the principal.
(c) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65
, Stats., but files that authorization within 15 to 21 days after the due date for filing that authorization, a settlement offer of $250 may be extended to the principal.
(d) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65
, Stats., but files that authorization within 22 to 28 days after the due date for filing that authorization, a settlement offer of $375 may be extended to the principal.
(e) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65
, Stats., and does not file that authorization until more than 28 days after the due date for filing that authorization, a settlement offer of $500 may be extended to the principal.
(4) VIOLATIONS OF S.
13.68
, STATS., FAILURE OF A PRINCIPAL TO TIMELY FILE THE SEMIANNUAL REPORT OF LOBBYING EXPENSES AND INCURRED OBLIGATIONS. (a) If a principal fails to timely file the semi-annual report of lobbying expenses as required by s.
13.68
, Stats., but files that report within 2 days after the due date for filing that report, no penalty may be imposed on the principal.
(b) If a principal fails to timely file the semi-annual report of lobbying expenses as required by s.
13.68
, Stats., but files that report within 3 to 6 days after the due date for filing that report, a settlement offer of $50 may be extended to the principal.
(c) If a principal fails to timely file the semi-annual report of lobbying expenses as required by s.
13.68
, Stats., but files that report within 7 to 14 days after the due date for filing that report, a settlement offer of $200 may be extended to the principal.
(d) If a principal fails to timely file the semi-annual report of lobbying expenses as required by s.
13.68
, Stats., but files that report within 14 to 21 days after the due date for filing that report, a settlement offer of $500 may be extended to the principal.
(5) VIOLATIONS OF S.
13.67
, STATS., FAILURE OF A PRINCIPAL TO TIMELY REPORT THE SUBJECT MATTER OF LOBBYING. If a principal has failed to timely report the subject matter of lobbying, as required by s.
13.67
, Stats., the board's staff will determine a settlement offer on a case-by-case basis, taking into consideration whether the principal's violation is a first, second, or third offense and taking into consideration the number of late-reported interests and the time period in which the violation or violations occurred.
(6) VIOLATIONS OF S.
13.625
, STATS., PROHIBITED CAMPAIGN CONTRIBUTIONS BY LOBBYISTS. If a lobbyist makes a campaign contribution prohibited by s.
13.625
, Stats., the recipient will be required to donate that contribution to charity and a settlement offer of $500 may be extended to the lobbyist.
(7) EFFECT OF MITIGATING OR AGGRAVATING CIRCUMSTANCES. The board's staff shall have the authority to increase or decrease any settlement offer extended for violations of subch.
III of ch. 13
, Stats., based on mitigating or aggravating circumstances surrounding the violation.
Agency Contact Person
Michael R. Haas, Staff Counsel, Government Accountability Board, 212 E. Washington Avenue, 3rd Floor, P.O. Box 7984, Madison, Wisconsin 53707-7984; Phone 608-266-0136;
Michael.Haas@wi.gov
Notice of Hearing
Transportation
NOTICE IS HEREBY GIVEN that pursuant to ss.
84.015
,
84.41 (7)
and
347.48 (2m) (e)
, Stats., the Department of Transportation will hold a public hearing to consider the amendment by emergency rule, of Chapter
Trans 315
, Wisconsin Administrative Code, relating to safety belt medical use exemption.
Hearing Information
The public hearing will be held as follows:
Date and Time
|
Location
|
September 8, 2009
10:00 a.m.
|
Hill Farms State Transportation
Building
|
|
Room 144-B
|
|
4802 Sheboygan Avenue
Madison
|
An interpreter for the hearing impaired will be available on request for this hearing. Parking for persons with disabilities and an accessible entrance are available.
Copies of Emergency Rule and Agency Contact Person
A copy of the emergency rule may be obtained upon request from Laura Andreasson, Department of Transportation, Division of State Patrol, Room 551, P. O. Box 7936, Madison, WI 53707-7936. You may also contact Ms. Andreasson by phone at (608) 267-5136.
Analysis Prepared by the Wisconsin Department of Transportation
Statutes interpreted
Statutory authority
Explanation of agency authority
Current law requires every person over 8 years of age to be properly restrained by a safety belt whenever traveling in a motor vehicle. Current law allows the Department to exempt from this safety belt use requirement any person who, because of a physical or medical condition, cannot properly be restrained in a safety belt. Department rules authorize physicians, chiropractors and Christian Science practitioners to grant exemptions from wearing safety belts. Federal law makes highway safety grant moneys available for safety belt use requirements, but federal law recognizes only medical exemptions issued by physicians. Federal grant moneys expire on July 1, 2009, and this state may not qualify for approximately $15,000,000 in federal moneys if persons other than physicians are authorized to exempt persons from safety belt use laws.
Related statute or rule
Plain language analysis
This rule making deletes authority of any person other than physicians to exempt persons from safety belt use requirements. This rule making will result in increased use of safety belts, and increase receipt of federal moneys for highway safety activities.
Comparison with federal regulations
Federal policy states that safety belt use requirements do not apply to, "Persons with medical conditions who are unable to use a safety belt, provided there is written documentation from a physician." The Department's current rules go further by allowing chiropractors and Christian Science practitioners to grant those exemptions.
Comparison with rules in adjacent states
Michigan
Mich. Comp. Laws. Annot. 257.710e(1)(e) exempts a person who possesses a written statement from a physician from safety belt use requirements. The Department was unable to identify any administrative rules on this topic.
Minnesota
Minn. Stats. Annot. §
169.686 (2)
(3)
allows physicians to exempt persons from safety belt use requirements. The Department was unable to identify any administrative rules on this topic.
Illinois
92 IL Admin. Code 1030.84 exempts from safety belt use requirements only to a person "possessing a written statement from a physician that the person is unable, for medical or physical reasons, to wear a seat safety belt."
Iowa
IA Admin. Code 761-600.16(321) authorizes physicians and chiropractors to exempt a person from safety belt use requirements for medical reasons. The Department identified no authority for Christian Science practitioners to exempt persons from safety belt use requirements.
Summary of factual data and analytical methodologies
None. NHTSA legal counsel informed the Department that in order to qualify for funds under
23 USC 406
, any administrative rule that exempts a person from safety belt use requirements must be consistent with the medical exemption permitted in the implementing guidelines for section 406 eligibility. Those guidelines limit the exemption to physicians.
Analysis and supporting documentation used to determine effect on small businesses
This rule making has no effect on small businesses.
Small Business Impact
This rule making will eliminate one issue of noncompliance specifically identified by NHTSA that makes Wisconsin ineligible for approximately $15,000,000 in federal safety belt use grant moneys.
Small business regulatory coordinator
The Department's Regulatory Review Coordinator may be contacted by e-mail at
ralph.sanders@wisconsin.gov
, or by calling (414) 438-4585.
Fiscal Estimate
The Department estimates that there will be no fiscal impact on the liabilities or revenues of any county, city, village, town, school district, vocational, technical and adult education district, sewerage district, or federally-recognized tribes or bands. The Department estimates that there will be no fiscal impact on state or private sector revenues or liabilities.
Text of Emergency Rule
SECTION 1. Trans 315.03 (1) (a) and (c) are amended to read:
Trans 315.03(1)(a) The person has a written statement signed by a licensed physician
, chiropractor or a Christian Science practitioner residing in this state and listed in the Christian Science Journal
indicating the person cannot be restrained by a safety belt because of a physical or medical condition, or words to that effect.
(c) The statement in par. (a) contains an address and telephone number of the physician
, chiropractor, or Christian Science practitioner
.
Notice of Hearing
Transportation
NOTICE IS HEREBY GIVEN that pursuant to ss.
341.08 (2) (e)
,
341.10 (6)
,
341.63
and
342.255
, Stats., the Department of Transportation will hold a public hearing to consider the creation of Chapter
Trans 123
, Wisconsin Administrative Code, relating to registration of non-standard vehicles.
Hearing Information
The public hearing will be held as follows:
Date and Time
|
Location
|
July 29, 2009
10:00 a.m.
|
Hill Farms State Transportation
Building
|
|
Room 254
|
|
4802 Sheboygan Avenue
Madison
|
An interpreter for the hearing impaired will be available on request for this hearing. Please make reservations for a hearing interpreter at least 10 days prior to the hearing.
Parking for persons with disabilities and an accessible entrance are available.
Copies of Proposed Rule
A copy of the proposed rule may be obtained upon request from Carson Frazier, Department of Transportation, Bureau of Vehicle Services, Room 253, P. O. Box 7911, Madison, WI 53707-7911. You may also contact Ms. Frazier by phone at (608) 266-7857 or via e-mail at carson.frazier@ dot.state.wi.us.
Submission of Written Comments and Agency Contact Person
The public record on this proposed rule making will be held open until close of business the day of the hearing to permit the submission of comments in lieu of public hearing testimony or comments supplementing testimony offered at the hearing. Any such comments should be submitted to Carson Frazier, Department of Transportation, Bureau of Vehicle Services, Room 253, P. O. Box 7911, Madison, WI 53707-7911. You may also contact Ms. Frazier by phone at (608) 266-7857 or e-mail:
carson.frazier@dot.state.wi.us
.
Analysis Prepared by the Wisconsin Department of Transportation
Statutes interpreted
Statutory authority
"Grounds for refusing registration," s.
341.10 (6)
, Stats.; "When registration to be suspended," s.
341.63
, Stats.; "Cancellation of title or registration," s.
342.255
, Stats.; "Application for registration," s.
341.08 (2) (e)
, Stats.
Explanation of agency authority
Current law prohibits the Department of Transportation from registering for on-road use any motor vehicle that is "originally designed and manufactured for off-highway operation" unless the vehicle bears a label on which the manufacturer certifies that the vehicle meets federal standards for on-road vehicles. Current law also requires the Department to suspend registration if it discovers that the registrant does not or cannot register the vehicle properly, and to cancel registration and title if it discovered that law prohibits the issuance or possession of a title or registration. Current law does not specify how to determine whether a vehicle is "originally designed and manufactured for off-highway operation." Federal law states that any vehicle made for on-road use in this country after 1967 must meet federal equipment standards. The Department applied that policy to conclude that a vehicle "originally designed and manufactured for off-highway operation" after 1967 is any vehicle that was not made for on-road use in this country. Federal law allows importation of vehicles originally made for foreign markets if the vehicle meets U.S. on-road standards, or is a model deemed to be "substantially similar" to vehicle models made for sale in this country, or is more than 25 years old at the time of importation. This rule making is intended to harmonize state law regarding registration for on-road use with the federal law requiring that vehicles meet U.S. on-road standards, except that this rule making does not adopt the federal exception for imported vehicles made after 1967 that are more than 25 years old.
Related statute or rule
"Motor Vehicle Safety,"
49 USC 30101-30170
(2006); "Importing motor vehicles capable of complying with standards,"
49 USC 30141
(2006); "Prohibitions on manufacturing, selling, and importing noncomplying motor vehicles and equipment,"
49 USC 30112
(2006); "Certification of compliance,"
49 USC 30115
; "Federal motor vehicle safety standards"
49 CFR 571
(2008); "Certification,"
49 CFR 567
(2008).
Plain language analysis
This rule making creates ch.
Trans 123
, relating to grounds for the Department to refuse vehicle registration. Section
341.10(6)
, Stats., refers to a vehicle "originally designed and manufactured for off-highway operation." This proposed rule clarifies that the Department's registration or refusal of registration conforms to the National Highway Traffic Safety Administration (NHTSA) regulations implementing Federal Motor Vehicle Safety Standards (FMVSS).
In 1967, Congress declared a need to reduce traffic accidents and deaths and injuries resulting from traffic accidents and found it necessary to prescribe motor vehicle safety standards for motor vehicles and motor vehicle equipment in interstate commerce. The FMVSS were established in response.
NHTSA defines a "motor vehicle" as a vehicle that uses the public highways on a necessary and recurring basis and can exceed 20 miles per hour. The proposed rule defines "off-road vehicle" as a motor vehicle under Ch.
340
, Stats., that does not meet the definition of "motor vehicle" under federal law.
The proposed rule states that the Department shall register any vehicle that was manufactured before 1968. The vehicle may be subject to equipment requirements under Ch.
347
, Stats., and registration requirements under s.
341.268
, Stats., regarding homemade and replica vehicles.
The proposed rule clarifies that the proof that a vehicle complies with FMVSS is that the vehicle displays a certification label as required by s. 114 of the National Traffic and Motor Vehicle Safety Act of 1966, as amended, or bears an FMVSS-conforming vehicle identification number (VIN). A vehicle manufactured for the non-U.S. market may be registered if it meets one of three certification methods to show that it complies with FMVSS.
The proposed rule establishes that an off-road vehicle with a model year 1968 or newer will be registered only if the vehicle displays a certification label that indicates the vehicle is certified by the manufacturer as meeting Federal Motor Vehicle Safety Standards, or if the manufacturer or importer certifies in one of three other methods that the vehicle complies with FMVSS.
The proposed rule requires the Department to cancel registrations initially made after the rule takes effect if the registration application contained incorrect or false information. The rule "grandfathers" in vehicles currently registered and allows them to continue to be registered until the vehicle is transferred to a new owner.
Comparison with federal regulations
This proposed rule establishes Wisconsin refusal of registration for motor vehicles in conformity with federal NHTSA regulations implementing FMVSS.
Comparison with rules in adjacent states
Michigan
Michigan law requires vehicles to comply with Michigan law equipment requirements for on-road operation, for titling and registration. If an imported vehicle is subject to federal standards, it must be upgraded by a registered importer before it may be titled and registered in Michigan. If a vehicle was manufactured before 1968, it is considered an antique vehicle and must have all on-road equipment required by Michigan law in effect at the time of manufacture.
Minnesota
Minnesota law requires that a vehicle comply with federal motor vehicle safety standards, for titling and registration. An imported vehicle must be certified by the importer as meeting federal safety standards. A collector military vehicle, 20 years old or older, may be registered only by a non-profit organization and only for operation as a collector's item and not for general transportation purposes.
Illinois
Illinois law requires that a vehicle comply with federal motor vehicle safety standards, for titling and registration. An imported vehicle must be certified by the importer as meeting federal safety standards.
Iowa
Iowa law requires that if federal law requires a vehicle to bear a manufacturer's label, that the vehicle complies with federal motor vehicle safety standards, the label must be present for titling and registration.
Summary of factual data and analytical methodologies
The Department had for several years followed a policy interpreting s.
341.10 (6)
, Stats., which prohibits the Department from registering off-road vehicles that do not meet the requirements of s. 114 of the National Traffic and Motor Vehicle Safety Act of 1966. This Department policy does not define "off-road" vehicles but essentially refuses to register for on-road use any vehicle that does not meet federal on-road safety and equipment standards.
The Department concluded that the statutory provision requires Wisconsin to conform to federal regulations. The Department has revised its policy to conform to federal interpretations, and this rule codifies the current Department policy. The Department also addresses issues that were raised in a recent WDOA Division of Hearings and Appeals administrative hearing regarding the Department's cancellation of registration of imported military vehicles made after 1967.
Vehicle Owned by Paul Underwood,
Case TR-08-0027 (Sept. 18, 2008).
Analysis and supporting documentation used to determine effect on small businesses
This proposed rule clarifies statutory provision that the Department will refuse registration to certain motor vehicles that do not meet FMVSS. Motor vehicle dealers and importers will need to understand eligibility criteria for vehicle registration, before they import or attempt to sell motor vehicles intended for on-road use in this state.
Small Business Impact
The rule will enable small businesses that are dealers and importers to know the criteria for registration before they import or attempt to sell motor vehicles.
Small business regulatory coordinator
Fiscal Estimate
The Department estimates that there will be no fiscal impact on the liabilities or revenues of any county, city, village, town, school district, vocational, technical and adult education district, sewerage district, or federally-recognized tribes or bands.
Anticipated costs incurred by private sector
The Department estimates that there will be no fiscal impact on state or private sector revenues or liabilities.
Text of Proposed Rule
SECTION 1
. Chapter
Trans 123
is created to read:
Registration of Non-Standard Vehicles
Trans 123.01
Purpose.
The purpose of this chapter is to interpret s.
341.10(6)
, Stats., and to establish eligibility criteria for off-road vehicles for the purpose of vehicle registration under ch.
341
, Stats.
Trans 123.02
Applicability.
This chapter applies to any vehicle presented to the department for registration under ch.
341
, Stats.
Trans 123.03
Definitions.
Unless otherwise stated, the definitions of words and phrases in ss.
340.01
and
341.01
, Stats., apply to this chapter. In this chapter:
(1) "Manufacturer's certification label" means the label or tag permanently affixed to the vehicle in conformity with s. 114 of the National Traffic and Motor Vehicle Safety Act of 1966, as amended,
49 USC 30115
(2006) and
49 CFR 567
(2008), that indicates the vehicle complies with applicable federal motor vehicle safety standards.
(2) "NHTSA" means the National Highway Traffic Safety Administration of the U. S. Department of Transportation.
(3) (a) "Off-road vehicle" means a motor vehicle that is any of the following, and includes any motor vehicle that is made after 1967 and that does not conform to federal motor vehicle safety standards or is not required to conform to those standards:
1. Not considered to be a motor vehicle for purposes of the National Traffic and Motor Vehicle Safety Act of 1966 as amended,
49 USC 30101-30170
(2006), that is subject to Federal Motor Vehicle Safety Standards established by NHTSA at
49 CFR 571
(2008).
2. Deemed by NHTSA to be a motor vehicle under its regulations and interpretations prior to the effective date of this chapter
…
. [legislative reference bureau inserts date], but is not subject to federal motor vehicle safety standards established by NHTSA.
3. Not deemed to be a motor vehicle by NHTSA.
4. Not a motor vehicle that uses public highways on a necessary and recurring basis or is not capable of exceeding 20 miles per hour on paved, level ground.
(b) Notwithstanding par. (a), "off-road vehicle" does not include any vehicle that:
1. Has been certified to NHTSA as meeting federal motor vehicle safety standards by an importer that is registered with NHTSA.
2. Is listed by NHTSA as a model made for use in another country that is substantially similar to a motor vehicle originally made for import into and sale in this country and that meets federal motor vehicle safety standards or meets the requirements in
49 USC 30112
(2) (2006).
(4) "Register" means to register a vehicle under ch.
341
, Stats.
Trans 123.04 Vehicles manufactured before 1968.
Upon application to register a vehicle, the department shall register any vehicle manufactured before 1968 for which a vehicle classification exists under ch.
341
, Stats. The vehicle may be subject to equipment requirements under s.
347.02(7)
, Stats., and registration requirements under s.
341.268
, Stats.
Trans 123.05 Registration of off-road vehicles manufactured 1968 or after.
(1) Upon application to register a vehicle, the department may register an off-road vehicle manufactured 1968 or after only if the vehicle displays a manufacturer's certification label. The department shall consider the manufacturer's certification label as the only proof that the vehicle meets the provisions of s. 114 of the National Traffic and Motor Vehicle Safety Act of 1966, as amended.
(2) Title or registration obtained in another state does not conclusively establish the vehicle's eligibility for title and registration issued by Wisconsin. The Department shall independently assess whether a vehicle is eligible for registration under the laws of this state.
Trans 123.06 Grandfathered nonconforming vehicles.
Notwithstanding any provision of this chapter that might otherwise prohibit registration, the owner of any vehicle that is registered in this state on the effective date of this section
…
. [legislative reference bureau inserts date] may renew that registration and may change the type of registration. This section applies only until the owner shown on department records on the effective date of this section .... [legislative reference bureau inserts date] is removed from department records as an owner of the vehicle. For vehicles owned by more than one owner on the effective date of this section
…
. [legislative reference bureau inserts date], this section applies only until the last owner shown on department records on the effective date of this section
…
. [legislative reference bureau inserts date] is removed from department records as an owner of the vehicle. Lien holders are not considered owners for purposes of this section.
Trans 123.07 Cancellation of registration
. If, subsequent to registering a vehicle, the department learns that the information the applicant had presented was incorrect or false and the vehicle should not have been registered, the department shall cancel the registration of the vehicle. If the department cancels the registration of the vehicle under this section, the applicant may reapply for registration at any time but shall present to the department information that proves to the department that the vehicle is eligible for registration. This section does not apply to vehicles eligible for registration under s.
Trans 123.065
.
Notice of Hearing
Transportation
NOTICE IS HEREBY GIVEN that pursuant to s.
84.01 (6m) (b) 6.
and
7.
, Stats., as created by
2007 Wis. Act 125
, and s.
227.11 (2) (a)
, Stats., the Department of Transportation will hold a public hearing to consider the revision of Chapters
Trans 510
and
512
, Wisconsin Administrative Code, relating to the transportation facilities economic assistance and development program, and the transportation infrastructure loan program.
Hearing Information
The public hearing will be held as follows:
Date and Time
|
Location
|
August 5, 2009
10:00 a.m.
|
Hill Farms State Transportation
Building
|
|
Room 901
|
|
4802 Sheboygan Avenue
Madison
|
An interpreter for the hearing impaired will be available on request for this hearing. Parking for persons with disabilities and an accessible entrance are available.
Copies of Proposed Rule
A copy of the rule may be obtained upon request from Dennis Leong, Department of Transportation, Division of Investment Management, Economic Development Section, Room 901, P. O. Box 7913, Madison, WI 53707-7913. You may also contact Mr. Leong by phone at (608) 266-9910 or via e-mail at
dennis.leong@dot.state.wi.us
.
Submission of Written Comments and Agency Contact Person
The public record on this proposed rule making will be held open until close of business the day of the hearing to permit the submission of comments in lieu of public hearing testimony or comments supplementing testimony offered at the hearing. Any such comments should be submitted to Dennis Leong, Department of Transportation, Division of Investment Management, Economic Development Section, Room 901, P. O. Box 7913, Madison, WI 53707-7913. You may also contact Mr. Leong by phone at (608) 266-9910 or via e-mail at
dennis.leong@dot.state.wi.us
to obtain copies of the proposed rule.
Analysis Prepared by the Wisconsin Department of Transportation
Statutes interpreted
Statutory authority
Explanation of agency authority
Presently, chs.
Trans 510
and
512
do not include a requirement for the submittal of a verified statement signed by both an independent certified accountant and the director or principal officer of the recipient of an economic development grant or loan as required under
2007 Wis. Act 125
. Also, these rules do not specify what actions the department is permitted to take in the event of the submittal of false or misleading information or noncompliance with the contract. Ch.
Trans 510
includes no specific guidelines requiring that grant or loan recipients submit a report to the Department, as required under
2007 Wis. Act 125
.
Related statute or rule
Plain language analysis
This rule making will implement the provisions of
2007 Wis. Act 125
that relate to: (1) providing verified statements from an independent certified accountant and the director or principal officer of the recipient of a grant or loan, (2) permitting the Department to recoup payments made, withhold payments due, or impose a forfeiture on a noncompliant recipient of a grant or loan, and (3) including contract provisions into project agreements specifying the format and frequency of the report to be submitted by the recipient to the Department. These rule changes will affect the reporting and evaluation of performance measures for each economic development program administered by the Department.
Comparison with federal regulations
No federal regulation applies to other DOT programs defined as an "economic development program" under
2007 Wis. Act 125
. The Act defines economic development program as a program or activity having the primary purpose of encouraging the establishment of growth of business in the state, including the creation and retention of jobs. Department programs are transportation infrastructure projects that contribute to the mobility, safety and transportation efficiency for transporting freight and the traveling public.
Comparison with rules in adjacent states
Michigan
Economic grants and loans to businesses are administered through the Michigan Economic Development Corporation, formed in 1999 through an alliance between the State of Michigan and several local communities. The Corporation is the successor to the Michigan Jobs Commission, the state's economic development department. The corporation maintains the database regarding the grant and loan awards and conducts audits regarding the performance of the financial programs. Travel Michigan, a division of the Corporation, provides the tourism promotional functions for the state. There is no online website or annual reports available via the website with a listing for the grant and loan recipients.
Minnesota
Section 116J.994, creation of a Business Assistance Report with a list of businesses receiving state assistance, amount of subsidy, number of jobs, hourly wages, and cost of health insurance broken down by wage level. Information on companies receiving assistance is posted online.
Illinois
Public Act 552-93 of 2003, annual progress reports required as to the amount and type of assistance, job creation/retention, job classifications and average wages. Progress reports are available online in searchable database by year and program type.
Iowa
Iowa Code s.
15.113
and other statutes require mandatory reports regarding the financial assistance provided to private businesses. The Iowa Department of Economic Development administers and provides oversight for the assistance programs. The development agency adopted rules on June 15, 2007, to implement a new job counting and tracking method. Under this Department, there is a legal and compliance team responsible for conducting onsite monitoring at project completion, job maintenance, contract amendments, and the preparation of progress reports. These reports are published periodically and are available online.
Summary of factual data and analytical methodologies
Analysis and supporting documentation used to determine effect on small businesses
A database of 296 previous and current TEA grant awards were analyzed for impacts to small businesses
Small Business Impact
Since TEA grants provide transportation infrastructure necessary for newly-created or expanded businesses in the state, the analysis revealed that the kind of businesses in the program will have little or no difficulty in complying with the jobs reporting requirement. Job numbers are also reported as part of the unemployment compensation program under the Department of Workforce Development The sponsoring community receiving the grant award will be asked to provide a jobs information report compiled by an independent certified accountant and a public official of the recipient community for each business as specified in the jobs guarantee agreement that benefited from the transportation infrastructure improvement. The annual jobs report will be provided to the TEA grant manager annually for seven years or for a duration as specified in the jobs guarantee agreement. Failure to provide annual reports could result in the reimbursement of the grant to the Department of Transportation.
Small business regulatory coordinator
Fiscal Estimate
The Department estimates that there will be no fiscal impact on the liabilities or revenues of any county, city, village, town, school district, vocational, technical and adult education district, sewerage district, or federally-recognized tribes or bands.
Anticipated costs incurred by private sector
The Department estimates that there will be no fiscal impact on state or private sector revenues or liabilities.
Notice of Hearing
Veterans Affairs
NOTICE IS HEREBY GIVEN That pursuant to s.
45.40 (3m)
, Stats., and Chapter
227
, Stats., the Wisconsin Department of Veterans Affairs will hold a public hearing to consider the creation of section
VA 2.01 (1) (u)
,
(3) (d)
,
(e)
, and
(f)
as emergency rules relating to the assistance to needy veterans grant program.
Hearing Information
The public hearing will be held as follows:
Date and Time
|
Location
|
August 14, 2009
Friday
|
Department of Veterans Affairs
Board Room
|
10:00 a.m.
|
8th Floor
|
|
30 West Mifflin Street
Madison, WI
|
The public hearing site is accessible to people with disabilities.
If you have special needs or circumstances that may make communication or accessibility difficult at the hearing, please contact James A. Stewart at (608) 266-3733 or
jimmy.stewart@dva.state.wi.us
Submission of Written Comments
Comments on the emergency rules may be submitted to James A. Stewart, 30 West Mifflin Street, P.O. Box 7843, Madison, WI 53707-7843. Phone: (608) 266-3733 E-Mail:
jimmy.stewart@dva.state.wi.us
.
Comments should be submitted no later than August 28, 2009.
Analysis Prepared by the Wisconsin Department of Veterans Affairs
Statute interpreted
Statutory authority
Explanation of agency authority
The department is charged with administering a grant program to assist needy veterans with health care. It provides eligible applicants with dental, hearing and vision care through private health care providers. The Legislature has granted the agency authority to promulgate "eligibility criteria" which the agency interprets to include both definitions of the eligible care under this program and the amount of funding for each type of eligible care. These emergency rules were promulgated under the authority of s.
227.24 (1) (c)
, Stats.
Related statute or rule
There is no related statute or rule.
Plain language analysis
The creation of s.
VA 2.01 (1) (u)
,
(3) (d)
,
(e)
, and
(f)
will create a definition of "vision care" and establish the limitation of health care assistance available under this program. The program is intended to provide health care assistance to those veterans who are not eligible for the federal assistance offered to veterans. Current definitions of "dental care" and "hearing care" do not provide an eligibility limitation on the provision of care which health care professionals can provide. No definition or eligibility limitation on services exists for "vision care" in the current program. The creation of eligibility limitations for "dental care" and "hearing care", as well as the creation of a definition and eligibility limitation for "vision care" will allow veterans to receive a reasonable modicum of the benefits available to those veterans eligible for federal assistance. The creation of VA 2.01 (3) (d), (e), and (f) will place eligibility limitations upon the cost, provision and frequency of available services.
Comparison with federal regulations
There is no current or pending federal regulation which would provide health care aid for the eligible veterans under this program.
Comparison with rules in adjacent states
There are no similar rules in adjacent states.
Summary of factual data and analytical methodologies
Surveys of multiple private vendors of dental care services, hearing care services, and vision care services were undertaken to refine the definition of each service. The United States Department of Veterans Affairs was also contacted to determine what services were offered through that agency and to review costing mechanisms used in the provision of each of the elaborated health care services.
Analysis and supporting documents used to determine effect on small business
No analysis was performed regarding an economic impact statement.
Small Business Impact
These rules have no effect upon small businesses, nor any significant fiscal impact upon the private sector.
Fiscal Estimate
Assumptions used in arriving at fiscal estimate
Provisions of
2007 Wisconsin Act 20
eliminated caps for dental care, hearing care and vision care and increased the lifetime cap to $7,500. Prior to those changes, the annual cap for dental care was $2,500, $1,500 per ear for hearing care and $500 for vision care. The lifetime cap was $5,000. The authorized funding for the 2007-09 biennium is $1,492,000. Of that amount, $1,277,700 was expended in FY08, which left a balance of $214,300 to cover FY09 payments. As a result, the program was closed in October, 2008. Based on the FY08 usage rate and assuming the proposed rule changes are not enacted, the total estimated HCAG demand for the 2009-11 biennium would be about $5.5 million.
Only $1,991,500 in budget authority was requested in the 2009-11 biennial budget based on the assumption that rule changes would be adopted that reduce the amount of grants awarded under the ANV program to that level. Under the proposed rule changes noted above, the estimated demand would be about $2.24 million for the 2009-11 biennium. Thus, while the projected biennial savings as a result of the proposed rule changes would be about $3.3 million, an additional $240,000 of budget authority will be needed to cover the projected demand under the proposed rule changes.
State fiscal effect
Decrease costs.
Local government fiscal effect
None.
Fund sources affected
SEG.
Affected Ch.
20
appropriations
Agency Contact Person
James A. Stewart, Chief Legal Counsel, 30 West Mifflin Street, P.O. Box 7843, Madison, WI 53707-7843; Phone: (608) 266-3733; E-Mail:
jimmy.stewart@dva.state.wi.us
.
Text of Emergency Rule
SECTION 1. VA 2.01 (1) (u) is created to read:
VA 2.01 (1) (u) "Vision care
SECTION 2. VA 2.01 (3) (d) is created to read:
VA 2.01 (3) (d)
Dental care limitation.
Dental care shall not exceed $500 in any consecutive 12 month period except where an upper and lower denture is required and each denture shall not exceed $1875.00 in any consecutive 48 month period.
SECTION 3. VA 2.01 (3) (e) is created to read:
VA 2.01 (3) (e)
Hearing care limitation.
Hearing care shall not exceed $200.00 in any consecutive 12 month period except where a right or left ear hearing aid is required and each hearing aid shall not exceed $1875.00 in any consecutive 48 month period.
SECTION 4. VA 2.01 (3) (f) is created to read:
VA 2.01 (3) (f)
Vision care limitation.
Vision care shall not exceed $400.00 for both a vision exam and the purchase of lens and frame in any consecutive 12 month period.
Effective Dates
The emergency rules contained in this order took effect on the date of publication in the official state newspaper, July 1, 2009, as provided in s.
227.24 (1) (c)
, Stats. The emergency rules shall apply to all applications received on or after that effective date. These rules shall terminate November 28, 2009, or 60 days following the date of any extension which may be granted, whichever is later.
Finding of Emergency
The Wisconsin Department of Veterans Affairs finds that an emergency exists and that the attached rules are necessary for the immediate preservation of the public peace, health, safety, or welfare. A statement of facts constituting the emergency is: The economic recession in effect for the last fiscal year has adversely affected the veteran population. Many veterans have lost their employment or had their scope of employment reduced. In addition to losing employment, many veterans have seen their health care reduced or eliminated. In order to serve the largest population of veterans and ensure minimal health care for that population, the department is requesting emergency rules to define "vision care" and to limit the eligibility, by available funding, for "dental care", "hearing care", and "vision care". These eligibility limitations, which address the cost, type and frequency of care available under the program, will allow more veterans in need to access the limited resources of this program.
