CR_13-113 Revises sections Ins 6.91 to 6.99, relating to navigator, nonnavigator assisters, and related entities and affecting small business.

Wisconsin Administrative Register No. 697, 1/14/2014

Rule-Making Notices

Notice of Hearing

Insurance

CR 13-113

Notice is hereby given that pursuant to the authority granted under s. 601.41 (3) , Stats., and the procedures set forth in under s. 227.24 (3) , Stats., the Office of the Commissioner of Insurance (OCI) will hold a public hearing to consider the adoption of the attached proposed rulemaking order affecting sections Ins 6.91 to 6.99 , Wis. Adm. Code, relating to navigators, nonnavigator assisters, and related entities and affecting small business.

Hearing Information

Date:   Wednesday, January 29, 2014
Time:   9:30 a.m., or as soon thereafter as
  the matter may be reached
Location:   Office of the Commissioner of Insurance
  Room 227
  125 South Webster Street, 2nd Floor
  Madison, Wisconsin

Submittal of Written Comments

Written comments can be mailed to:

Julie E. Walsh

Legal Unit — OCI Rule Comment for Rule Ins 691

Office of the Commissioner of Insurance

PO Box 7873

Madison WI 53707-7873

Written comments can be hand delivered to:

Julie E. Walsh

Legal Unit — OCI Rule Comment for Rule Ins 691

Office of the Commissioner of Insurance

125 South Webster St – 2 nd Floor

Madison WI 53703-3474

Comments can be emailed to:

Julie E. Walsh

[e-mail]

Comments submitted through the Wisconsin Administrative Rule Web site at: http://adminrules. wisconsin.gov on the proposed rule will be considered.

The deadline for submitting comments is 4:00 p.m. on February 7, 2014 .

Analysis Prepared by the Office of the Commissioner of Insurance (OCI)

Statutes interpreted

Sections 601.31 , 601.41 , 601.62 , 601.65 , and chs. 628 and 631 , Stats.

Statutory authority

Sections 227.11 , 601.41 , and 628.98 , Stats.

Explanation of OCI's authority to promulgate the proposed rule under these statutes

The office has authority to promulgate rules interpreting ch. 628 , Stats., as amended, relating to the oversight and licensing of navigators and registering navigator entities and nonnavigator assisters through the registration of nonnavigator assister entities. The commissioner has general authority to promulgate rules necessary to administer and enforce chs. 600 to 655 , Stats., in accordance with ss. 227.11 (2) (a) and 601.41 (3) , Stats. Further under s. 628.98 , Stats., the commissioner is permitted to promulgate any rules necessary to carry out the purposes of subch. V of ch. 628 , Stats. Additionally, the commissioner may promulgate rules under authority granted in ss. 601.42 , and 628.34 (12) , Stats.

Related statutes or rules

Chapters Ins 6 , 26 , and 28 , Wis. Admin. Code.

The plain language analysis and summary of the proposed rule

The proposed rule establishes training and licensing requirements for navigators in accordance with state law and consistent with federal law. Navigators must have contracts with and grants from the federal government to assist consumers in enrolling in the federally facilitated health insurance exchange. When navigators facilitate enrollment of consumers into the federal exchange they are by law transacting an insurance business. As such, the office through this proposed rule sets forth basic requirements of licensure including fingerprinting, criminal background checks, and consideration of prior personal and financial transactions that may provide insight to the individual's character. Since as navigators will have access to personal and financial information of the consumers they assist the proposed regulations includes requirements for record keeping in the case where a navigator retains personal or financial information in addition to the federally established privacy and security requirements. Further to ensure if a consumer were harmed by the acts of a navigator, the proposed rule implements the statutory requirement of financial responsibility for wrongful acts of a navigator.

Under the proposed rule nonnavigator assisters, navigators, and nonnavigator assister entities are required to be registered with the Office. The nonnavigator assisters are registered with the commissioner through the nonnavigator assister entity with whom the nonnavigator assister is employed, supervised or affiliated with. Navigators, navigator entities, and nonnavigator assister entities are designated by the federally facilitated exchange and navigators and navigator entities are under contract with the federally facilitated exchange to assist consumers enrolling in the exchange.

The state registration process will allow the office to ensure those persons and entities having direct contact with consumers have developed and implemented policies and procedures to ensure accurate guidance is given to consumers by properly trained persons. Through registration, the office will have current information for consumers of navigators and nonnavigator assisters who are compliant with training and knowledgeable of the exchange. The entities are legally responsible for the acts of the navigators or nonnavigator assisters that are employed, supervised or affiliated with the entities and are required to ensure the navigators and nonnavigator assisters are current in their training and of good character, competent and trustworthy.

Both navigators and nonnavigator assisters will be trained to understand not only the federal exchange health insurance products, but will also be familiar with public assistance programs and premium tax credits. The proposed rule requires initial and on-going training to ensure that the navigators and nonnavigator assisters who are providing assistance to Wisconsin consumers are providing the most recent and accurate information.

The proposed rule contains provisions intended to protect consumers from deceptive practices by restricting the use of terms, including navigator, nonnavigator assister, and certified application counselors, for use by only those persons who possess the proper training, licensure or registration status. The rule also delineates prohibited acts by navigators and nonnavigator assisters including making false or misleading statements, performing acts for which an insurance agent license is required, and receiving compensation from an insurer. Finally, the rule exempts governmental entities or persons acting on behalf of governmental entities from the regulations.

Summary of and preliminary comparison with any existing or proposed federal regulation that is intended to address the activities to be regulated by the proposed rule

The proposed law dovetails with federal law and extends consumer protections through licensure, training and financial responsibility requirements. The federal law set forth in 45 CFR ch. 155 , as amended, outlines federal training, grants, privacy and security and contracting requirements. The proposed rule ensures that persons assisting Wisconsin consumers are also trained in Wisconsin insurance laws and public assistance programs available in this state. The proposed rules include financial responsibility for wrongful acts as a measure to provide greater protection to Wisconsin consumers. By requiring licensing or registration the proposed rule provides ready, verifiable information so consumers can be confident that the information and assistance they are provided by navigators and nonnavigator assisters are from persons of good character and who have successfully completed training.

Comparison of similar rules in adjacent states as found by OCI

Illinois: Public Act 098-0541, was signed into law on August 23, 2013. The law requires navigators to be licensed by the Insurance Department and comply with state and federal training, clarifies the roles of navigators from licensed insurance agents, establish requirements including licensing, training, and financial responsibility. The law is similar to the law passed in Wisconsin.

Iowa: Iowa Code § 522D (2013). The law establishes licensing requirements for navigators and navigator entities similar to the law passed in Wisconsin. The Insurance Division is in the process of promulgating administrative rules establishing training, licensing, fees and evidence of financial responsibility similar to this proposed rule.

Michigan: No similar laws or rules.

Minnesota: Minn. Stat. § 62V.05 (2013). Law was effective March 21, 2013 and requires the Minnesota exchange board to establish policies and procedures for the ongoing operation of a navigator program including in-person assisters. The law requires navigators and in-person assisters to have training and certified prior to selling for the exchange.

A summary of the factual data and analytical methodologies that OCI used in support of the proposed rule and how any related findings support the regulatory approach chosen for the proposed rule

The Office considered federal law and laws of surrounding states to ensure the consumer safety and balance state oversight of navigators, nonnavigator assisters and related entities. The proposed regulations provide similar oversight for navigators, nonnavigator assisters, and related entities to that existing for insurance agents, brokers, and managing agencies. The approach minimizes potential consumer harm by ensuring those serving the public meet basic qualifications and establish state regulation and control over the navigator and nonnavigator activities in the transaction of an insurance business.

Any analysis and supporting documentation that OCI used in support of OCI's determination of the rule's effect on small businesses under s. 227.114

The proposed rule may affect small businesses; however, the office has taken steps to minimize the impact of the rule by limiting the effect of the regulation to those navigators or nonnavigator assisters who are working on behalf of the federal government. For perspective, the federal government only awarded six navigator grants for the entire state of Wisconsin. The proposed rules and law impose no restrictions or regulations for governmental entities. There are many such entities already providing assistance to consumers with health insurance and public assistance concerns. By keeping the scope of the proposed rule very narrow, the impact on small businesses is significantly lessened.

The proposed rule fee amounts are consistent or lesser than similarly situated agents and managing broker agencies. Further, there is no imposition of fees for nonnavigator assisters or nonnavigator assister entities other than the cost of prelicensing training and examination costs. To further minimize the impact to navigators and nonnavigator assisters, the office provided extensive free prelicensing training to interested parties and in locations throughout the state in advance of the first open enrollment period.

See the Attached Private Sector Fiscal Analysis

A Description of the Effect on Small Business

This rule may have an effect on small businesses by requiring licensure or registration for navigators, nonnavigator assisters and related entities. However, the office minimized the impact by establishing less stringent requirements than those imposed on licensed insurance agents and agencies. Further, the office provided extensive free prelicensing training to interested parties and in locations throughout the state in advance of the first open enrollment period. Additionally, the office approved licensed vendors to provide prelicensing training both in-person and on-line to reduce imposition on organizations. Finally the office imposed slightly lower fees than is required for licensed agents.

Initial Regulatory Flexibility Analysis

Notice is hereby further given that pursuant to s. 227.114 , Stats., the proposed rule may have an effect on small businesses. The initial regulatory flexibility analysis is as follows:

a. Types of small businesses affected:

Insurance agents, community outreach organizations, consumer support organizations who are designated and under contract with the federally facilitated exchange as navigators, nonnavigator assisters, or related entities. Governmental agencies are exempt from this rule.

b. Description of reporting and bookkeeping procedures required:

Navigator and nonnavigator assister entities, in addition to any federal requirements, will be required to maintain training records as well as current names and addresses of those who they employ, supervise or are affiliated with. Additionally, for entities handling consumer's money, and for navigators not affiliated with a navigator entity, proper financial accounts must be maintained.

c. Description of professional skills required:

Basic consumer, employee and business financial record keeping in addition to any requirements of the federal government.

OCI Small Business Regulatory Coordinator

The OCI small business coordinator is Louie Cornelius and may be reached at phone number [phone] or at email address [e-mail] .

Agency Contact Person

A copy of the full text of the proposed rule changes, analysis and fiscal estimate may be obtained from the Web site at: http://oci.wi.gov/ocirules.htm or by contacting Inger Williams, OCI Services Section, at:

Phone: [phone]

Email: [e-mail]

Address: 125 South Webster St – 2 nd Floor, Madison WI 53703-3474

Mail: PO Box 7873, Madison, WI 53707-7873

Proposed Rule Changes

SECTION 1. Subchapter II and title are created to read:

Subchapter II — Navigators, Nonnavigator Assisters and Related Entities.

SECTION 2. Ins 6.91 to 6.99 is created to read:

Ins 6.91 Definitions. In addition to the definitions in s. 628.90 , Stats., which apply to this subchapter, in this subchapter:

(1) "Agent" means an agent as defined in s. 628.02 , Stats.

(2) "Business checking account" means any account utilized by a navigator, navigator entity, nonnavigator assister or nonnavigator assister entity for insurance-related transactions.

(3) "Cash disbursed record" means a record showing all monies paid out by the navigator, navigator entity, nonnavigator assister or nonnavigator assister entity in transacting the business of insurance.

(4) "Cash receipts record" means a record showing all monies received by the navigator, navigator entity, nonnavigator assister or nonnavigator assister entity in transacting the business of insurance.

(5) "Certified application counselors" means a nonnavigator assister who is employed, supervised or affiliated with a registered nonnavigator assister entity as established by 45 CFR § 155.225 , as amended, and who works for a nonnavigator assister entity that has been designated by and entered into an agreement with the exchange.

(6) "Commissioner" means the commissioner of insurance.

(7) "Formal administrative action" means consent decrees, cease and desist orders, stipulations, suspensions, revocations, license denials, fines, forfeitures, settlement agreements, navigator license restrictions or other actions limiting the navigator's method of transacting the business of insurance.

(8) "Navigator entity" means an entity or organization that employs, supervises or is affiliated with, one or more licensed navigators; is designated by the exchange as a navigator, works on behalf of the exchange and enters into an federal navigator grant funding agreement in accordance with 45 CFR § §155.210 (c), as amended; and is registered with the commissioner.

(9) "Nonnavigator assister entity" means entity or organization that employs, supervises or is affiliated with one or more nonnavigator assisters including certified application counselors; is designated by and works on behalf of the exchange and enters into an agreement with the exchange in accordance with 45 CFR § 155.225 (b) (1), as amended; and is registered with the commissioner.

(10) "Personnel records" means those records pertaining to anyone who is employed by, supervised by or affiliated with a navigator entity or nonnavigator assister entity including independent contractors.

(11) "Policyholder records" means all records, applications, request for changes, and complaints associated with a policy generated by or through the navigator, navigator entity, certified application counselor or nonnavigator assister entity.

Ins 6.92 Individual navigators. (1) Purpose. This section protects insurance consumers by establishing procedures for the licensing of navigators when transacting the business of insurance, prescribing minimum standards and requirements to ensure timely and reliable information will exist and be available to the commissioner. This section implements and interprets ss. 628.095 , 628.097 , 628.10 , 628.90 to 628.93 , Stats., as applicable.

(2) Procedure . (a) Application for navigator license . An individual applying for a navigator license shall submit an application to the office in the form prescribed by the commissioner. A completed application consists of the navigator's name, the navigator's residence, mailing and business addresses, confirmation of successful completion of prelicensing training, fingerprints provided in a format specified by the commissioner to complete, an electronic confirmation of criminal history from the Wisconsin department of justice, crime information bureau, and the federal bureau of investigation completed not more than 180 days prior to the test date, payment of the nonrefundable fees to the testing vendor, an electronic photograph of the applicant taken by the test service at the time of testing, confirmation of previous navigator licensure in another state, if applicable, and any documentation required in answer to questions on the application.

Note: A copy of the navigator license application form OCI 11-090, required in par. (a), may be obtained at no cost from the Office of the Commissioner of Insurance at 125 S. Webster Street, Madison WI 53703, or at the Office's web address: oci.wi.gov.

(b) Prelicensing Training. An individual seeking a navigator license, in addition to any training requirements of the federal government, shall complete at least 16 hours of commissioner-approved navigator prelicensing training and pass with a satisfactory grade a commissioner-approved written navigator examination. Training required under this subsection must be approved by the commissioner and provided by an education provider that is approved by the commissioner.

(c) Scheduling the navigator licensing examination. An applicant shall notify the testing vendor, at least twenty-four hours prior to the desired navigator licensing examination date. The written examination will test the applicant's knowledge of the duties and responsibilities of a navigator; the insurance laws and regulations of this state; and the state's public assistance programs and eligibility. The written examination shall be commissioner approved offered through a commissioner-approved testing vendor.

(d) Exception . 1. An agent who holds an active resident license with the accident and health line of authority and is in compliance with continuing education requirements may apply to be licensed as a navigator if the currently licensed agent can meet all of the following:

a. Demonstrate compliance as set forth in s. 628.92 (1) , Stats., including competence and trustworthiness.

b. Demonstrate satisfactory completion of 4 hours of navigator training specific to public assistance programs, including Medicaid, in addition to the completion of any federally required navigator training and compliance with federal restrictions and requirements including those set forth in 45 CFR §§ 155.205 (d), 155.210 , 155.215 (b) and (c), and 155.260 (b), as amended. The state training required under this subsection must be approved by the commissioner and provided by an education provider that is approved by the commissioner.

2. A currently licensed agent that is in compliance with subd. 1. is exempt from passing the navigator examination and photograph requirements described in sub. (2) (a). The currently licensed agent will be required to obtain new fingerprints unless the office has received current, valid fingerprint results provided in a format specified by the commissioner and an electronic confirmation of criminal history from the Wisconsin department of justice, crime information bureau, and the federal bureau of investigation that were completed not more than 180 days from the date of the application. The currently licensed agent shall submit a completed application and pay the licensing fee in accordance with s. 601.31 (1) (nm) , Stats., to the commissioner.

Note: A copy of the navigator license application form OCI 11-090, required in par. (a), may be obtained at no cost from the Office of the Commissioner of Insurance at 125 S. Webster Street, Madison WI 53703, or at the Office's web address: oci.wi.gov.

(e) Issuance of license. An applicant for an original navigator license who completes and satisfies the requirements in pars. (a) and (b), in addition to any federal training or requirements including the requirements set forth in 45 CFR §§ 155.205 (d), 155.210 , 155.215 (b) and (c), and 155.260 (b), as amended, and meets the standards of competence and trustworthiness as described in sub. (3), shall be issued a navigator license. Examination scores are valid for 180 days. Failure to apply for a license within 180 days will require the applicant to re-take the examination. Determination of the acceptance or rejection of a completed application shall be made within 90 days of receipt by the commissioner of the completed application including any documentation required.

(3) Competence and Trustworthiness . The following criteria may be used in assessing trustworthiness and competence:

(a) Criminal record. The conviction for crimes which are substantially related to the circumstances of holding an insurance or navigator license, including a felony or misdemeanor conviction that is significantly related to the circumstances of holding a navigator or insurance license.

(b) Accuracy of information. Any material misrepresentation in the information submitted on the application form.

(c) Regulatory action. Any formal regulatory action taken in any jurisdiction with regard to any occupational license held, such as insurance licenses in other states, real estate licenses and security licenses.

(d) Other criteria. Other criteria which the commissioner considers evidence of untrustworthiness or incompetence, including but not limited to:

1. Providing incorrect, misleading, incomplete or materially untrue information in the licensing application.

2. Violating any insurance laws, or violating any regulation, subpoena or order of the insurance commissioner or of another state's insurance commissioner, or of the federal government.

3. Obtaining or attempting to obtain a license through misrepresentation or fraud;

4. Improperly withholding, misappropriating or converting any monies or properties received in the course of acting as a navigator or insurance agent.

5. Intentionally misrepresenting the terms of an actual or proposed insurance contract or application for insurance.

6. Having admitted or been found to have committed any insurance unfair trade practice or fraud.

7. Using fraudulent, coercive, or dishonest practices in the conduct of business in this state or elsewhere.

8. Demonstrating incompetence, untrustworthiness or financial irresponsibility in the conduct of personal financial transactions or professional business in this state or elsewhere.

9. Having an insurance producer license, or its equivalent, denied, suspended or revoked in any other state, province, district or territory.

10. Forging another's name to an application for insurance or to any document related to an insurance transaction.

11. Improperly using notes or any other reference material to complete an examination for an insurance or navigator license.

12. Failing to comply with an administrative or court order imposing a child support obligation.

13. Failing to pay state income tax or comply with any administrative or court order directing payment of state income tax.

(e) Minimum Age and Residency. An applicant for navigator licensure shall have attained at least eighteen (18) years of age and shall be a resident of this state or maintain his or her principal place of business in this state.

(f) Proof of Financial Responsibility . An applicant who is not affiliated with a navigator entity shall comply with the requirements of s. 628.92 (5) (b) , Stats., or provide evidence of an equivalent coverage alternative subject to the commissioner's prior approval.

(4) Change of name or address. (a) Each navigator shall, within 30 days, notify the commissioner in writing of any change in the navigator's name, residence address, principal place of business, and mailing address.

(b) A navigator who is not employed or supervised by or affiliated with a navigator entity and changes residency to a location outside of this state or changes his or her principal place of business to an address outside this state and is not a resident of this state shall have his or her navigator license terminated effective 60 days after the change of address.

(c) Criteria used by the insurance commissioner to establish state residency shall include, but not be limited to:

1. Jurisdiction for payment of state taxes.

2. Jurisdiction for automobile driver's license and motor vehicle registration.

3. Location of voter registration.

4. Location of principal residence, such as owned or rented dwelling, condominium or apartment.

5. Location of principal place of business.

(5) Applicability of Other Laws. Licensed navigators are subject to the requirements contained at ss. 628.095 , 628.097 and 628.10 , Stats., as applicable to individual navigators.

(6) License Renewals. (a) The nonrefundable renewal fee of $35.00 is due before October 1 of each year. The commissioner shall send notice of the renewal fee by 1st-class mail at least 60 days prior to the fee due date to each navigator at the mailing address on file. Applications for navigator license renewal shall be submitted before the October 1 renewal deadline. The navigator shall provide proof of a bond in compliance with s. 628.92 (5) (b) , or evidence of an equivalent coverage alternative subject to the commissioner's prior approval.

(b) An individual navigator is required to complete at least 8 hours of health insurance continuing education training before October 1 of each year. Training must be completed prior seeking annual renewal of a navigator license. Recurring training shall be completed and reported at a rate of not less than 8 hours each 12 months of each compliance period. Training required under this subsection must be approved by the commissioner and provided by an education provider that is approved by the commissioner.

(c) Any navigator whose license is revoked for failing to pay renewal fees, failing to complete required annual navigator continuing education, or failing to pay delinquent taxes may, within 12 months from the revocation date, apply to reinstate for the same navigator license without completing prelicensing navigator training or passing a written examination. The navigator must satisfy the requirement of s. 628.10 (a), (am) or (cm), Stats., satisfactorily complete a reinstatement application and pay twice the amount of the license renewal fee under par. (a). If a navigator license has been revoked for more than 12 months, the navigator shall, in order to be relicensed, satisfy the examination and other licensing requirements established by subs. (2) to (6).

(7) Financial Responsibility Requirements. Each individual navigator not affiliated with a navigator entity shall comply with the requirements of s. 628.92 (5) (b) , Stats., or provide evidence of an equivalent coverage alternative subject to the commissioner's prior approval.

Note: A copy of a sample navigator and navigator entity bond form OCI 11-093, required in sub. (7), may be obtained at no cost from the Office of the Commissioner of Insurance at 125 S. Webster Street, Madison WI 53703, or at the Office's web address: oci.wi.gov.

Ins 6.93 Registration of navigator entities. (1) (a) Registration application for navigator entity . An entity registering as a navigator entity shall submit an application to the commissioner in the form prescribed by the commissioner. A completed application consists of the navigator entity's name, the names of the entity's officers, the current mailing address, the name of at least one licensed designated responsible navigator, names, license number and mailing addresses for the navigators it employs, supervises or is affiliated with, and any documentation required to questions on the application. The navigator entity shall be designated by the exchange as a navigator entity, receive funding through a federal grant, and be in compliance s. 628.92 (2) , Stats., and with applicable federal requirements including 45 CFR § 155.215 (a) (1), as amended.

Note: A copy of the navigator entity registration application form OCI 11-091, required in par. (a), may be obtained at no cost from the Office of the Commissioner of Insurance at 125 S. Webster Street, Madison WI 53703, or at the Office's web address: oci.wi.gov.

(b) Payment of fees . An applicant for an original registration shall pay an initial, non-refundable, registration fee of $100.00 is due with submission of the application.

(c) Acknowledgement of registration. An applicant for an original registration who satisfies the requirements in pars. (a) and (b) shall be registered as a navigator entity. Determination of the acceptance or rejection of a completed application shall be made within 90 days of receipt by the commissioner of the completed application including any required or requested documentation.

(2) Registration Renewals. The renewal fee of $100.00 is due before October 1 of each year. The commissioner will send notice of the registration renewal fee by 1 st -class mail at least 60 days prior to the fee due date to each navigator entity at the mailing address on file. Applications for navigator entity renewal shall be submitted before the October 1 renewal deadline. The navigator entity shall provide proof of a current bond in compliance with s. 628.92 (5) (a) , or evidence of an equivalent coverage alternative subject to the commissioner's prior approval.

(3) Entity Reporting. A navigator entity shall comply with s. 628.92 (4) , Stats., by filing with the commissioner the list of individual licensed navigators it employs, supervises or is affiliated with in a manner prescribed by the commissioner. After providing the commissioner with an initial notification of navigators in the application form, the navigator entity shall report any updates to the list of navigators, including additions, deletions or modifications, within 30 days of the addition, deletion or modification to the list of navigators.

(4) Entity Liability. (a) A navigator entity assumes full legal responsibility for the acts of the navigators whom the entity employs, supervises or is formally affiliated with for acts that are performed in this state and that are within the scope of the apparent authority to act as a navigator on behalf of the entity.

(b) The entity shall provide evidence of financial responsibility consistent with s. 628.92 (5) (a) , Stats., by submitting the original bond and form to the office in the form prescribed by the commissioner. Alternatively the navigator entity, subject to the commissioner's prior approval, may provide evidence of an equivalent coverage alternative.

Note: A copy of a sample navigator and navigator entity bond form OCI 11-093, required in sub. (5), may be obtained at no cost from the Office of the Commissioner of Insurance at 125 S. Webster Street, Madison WI 53703, or at the Office's web address: oci.wi.gov.

Ins 6.94 Registration of certified application counselors and other nonnavigator assisters. Certified application counselors and other nonnavigator assisters shall be employed or supervised by a registered nonnavigator assister entity, or be affiliated with a registered nonnavigator assister entity. To be registered with a nonnavigator assister entity as a certified application counselor or other nonnavigator assister, the individual is required to comply with all of the following:

(1) Procedure . (a) Certified application counselors and other nonnavigator assisters must be authorized by the exchange to provide consumer assistance and compliant with federal requirements set forth in 45 CFR § 155.225 , as amended.

(b) Certified application counselors shall complete 16 hours of prelicensing navigator training, successfully pass a written examination, and annually thereafter complete 8 hours of health insurance continuing education training, in addition to any federal training or other federal requirements. The commissioner will provide guidance on the topics for the continuing education training required under this subsection.

(2) Exception . (a) An agent who holds an active resident license with the accident and health line of authority and is in compliance with continuing education requirements, may apply to be registered as a nonnavigator assister by a nonnavigator assister entity if the currently licensed agent can meet all of the following:

1. Demonstrate compliance as set forth in s. 628.96 , Stats., including competence and trustworthiness.

2. Demonstrate satisfactory completion of 4 hours of navigator training specific to public assistance programs, including Medicaid, in addition to the completion of any federally required nonnavigator assister training and compliance with federal restrictions and requirements including those set forth in 45 CFR § 155.225 , as amended. The nonnavigator assister entity will maintain records that the certified application counselors working for or with the nonnavigator entity have completed the 8 hours of continuing education each year and will provide an attestation to the commissioner in a form prescribed by the commissioner by October 1 of each year. The commissioner will provide guidance on the topics for the continuing education training required under this subsection.

(b) A currently licensed agent that is in compliance with par. (a) is exempt from taking prelicensing training and passing the written navigator examination.

(3) Refusal to register nonnavigator assisters . The commissioner may refuse to register a nonnavigator assister for any of the following reasons:

(a) Failing to possess requisite character, integrity, competency and trustworthiness. In addition to the requirements set forth in s. 628.04 , Stats., the commissioner may consider the criteria established in s. Ins 6.92 (3) , in assessing trustworthiness and competence.

(b) Commission of any act that would warrant the denial, suspension, or revocation of an insurance license or registration including any of the acts delineated in s. Ins 6.92 (3) .

Ins 6.95 Registration of nonnavigator assister entities. (1) Electronic registration for a nonnavigator assister entity . An entity registering as a nonnavigator assister entity shall provide all of the following information to the commissioner in the form prescribed by the commissioner:

(a) The nonnavigator assister entity's name and current mailing address.

(b) The name and contact information for the nonnavigator assister entity.

(c) The name, business address and type of nonnavigator assister for each nonnavigator assister it employs, supervises or is affiliated with.

(d) An attestation that each nonnavigator assister is in compliance with applicable state law including any nonnavigator assister who is a certified application counselor and who has complied with s. 628.96 (2) , Stats.

(e) The nonnavigator assister entity's agreement to provide to the commissioner all supporting documents as requested by the commissioner.

(2) Entity Reporting of Updates. A nonnavigator assister entity shall comply with s. 628.96 (1) , Stats., reporting in an electronic format as prescribed by the commissioner, any updates to the list of nonnavigator assisters that the nonnavigator assister entity provided when it first registered with the commissioner, including additions, deletions or modifications. The information shall be provided within 30 days of the addition, deletion or modification to the list of nonnavigator assisters.

(3) Entity Liability. A nonnavigator assister entity assumes legal responsibility, in accordance with s. 628.95 (3) , Stat., for the acts of the nonnavigator assisters, on behalf of the entity, that the entity employs, supervises or is formally affiliated with, that are performed in this state and that are within the scope of the apparent authority to act as a nonnavigator assister.

(4) Revocation of Entity Registration. The commissioner may revoke a nonnavigator assister entity registration if the nonnavigator assisters it employs, supervises or is affiliated with, fail to comply with s. Ins 6.95 (3) , or the nonnavigator assister entity fails to comply with any provision contained in this section or by failing to comply with requests of the commissioner.

Ins 6.96 Prohibited business practices. In addition to the prohibited acts contained in s. 628.95 (2) , Stats., navigators and nonnavigator assisters are prohibited from all of the following:

(1) Receiving compensation from an insurer, stop-loss insurance or a third-party administrator.

(2) Receiving compensation that is dependent upon, in whole or in part, on whether an individual enrolls in or renews coverage in a health benefit plan.

(3) Providing any information related to enrollment or other insurance products not offered in the federal exchange.

(4) Making or causing to be made false or misleading statements.

(5) Providing advice comparing health benefit plans that may be better or worse for the consumer or employer.

(6) Recommending a particular health benefit plan or insurer or advising consumers or employers regarding a particular insurer or health benefit plan selection.

(7) Engaging in any fraudulent, deceptive or dishonest acts or unfair methods of competition.

(8) Receiving consideration directly or indirectly from any health insurance issuer in connection with the enrollment of individual or employees into a qualified health plan as defined 45 CFR § 155.20 , as amended.

6.97 Navigator, nonnavigator assister, navigator entity, and nonnavigator assister entity records. (1) Purpose . This section protects consumers by prescribing minimum standards and techniques of accounting and data handling of navigators, nonnavigator assisters, navigator entities and nonnavigator assister entities to ensure that timely and reliable information will exist, if applicable, and be available to the commissioner. This section implements and interprets ss. 601.42 , and 628.34 , Stats., by establishing the minimum records that are to be maintained.

(2) Cash disbursed record. The cash disbursed record shall show the name of the party to whom the payment was made, date of payment, and reason for payment.

(3) Cash receipts record. The cash receipts record shall show the name of the party who remitted the money, date of receipt, and reason for payment.

(4) Personnel records. Personnel records shall include dates of employment, supervision or affiliation; position held; description of principal duties; name and last known address and telephone number of employee, supervisee or affiliated person.

(5) Recordkeeping requirements. Beginning October 1, 2013, each navigator, nonnavigator assister, navigator entity or nonnavigator assister entity shall maintain, for at least a 3-year period, unless a specific period is provided elsewhere, all of the following financial, consumer and employee records, as applicable:

(a) Business checking account.

(b) Cash disbursed records.

(c) Cash receipts records.

(d) Personnel records.

(e) Consumer or policyholder records.

(6) Place of maintaining records. (a) The navigator shall maintain records required by subs. (2) to (5), at the business address of the navigator or the navigator entity, or at another location only if the navigator provides written notice of the other location to the commissioner of insurance.

(b) The nonnavigator assister shall maintain records required by subs. (2) to (5), at the business address of the nonnavigator assister entity or at another location only if the nonnavigator assister entity provides written notice of the other location to the commissioner of insurance.

(7) Updating records. The navigator entities and nonnavigator assister entities shall maintain financial records, if any, all records of compliance with prelicensing training completion, successful passage of the examination and continuing education completion, compliance with federal training and other federal requirements for the navigators and nonnavigator assisters it employs, supervises, or is affiliated with, as applicable for at least 3 years from the transaction of an insurance business.

Ins 6.98 Prohibition of uses of designations. (1) Prohibited uses of designations. It is an unfair and deceptive trade practice under s. 628.34 (12) , Stats., for an agent to use terms including "navigator," "navigator entity," "nonnavigator assister," "certified application counselor," and "nonnavigator assister entity," in such a way as to mislead a purchaser or prospective purchaser that the agent has special certification or training in advising or providing services to consumers in connection with the advertising, solicitation, sale, or purchase of a health insurance policy or in the provision of advice as to the advisability of purchasing a health insurance policy, either directly or indirectly, offered in the state either within or outside the exchange. The terms may not be used by an agent who is not licensed as a navigator or registered as a nonnavigator assister. The terms may not be used alone or be combined with one or more such terms as "certified," "licensed," "registered," or like words, in the name of the certification or professional designation that appears as a certification or professional designation.

(2) Penalties. A violation of this section is an unfair and deceptive trade practice under s. 628.34 (12) , Stats., and shall subject the violator to ss. 601.41 , 601.62 , 601.64 , 601.65 and 628.10 , Stats.

Ins 6.99 Exemption. Governmental entities or any persons acting on behalf of a governmental entity are exempt from subch. II.

SECTION 3. Effective Date. This rule will take effect on the first day of the month after publication, as provided in s. 227.22 (2) (intro.) , Stats.

Private Sector Fiscal Analysis

Section Ins 6.91 relating to navigators and nonnavigator assisters and affecting small business.

The proposed rule will not have a significant effect on the private sector. With an exemption for governmental entities, there will be no effect on county, city, village, town, school district, technical college district and sewerage districts. Additionally the office will be able to manage any cost associated with maintaining the licensure and registration process without additional state funds being provided to the office during this current biennium.

STATE OF WISCONSIN DEPARTMENT OF ADMINISTRATION DOA-2049 (C04/2011)					Division of Executive Budget and Finance 101 East Wilson Street, 10th Floor P.O. Box 7864 Madison, WI 53707-7864 FAX: [phone]
ADMINISTRATIVE RULES – FISCAL ESTIMATE
1.   Fiscal Estimate Version
X Original ⍽ Updated ⍽ Corrected
2.   Administrative Rule Chapter Title and Number INS 6.91
3.   Subject navigators and nonnavigator assisters and affecting small business
4.   State Fiscal Effect:
X No Fiscal Effect ⍽ Indeterminate	⍽ Increase Existing Revenues ⍽ Decrease Existing Revenues					⍽ Increase Costs ⍽ Yes X No   May be possible to absorb       within agency's budget. ⍽ Decrease Costs
5.   Fund Sources Affected: ⍽ GPR   ⍽ FED   ⍽ PRO   ⍽ PRS   ⍽ SEG   ⍽ SEG-S						6 Affected Ch. 20, Stats. Appropriations:
7.   Local Government Fiscal Effect:
X No Fiscal Effect ⍽ Indeterminate	⍽ Increase Revenues ⍽ Decrease Revenues			⍽ Increase Costs ⍽ Decrease Costs
8.   Local Government Units Affected: ⍽ Towns ⍽ Villages ⍽ Cities ⍽ Counties ⍽ School Districts ⍽ WTCS Districts ⍽ Others: None
9.   Private Sector Fiscal Effect (small businesses only):

X No Fiscal Effect ⍽ Indeterminate	⍽ Increase Revenues ⍽ Decrease Revenues ⍽ Yes X No   May have significant     economic impact on a     substantial number of     small businesses		⍽ Increase Costs ⍽ Yes X No   May have significant     economic impact on a     substantial number of     small businesses ⍽ Decrease Costs
10.   Types of Small Businesses Affected:
Individual licensed agents working as a navigator or nonnavigator assister, small organizations that work with consumers, and some surety bond issuers that may be considered a small business.
11.   Fiscal Analysis Summary
The proposed rule may affect small businesses; however, the Office has taken steps to minimize the impact of the rule by limiting the effect of the regulation to those navigators or nonnavigator assisters who are working on behalf of the federal government. For perspective, the federal government only awarded six navigator grants for the entire state of Wisconsin. There are no restrictions or regulations for governmental entities or persons who work with such entities. These governmental entities currently assist consumers with health insurance and public assistance concerns and will not be impacted by this regulation. By keeping the scope of the proposed rule very narrow, the impact on small businesses is lessened. Further, the proposed rule limited the amount of fees navigator and navigator entities are required to pay annually and did not impose fees on nonnavigator assisters or nonnavigator assister entities other than the cost of prelicensing training and examination costs. The office minimized the impact by establishing less stringent requirements than those imposed on licensed insurance agents and agencies. Further, the office provided, and continues to provide, some free prelicensing training to interested parties and in locations throughout the state in advance of the first open enrollment period. Additionally, the office approved licensed vendors to provide prelicensing training both in-person and on-line to reduce imposition on organizations. Finally the office imposed slightly lower fees than is required for licensed agents.
12.   Long-Range Fiscal Implications
None.
13.   Name — Prepared by Julie E. Walsh		Telephone Number [phone]		Date Dec. 20, 2013
14.   Name – Analyst Reviewer		Telephone Number		Date
Signature—Secretary or Designee		Telephone Number		Date

STATE OF WISCONSIN DEPARTMENT OF ADMINISTRATION DOA-2049 (R03/2012)

Division of Executive Budget and Finance 101 East Wilson Street, 10th Floor P.O. Box 7864 Madison, WI 53707-7864 FAX: [phone]

ADMINISTRATIVE RULES

Fiscal Estimate & Economic Impact Analysis

1. Type of Estimate and Analysis
X Original   ⍽ Updated   ⍽ Corrected
2. Administrative Rule Chapter, Title and Number
Ch. Ins 6.91 to 6.99
3. Subject
Navigators, nonnavigator assisters and related entities
4. Fund Sources Affected			5. Chapter 20, Stats. Appropriations Affected
⍽ GPR   ⍽ FED   ⍽ PRO   ⍽ PRS   ⍽ SEG   ⍽ SEG-S
6. Fiscal Effect of Implementing the Rule
X No Fiscal Effect ⍽ Indeterminate	⍽ Increase Existing Revenues ⍽ Decrease Existing Revenues		⍽ Increase Costs ⍽ Could Absorb Within Agency's Budget ⍽ Decrease Cost
7. The Rule Will Impact the Following (Check All That Apply)
⍽ State's Economy ⍽ Local Government Units		⍽ Specific Businesses/Sectors ⍽ Public Utility Rate Payers X Small Businesses (if checked, complete Attachment A)
8. Would Implementation and Compliance Costs Be Greater Than $20 million? ⍽ Yes   X No
9. Policy Problem Addressed by the Rule
Ensuring the persons working on behalf of the federal exchange are of good character, have proper training and have sufficient oversight as navigators and nonnavigator assisters will have access to consumer's financial information.
10. Summary of the businesses, business sectors, associations representing business, local governmental units, and individuals that may be affected by the proposed rule that were contacted for comments.
Navigators, nonnavigator assisters and related entities and possibly health care providers offering such assistance.
11. Identify the local governmental units that participated in the development of this EIA.
None
12. Summary of Rule's Economic and Fiscal Impact on Specific Businesses, Business Sectors, Public Utility Rate Payers, Local Governmental Units and the State's Economy as a Whole (Include Implementation and Compliance Costs Expected to be Incurred)
The navigators and navigator entities have licensing or registration fees, costs for individual background checks and pre-licensing education classes. Nonnavigator assisters and entities have pre-licensing education class fees. As a condition of licensing have received federal funding to off-set costs of their contract.
13. Benefits of Implementing the Rule and Alternative(s) to Implementing the Rule
The rule provides consistent oversight for similarly situated organizations and ensures the public receives accurate information and personal financial information is securely handled.
14. Long Range Implications of Implementing the Rule
None.
15. Compare With Approaches Being Used by Federal Government
The requirements dove-tail with federal requirements and ensure Wisconsin consumers are protected. The rule does not duplicate federal requirements but ensures navigators and nonnavigator assisters are familiar with health insurance and public assistance programs available in the state.
16. Compare With Approaches Being Used by Neighboring States (Illinois, Iowa, Michigan and Minnesota )
The approach is very similar to laws or regulations passed in Iowa, Minnesota and Illinois, Michigan does not have such a law or regulation.
17. Contact Name				18. Contact Phone Number
Louie Cornelius				608-264-8113

This document can be made available in alternate formats to individuals with disabilities upon request.

ATTACHMENT A

1. Summary of Rule's Economic and Fiscal Impact on Small Businesses (Separately for each Small Business Sector, Include Implementation and Compliance Costs Expected to be Incurred)

The proposed rule may affect small businesses that perform outreach services to consumers to assist in educating consumers about the federal health exchange. The navigators were awarded federal grants and the nonnavigator assister entities are registered with the federal government. Both the navigators and nonnavigator assiter entities with provide assistance and education to consumers regarding the federal health exchange and will refer consumers to licensed insurance agents should the individuals need advice or additional assistance in applying for the federal exchange or private insurance. The impact of the proposed rule include the fees associated with licensing or registration and 16 hours of pre-licensing training. Navigators are additionally required to complete finger printing and criminal background checks similar to licensed agents and pay an annual licensing fee of $75. Navigator entities pay an annual registration fee of $100. Nonnavigator assisters must complete 16 hours pre-licensing education and pass the pre-licensing exam. Both navigator and nonnavigator assister entities must carry a bond or similar coverage to protect against errors that cause consumer harm.

2. Summary of the data sources used to measure the Rule's impact on Small Businesses

The office held a public hearing on September 27, 2013 regarding the emergency rule that was issued September 10th and published in the Wisconsin Administrative Register on September 15 that included a 14 day comment period. Also the office sought input from interested parties and received comments both during and prior to the emergency rule comment period. Based upon those comments, the office revised the rule to lessen some of the burden for small businesses.

3. Did the agency consider the following methods to reduce the impact of the Rule on Small Businesses?

X Less Stringent Compliance or Reporting Requirements

X Less Stringent Schedules or Deadlines for Compliance or Reporting

⍽ Consolidation or Simplification of Reporting Requirements

⍽ Establishment of performance standards in lieu of Design or Operational Standards

⍽ Exemption of Small Businesses from some or all requirements

X Other, describe:

The office provided free pre-licensing training to approximately 6,500 persons throughout the state to lessen the cost of the pre-licensing training.

4. Describe the methods incorporated into the Rule that will reduce its impact on Small Businesses

The office changed the annual reporting dated from September to October to give entities more time, clarified that financial record keeping was only needed if the entities received money from consumers, exempted entities working with or that are governmental entities doing a similar business. Additionally, the office has worked with nonnavigator and navigator entities to facilitate obtaining affordable bond or similar coverage.

5. Describe the Rule's Enforcement Provisions

The rule may be enforced as a violation of unfair and deceptive trade practice under ss. 601.41, 601.62, 601.64, 601.65, 628.10.

6. Did the Agency prepare a Cost Benefit Analysis (if Yes, attach to form)

⍽ Yes X No

Notice of Hearing

Natural Resources

Environmental Protection — General, Chs. 100—
Environmental Protection — WPDES, Chs. 200—

CR 13-112

(DNR # SS-14-12 )

NOTICE IS HEREBY GIVEN THAT pursuant to ss. 227.16 and 227.17 , Stats, the Department of Natural Resources, hereinafter the Department, will hold a public hearing on an order to repeal section NR 219.04 , Table BM; to renumber sections NR 219.05 and 219.06 ; to amend sections NR 157.21 , 219.04 (1) , (2) , (4) (Note), and 233.40 (2); to repeal and recreate section NR 219.04 Tables A, B, C, D, E, EM, ES and F; and to create section NR 219.04 Tables G and H, relating to analytical methods used for Wisconsin Pollutant Discharge Elimination System (WPDES) compliance on the date(s) and at the time(s) and location(s) listed below.

Hearing Information

Date:   Monday, January 27, 2014
Time:   11:00 a.m. to 12:00 p.m.
Location:   DNR — LaCrosse
  3550 Mormon Coulee Rd
  McGilvray Room
  LaCrosse, WI

Date:   Monday, January 27, 2014
Time:   11:00 a.m. to 12:00 p.m.
Location:   DNR — Madison
  101 S. Webster St.
  Room 707
  Madison, WI

Date:   Monday, January 27, 2014
Time:   2:00 p.m. to 3:00 p.m.
Location:   DNR — Green Bay
  2984 Shawano Ave.
  Lake Michigan Room
  Green Bay, WI

Reasonable accommodations, including the provision of informational material in an alternative format, will be provided for qualified individuals with disabilities upon request. Contact Richard Mealy, Madison, WI 53707; by E-mail to [e-mail] or by calling [phone]. A request must include specific information and be received at least 10 days before the date of the scheduled hearing.

Availability of the p roposed r ules and f iscal e stimate

The proposed rule and supporting documents, including the fiscal estimate, may be viewed and downloaded from the Administrative Rules System Web site which can be accessed through the link https://health.wisconsin.gov/admrules/ public/Home . If you do not have Internet access, a printed copy of the proposed rule and supporting documents, including the fiscal estimate, may be obtained free of charge by contacting Richard Mealy, Department of Natural Resources, Bureau of Science Services, 101 S. Webster St, Madison, WI, 53703, or by calling [phone].

Submitting Comments

Comments on the proposed rule must be received on or before Monday January 27, 2014 . Written comments may be submitted by U.S. mail, fax, E-mail, or through the Internet and will have the same weight and effect as oral statements presented at the public hearing. Written comments and any questions on the proposed rules should be submitted to:

Richard Mealy

Department of Natural Resources

Bureau of Science Services SS/7

101 S Webster St, Madison, WI 53703

Phone: [phone]

Fax: [phone]

E-mail: [e-mail]

Internet: Use the Administrative Rules System Web site accessible through the link provided.

Analysis Prepared by the Department of Natural Resources

Statutes interpreted

Sections 283.31 , 283.55 (1) , 299.11 , and 299.15 (2) , Stats.

Statutory authority

Sections 227.11 (2) , 281.19 (1) , 283.31 , 283.55 (1) , 299.11 , and 299.15 (2) , Stats.

Explanation of agency authority

Section 281.19 (1) , Stats., authorizes the department to issue general orders, and adopt rules applicable throughout the state for the construction, installation, use, and operation of systems, methods, and means to prevent and abate pollution of the waters of the state. Section 283.31 , Stats., prohibits the discharge of any pollutant into any waters of the state or the disposal of sludge from a treatment work by any person unless such discharge or disposal is done under a permit issued by the department. Section 283.55 (1) , Stats., requires permittees to use monitoring methods, including where appropriate, biological monitoring methods, to identify and determine the amount of each pollutant discharged from each point source under the owner's or operator's ownership or control. Section 299.15 (2) (a) , Stats., authorizes the department by rule to prescribe methods of analysis for pollutants.

Related statutes or rules

Chapters NR 157 and 233 , Wis. Adm. Code, and Chapter 283 , Stats.

Plain language analysis

Specifically, the proposed rule package will address EPA's issues with the Department rule (ch. NR 219 ) incorporating SW 846 methods for wastewater sample analysis. The EPA publication SW- 846, entitled Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, is the waste division of EPA's official compendium of analytical and sampling methods that have been evaluated and approved for use in complying with the federal Resource Conservation and Recovery Act (RCRA) regulations. The DNR has allowed SW 846 methods for analysis of wastewater samples since 1995 because the methods are revised frequently and contain stringent quality control measures. However, EPA has requested that DNR remove from NR 219 all references to allowing SW 846 methods as "approved" methods for analysis of wastewater samples. EPA has also requested that DNR update ch. NR 219 to incorporate analytical methods that have been federally approved in the Federal Register ( 40 CFR 136 ). Therefore, one objective of this rule change is to remove analytical methods that EPA has not approved for wastewater from the list of approved analyses in ch. NR 219 . The other objective is to add methods that are currently allowed by EPA per 40 CFR Part 136 but are not included in ch. NR 219 at this time.

Summary and comparison with existing and proposed federal regulations

The federal counterpart to this rule is 40 CFR 136 . On May 18, 2012, EPA published as final rule, "Guidelines Establishing Test Procedures for the Analysis of Pollutants Under the Clean Water Act; Analysis and Sampling Procedures". The proposed revision to ch. NR 219 incorporates these changes and is consistent with the federal regulations.

Comparison of similar rules in adjacent states

The States of Illinois, Iowa, Michigan, and Minnesota have wastewater programs delegated to them from the U.S. Environmental Protection Agency. Wisconsin has been the only state within EPA Region 5 which has allowed the use of SW-846 methods for NPDES compliance monitoring. Therefore, removing SW-846 methods from the rule will bring Wisconsin into line with other states.

With respect to new methods promulgated by the EPA, the Illinois EPA incorporated changes to 40 CFR Part 136 with legislation which took effect February 2013. The State of Michigan does not certify laboratories that perform analyses of wastewater. The Minnesota Environmental Laboratory Accreditation Program incorporated the changes to 40 CFR Part 136 for its October 2013 application period. The Iowa Department of Natural Resources rules reference the 2007 edition of 40 CFR Part 136 at this time.

Summary of factual data and analytical methodologies

This proposed rule revision brings Wisconsin up to date with the current federal rules that establish analytical test methods.

Analysis and supporting documents used to determine effect on small business or in preparation of an economic impact analysis

Alternate approved methods from different authoritative sources are available for all of the analytical methods that are being deleted. The quality control requirements for analyses are established in ch. NR 149 ; these will not change with updating methods tables. For several analyses, newer methods and techniques have been added. It is possible for a laboratory to change the analytical method it uses and not incur additional costs or, in some cases, actually reduce costs.

The requirements imposed upon small business include following approved analytical methods listed in the rule. There are no reporting requirements in ch. NR 219 . The small businesses that will likely be impacted by this rule are commercial laboratories certified under ch. NR 149 . The vast majority of these laboratories likely follow approved analytical methods that are being maintained in this chapter.

Effect on small business

The proposed changes to ch. NR 219 potentially only affect larger certified commercial laboratories and larger municipal wastewater facilities that analyze samples for compliance with their Wisconsin Pollutant Discharge Elimination System (WPDES) permit. There are 371 laboratories certified or registered to perform analyses by the department. Of these, 238 municipal wastewater laboratories, 48 industrial environmental, and 71 commercial environmental will be impacted by this rule. The remaining laboratories are public health laboratories that analyze drinking water and those that perform testing at hazardous waste facilities. This update will allow laboratories to utilize new techniques that currently require approval by the U. S. Environmental Protection Agency and deletes outdated methods that lack adequate quality control procedures.

Of the 371 certified or registered laboratories that will be impacted by this rule, there are less than 12, 3% of the total, that fit the definition of "small businesses". This proposed rule would affect commercial, industrial, and municipal laboratories that analyze effluent discharges to determine compliance with WPDES permit limitations. All laboratories performing analyses to determine WPDES compliance are expected to keep detailed records of all laboratory information, including: analytical methods and results, corrective action logs, equipment records, quality control records, and sample receipt logbooks.

This proposal does not change analytical testing requirements, nor does it address any change in reporting, schedule or deadline requirements. Sections 299.11 and 283.55 , Stats., do not allow for less stringent schedules, deadlines or reporting requirements. Laboratories may seek approval of an alternate test procedure, as specified in s. NR 219.05 , Wisc. Adm. Code, from U.S. EPA. WPDES permit terms and conditions and other related regulations require that permitted facilities conduct analytical tests in compliance with the procedures of ch. NR 219 . The Laboratory Certification and Registration Program audits laboratories performing these analyses to ensure that testing is performed in compliance with the proposed rule. If a laboratory does not follow an approved method, it is cited during the audit process; a laboratory must correct all identified deficiencies to maintain their certification under ch. NR 149 .

The Small Business Regulatory Coordinator may be contacted at [e-mail] , or by calling [phone].

Environmental Analysis

The Department has made a preliminary determination that adoption of the proposed rules would not involve significant adverse environmental effects and would not need an environmental analysis under ch. NR 150 , Wis. Adm. Code. However, based on comments received, an environmental analysis may be prepared before proceeding. This analysis would summarize the Department's consideration of the impacts of the proposal and any reasonable alternatives.

Fiscal Estimate Summary

This rule will have no fiscal effect on state government. Minimal economic impact associated with this rule revision is anticipated for local governments and the private sector. The majority of the costs are upfront costs resulting from labs having to change SOPs and from validating the new EPA methods. Even the minimal fiscal impact is unavoidable as this rule revision is being directed by the U.S. EPA.

Contact Person

Richard Mealy

Department of Natural Resources

Bureau of Science Services SS/7

101 S Webster St, Madison, WI 53703

Phone: [phone]

Fax: [phone]

E-mail: [e-mail]

STATE OF WISCONSIN DEPARTMENT OF ADMINISTRATION DOA-2049 (R03/2012)	Division of Executive Budget and Finance 101 East Wilson Street, 10th Floor P.O. Box 7864 Madison, WI 53707-7864 FAX: [phone]
ADMINISTRATIVE RULES Fiscal Estimate & Economic Impact Analysis

1. Type of Estimate and Analysis
X Original   ⍽ Updated   ⍽ Corrected
2. Administrative Rule Chapter, Title and Number
NR 219
3. Subject
Analytical test procedures and approved methods.
4. Fund Sources Affected			5. Chapter 20, Stats. Appropriations Affected
⍽ GPR   ⍽ FED   ⍽ PRO   ⍽ PRS   ⍽ SEG   ⍽ SEG-S
6. Fiscal Effect of Implementing the Rule
X

No Fiscal Effect

⍽ Indeterminate

⍽ Increase Existing Revenues

⍽ Decrease Existing Revenues

⍽ Increase Costs

⍽ Could Absorb Within Agency's Budget

⍽ Decrease Cost

7. The Rule Will Impact the Following (Check All That Apply)

⍽ State's Economy

X Local Government Units

X Specific Businesses/Sectors

⍽ Public Utility Rate Payers

⍽ Small Businesses (if checked, complete Attachment A)

8. Would Implementation and Compliance Costs Be Greater Than $20 million?

⍽ Yes   X No

9. Policy Problem Addressed by the Rule

Current wastewater analysis methods being used are not in compliance with EPA requirements. The EPA is requiring the WDNR to remove the SW 846 methods for wastewater analysis from the rule. SW 846 methods will still be included in NR 219 and allowed to be used for the analysis of sludge (currently Table EM). In addition, we will be adding methods the EPA has promulgated in the Method Update Rule (MUR) dated May 18, 2012.

10. Summary of the businesses, business sectors, associations representing business, local governmental units, and individuals that may be affected by the proposed rule that were contacted for comments.

Laboratories using SW 846 methods could potentially be affected. These include small businesses, businesses, and municipal wastewater treatment facilities (WWTF). In our preliminary research we conducted a survey of 57 labs that could potentially be using SW-846 methods.

We received 19 responses. Sixty-seven percent (thirteen respondents) anticipated no economic impact. Thirty-three percent (six respondents) anticipated some, but minimal economic impact.

11. Identify the local governmental units that participated in the development of this EIA.

See above.

12. Summary of Rule's Economic and Fiscal Impact on Specific Businesses, Business Sectors, Public Utility Rate Payers, Local Governmental Units and the State's Economy as a Whole (Include Implementation and Compliance Costs Expected to be Incurred)

We expect the economic and fiscal impact of this rule revision to be minimal. Those who responded to our survey reported costs ranging from $50 to $25,000. One lab did not provide a cost estimate. Four of the six respondents estimated costs less than $4,500.

To estimate the economic impact statewide, we assume (based on responses) that 30 percent of state labs will need to revise their methods.

The majority of the costs come from staff time spent revising SOPs and validating the new methods. Alternative methods are available online for free through the EPA. Methods are similar enough that laboratory equipment and supplies will likely be comparable in cost. Costs to laboratories will primarily be incurred from time spent validating new methods and revising SOPs.

A survey was sent out to 57 labs known or believed to perform wastewater testing using the methods scheduled to be removed. There were 19 respondents (33% response rate). Survey questions and responses are as follows:

1. Do you use any of the SW-846 methods listed in NR219 for WPDES monitoring?

•   Yes – 6 respondents

•   No – 13 respondents.

2. Which SW-846 methods do you use?

•   Respondents indicated an array of SW-846 methodologies, the majority of which were related to metals, volatile organics, and semivolatile organics.

3. Anticipated costs:

•   $50

•   $1,300

•   $2,000

•   $3,000-$4,500

•   $25,000 (Note: There is no substantiation or rationale for this figure)

•   Unknown

4. Lab equipment costs

•   None/minor costs

5. Any anticipated difficulties

•   Two said they would have to run both old and new methods which would be somewhat of a burden.

6. Other costs

•   Most say none; one respondent said $42,000/year resulting from running additional controls and standards. The elimination of SW-846 methods , however, will not result in any increased frequency for quality control samples or standards.

7. Respondent classification

•   Small business: 4

•   Business: 1

•   Municipality/WWTF: 1

In summary:

Minimal economic impact associated with this rule revision is anticipated. The majority of the costs are upfront costs resulting from labs having to change SOPs and from validating the new EPA methods. Even the minimal fiscal impact is unavoidable as this rule revision is being directed by the U.S. EPA.

13. Benefits of Implementing the Rule and Alternative(s) to Implementing the Rule

Wastewater analysis methods will be in compliance with EPA standards.

14. Long Range Implications of Implementing the Rule

The costs are primarily up-front implementation costs; therefore, there are very few long-range implications of implementing this rule beyond the WDNR being in compliance with EPA standards.

15. Compare With Approaches Being Used by Federal Government

These regulations are established by the U.S. EPA.

16. Compare With Approaches Being Used by Neighboring States (Illinois, Iowa, Michigan and Minnesota )

All the other U.S. EPA Region 5 states (Illinois, Indiana, Michigan, Minnesota and Ohio) are subject to the U.S. EPA regulations that are delegated to the states for implementation. Wisconsin's rules for laboratory standards should essentially be the same as the other states.

17. Contact Name

18. Contact Phone Number

Richard Mealy

[phone]

This document can be made available in alternate formats to individuals with disabilities upon request.

Notice of Rulemaking Without Public Hearing

Public Instruction

CR 13-115

The State Superintendent of Public Instruction hereby proposes an order to amend section PI 25.05 (1) (intro) , relating to the Children at Risk Plan and Program.

The rules are being adopted under s. 227.16 (2) (b) , Stats., which provides that rulemaking does not need to be preceded by notice and public hearing if the proposed rule brings an existing rule into conformity with a statute that has been changed.

Place where Comments are to be Submitted and Deadline for Submission

Comments can be submitted to Katie Schumacher using the contact information below. Comments must be submitted no later than 10 days after publication of the notice of submittal to the Rules Clearinghouse in the Administrative Register.

Analysis by the Department of Public Instruction

Statute interpreted

Section 118.153 (3) (c) 2. , Stats.

Statutory authority

Section 118.153 (7) ., Stats.

Explanation of agency authority

Under s. 118.153 (7) , Stats., the State Superintendent must promulgate rules to implement the program for children at risk of not graduating from high school.

Down

Down

Up

Up

Related statute or rule

None.

Plain language analysis

The proposed rule change will modify s. PI 25.05 to align it with the statutory change made in 2011 Wisconsin Act 32 , which removed the statutory limitation on the number of children at risk a school district may contract with private agencies to provide services for.

Summary of, and comparison with, existing or proposed federal regulations

N/A.

Comparison with rules in adjacent states

N/A.

Summary of factual data and analytical methodologies

N/A.

Analysis and supporting documents used to determine effect on small business or in preparation of economic impact report

N/A.

Anticipated Costs Incurred by Private Sector

N/A.

Effect on Small Business

The proposed rules will have no economic impact on small businesses, as defined in s. 227.114 (1) , Stats.

Agency Contact Person

Katie Schumacher

Budget and Policy Analyst

Wisconsin Department of Public Instruction

[e-mail]

[phone]

Text of Rule

SECTION 1. PI 25.05(1)(intro) is amended to read:

PI 25.05 (1) The board of a school district may contract with private, nonprofit, nonsectarian agencies to provide programs for children at risk for not more than 30% of the children at risk enrolled in grades 5 through 12, if the board determines that the agencies can adequately serve such children. A board contracting under this section shall take all of the following actions:

SECTION 2. EFFECTIVE DATE:

The proposed rules contained in this order shall take effect on the first day of the month commencing after the date of publication in the Wisconsin Administrative Register, as provided in s. 227.22(2)(intro.) , Stats.

STATE OF WISCONSIN DEPARTMENT OF ADMINISTRATION DOA 2049 (R 07/2011) ADMINISTRATIVE RULES FISCAL ESTIMATE AND ECONOMIC IMPACT ANALYSIS
Type of Estimate and Analysis
X Original ⍽ Updated ⍽ Corrected
Administrative Rule Chapter, Title and Number
PI 25, Children At Risk Plan and Program
Subject
Aligning the Rule with Statute
Fund Sources Affected			Chapter 20, Stats. Appropriations Affected
⍽ GPR ⍽ FED ⍽ PRO ⍽ PRS ⍽ SEG ⍽ SEG-S
Fiscal Effect of Implementing the Rule
X No Fiscal Effect ⍽ Indeterminate	⍽ Increase Existing Revenues ⍽ Decrease Existing Revenues		⍽ Increase Costs ⍽ Could Absorb Within Agency's Budget ⍽ Decrease Costs
The Rule Will Impact the Following (Check All That Apply)
⍽ State's Economy ⍽ Local Government Units		⍽ Specific Businesses/Sectors ⍽ Public Utility Rate Payers
Would Implementation and Compliance Costs Be Greater Than $20 million? ⍽ Yes X No
Policy Problem Addressed by the Rule
The proposed rule change will modify PI 25.05 to align it with the statutory change made in 2011 Wisconsin Act 32, which removed the statutory limitation on the number of children at risk a school district may contract with private agencies to provide services for.
Summary of Rule's Economic and Fiscal Impact on Specific Businesses, Business Sectors, Public Utility Rate Payers, Local Governmental Units and the State's Economy as a Whole (Include Implementation and Compliance Costs Expected to be Incurred)
Local: None. 2011 Wisconsin Act 32 removed the statutory limitation on the number of children at risk a school district may contract with private agencies to provide services for; revision of the rule to align it with statute will have no fiscal effect. State: No fiscal effect.
Benefits of Implementing the Rule and Alternative(s) to Implementing the Rule
The rule needs to be revised to align it with the statutory change made in 2011 Wisconsin Act 32. Otherwise, the rule will not reflect current law.
Long Range Implications of Implementing the Rule
This will help align PI 25 of the DPI Administrative Code with the Wisconsin Statutes.
Compare With Approaches Being Used by Federal Government
N/A.
Compare With Approaches Being Used by Neighboring States (Illinois, Iowa, Michigan and Minnesota )
N/A.
Name and Phone Number of Contact Person
Katie Schumacher, Department of Public Instruction Administrative Rules Coordinator, [phone].

Notice of Rulemaking Without Public Hearing

Public Instruction

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CR 13-116

The State Superintendent of Public Instruction hereby proposes an order to repeal Chapter PI 42 , relating to the School Breakfast Program.

The rules are being adopted under s. 227.16 (2) (b) , Stats., which provides that rulemaking does not need to be preceded by notice and public hearing if the proposed rule brings an existing rule into conformity with a statute that has been changed.

Place where Comments are to be Submitted and Deadline for Submission

Comments can be submitted to Katie Schumacher using the contact information below. Comments must be submitted no later than 10 days after publication of the notice of submittal to the Rules Clearinghouse in the Administrative Register.

Analysis by the Department of Public Instruction

Statute interpreted

None. 1999 Wisconsin Act 9 eliminated the grants awarded under the School Breakfast Program.

Statutory authority

None.

Explanation of agency authority

The Department of Public Instruction is repealing a rule that no longer has any statutory authority.

Related statute or rule

None.

Plain language analysis

This proposed rule change is a technical change that would repeal a rule that no longer has any statutory authority.

Summary of, and comparison with, existing or proposed federal regulations

N/A.

Comparison with rules in adjacent states

N/A.

Summary of factual data and analytical methodologies

N/A.

Analysis and supporting documents used to determine effect on small business or in preparation of economic impact report

N/A.

Anticipated Costs Incurred by Private Sector

N/A.

Effect on Small Business

The proposed rules will have no economic impact on small businesses, as defined in s. 227.114 (1) , Stats.

Agency Contact Person

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Katie Schumacher

Budget and Policy Analyst

Wisconsin Department of Public Instruction

[e-mail]

[phone]

Text of Rule

SECTION 1. Chapter PI 42 is repealed.

SECTION 2. EFFECTIVE DATE:

The proposed rules contained in this order shall take effect on the first day of the month commencing after the date of publication in the Wisconsin Administrative Register, as provided in s. 227.22(2)(intro.) , Stats.

STATE OF WISCONSIN DEPARTMENT OF ADMINISTRATION DOA 2049 (R 07/2011) ADMINISTRATIVE RULES FISCAL ESTIMATE AND ECONOMIC IMPACT ANALYSIS
Type of Estimate and Analysis
X Original ⍽ Updated ⍽ Corrected
Administrative Rule Chapter, Title and Number
PI 42, School Breakfast Program
Subject
Repeal of PI 42
Fund Sources Affected			Chapter 20, Stats. Appropriations Affected
⍽ GPR ⍽ FED ⍽ PRO ⍽ PRS ⍽ SEG ⍽ SEG-S
Fiscal Effect of Implementing the Rule
X No Fiscal Effect ⍽ Indeterminate	⍽ Increase Existing Revenues ⍽ Decrease Existing Revenues		⍽ Increase Costs ⍽ Could Absorb Within Agency's Budget ⍽ Decrease Costs
The Rule Will Impact the Following (Check All That Apply)
⍽ State's Economy ⍽ Local Government Units		⍽ Specific Businesses/Sectors ⍽ Public Utility Rate Payers
Would Implementation and Compliance Costs Be Greater Than $20 million? Yes X No
Policy Problem Addressed by the Rule
There is no longer funding or statutory authority for School Breakfast Program grants. Thus, the rule needs to be repealed.
Summary of Rule's Economic and Fiscal Impact on Specific Businesses, Business Sectors, Public Utility Rate Payers, Local Governmental Units and the State's Economy as a Whole (Include Implementation and Compliance Costs Expected to be Incurred)
Local: None. Grants for School Breakfast Programs were eliminated in 2011 Act 32; repeal of the rule will have no fiscal effect. State: No fiscal effect.
Benefits of Implementing the Rule and Alternative(s) to Implementing the Rule
The rule needs to be repealed since there is no longer any statutory authority for the grant program. Otherwise, the rule will not reflect current law.
Long Range Implications of Implementing the Rule
Elimination of the rule will align the DPI Administrative Code with statutes.
Compare With Approaches Being Used by Federal Government
N/A.
Compare With Approaches Being Used by Neighboring States (Illinois, Iowa, Michigan and Minnesota )
N/A.
Name and Phone Number of Contact Person
Katie Schumacher, Department of Public Instruction Administrative Rules Coordinator, [phone].

Notice of Hearing

Revenue

EmR1323

NOTICE IS HEREBY GIVEN That, pursuant to ss. 77.58 (5) , 77.65 (3) , and 227.11 (2) (a) , Stats., the Department of Revenue will hold a public hearing to consider emergency rules revising Chapter Tax 11 , relating to sales tax filing frequency.

Hearing Information

The hearing will be held:

Date:   Monday, January 27, 2014
Time:   1:00 p.m.
Location:   Events Room
  State Revenue Building
  2135 Rimrock Road
  Madison, WI 53713

Handicap access is available at the hearing location.

Appearances at the Hearing and Submittal of Written Comments

Interested persons are invited to appear at the hearing and may make an oral presentation. It is requested that written comments reflecting the oral presentation be given to the department at the hearing. Written comments may also be submitted to the contact person listed below or to adminrules.wisconsin.gov no later than January 27, 2014 , and will be given the same consideration as testimony presented at the hearing.

Place where Comments are to be Submitted and Deadline For Submission

Comments may be submitted to the contact person shown below no later than the date on which the public hearing on this rule is conducted.

Dale Kleven

Department of Revenue

Mail Stop 6-40

2135 Rimrock Road

P.O. Box 8933

Madison, WI 53708-8933

Telephone: [phone]

E-mail: [e-mail]

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Analysis by the Department of Revenue

Statutes interpreted

Section 77.58 (1) (a) and (5) , Stats.

Statutory authority

Sections 77.58 (5) , 77.65 (3) , and 227.11 (2) (a) , Stats.

Explanation of agency authority

Section 77.58 (5) , Stats., provides "The department, if it deems it necessary to ensure payment to or facilitate the collection by the state of the amount of taxes, may require returns and payments of the amount of taxes for other than quarterly periods. The department may, if satisfied that the revenues will be adequately safeguarded, permit returns and payments of the amount of taxes for other than quarterly periods … "

Section 77.65 (3) , Stats., provides "[t]he department may promulgate rules to administer this section … "

Section 227.11 (2) (a) , Stats., provides "[e]ach 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

There are no other applicable statutes or rules.

Plain language analysis

This proposed rule amends the reference in s. Tax 11.93 to increase the annual filing standard to $600 (currently $300) to allow more retailers to file sales tax returns annually. This is consistent with changes made to s. 77.58 (1) (a) , Stats., by 2013 Wis. Act 20 , to allow more retailers to file sales tax returns less frequently (quarterly rather than monthly).

Summary of, and comparison with, existing or proposed federal regulation

There is no existing or proposed federal regulation that is intended to address the activities to be regulated by the rule.

Comparison with rules in adjacent states

Illinois (86 ILL. Adm. Code 130.502), Iowa (Rule 701 12.1(422)), and Minnesota (Rule 8130.7300) also address sales tax filing frequency in their rules. As with Wisconsin, each of these state's rules are based on unique underlying statutes and policy. Because of this, a meaningful comparison cannot be made.

Summary of factual data and analytical methodologies

2013 Wis. Act 20 doubled the threshold upon which a monthly sales tax return is required to be filed ($600 to $1200). The department has created this proposed rule order to be consistent with this statutory change by doubling the threshold upon which an annual sales tax return may be filed ($300 to $600). No other data was used in the preparation of this rule order or this analysis.

Analysis and supporting documents used to determine effect on small business

This rule order makes changes to reflect current law and current department policy. It makes no policy or other changes having an effect on small business.

Anticipated Costs Incurred by Private Sector

This rule does not have a fiscal effect on the private sector.

Effect on Small Business

This rule does not affect small business.

Agency Contact Person

Please contact Dale Kleven at [phone] or [e-mail] , if you have any questions regarding this rule.

Dale Kleven

Department of Revenue

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Mail Stop 6-40

2135 Rimrock Road

P.O. Box 8933

Madison, WI 53708-8933

[e-mail] .

Finding of Emergency

The Department of Revenue finds that an emergency exists and that the attached rule order is necessary for the immediate preservation of the public peace, health, safety or welfare. A statement of the facts constituting the emergency is:

Section 77.58 (1) , Stats., provides that retailers must file sales tax returns quarterly, except as provided in s. 77.58 (1) (a) and (b) , Stats., which allows for sales tax returns to be filed monthly.

Section 77.58 (5) , Stats., provides that the department may require returns and payments on the amount of taxes for other than a quarterly period if it deems it necessary to ensure payment to or facilitate the collection by the state of the amount of taxes. The department has provided for annual sales tax returns by rule in s. Tax 11.93 (1) for retailers that have an annual tax liability of $300 or less.

Section 77.58 (1) (a) , Stats., as amended by 2013 Wis. Act 20 , requires retailers to file sales tax returns monthly if their tax liability exceeds $1,200 in any quarter. This change goes into effect on January 1, 2014. Under prior law, retailers were required to file monthly sales tax returns if their tax liability exceeded $600 in any quarter.

Because 2013 Wis. Act 20 doubles the threshold upon which a monthly sales tax return is required to be filed ($600 to $1200), s. Tax 11.93 (1) should also be changed to reflect a similar increase in the threshold upon which an annual sales tax return can be filed.

As the statutory change to the monthly filing standard goes into effect on January 1, 2014, the corresponding change to the annual filing standard in s. Tax 11.93 (1) should also go into effect on January 1, 2014. There is insufficient time for the permanent rule to be effective on January 1, 2014.

Text of Rule

SECTION 1. Tax 11.93 (1) and (Note 2) are amended to read:

Tax 11.93 (1) A retailer holding a regular seller's permit who during the previous calendar or fiscal year had a sales and use tax liability not exceeding $300 $600 will be notified by the department that it must only file one sales and use tax return for the following year. If the retailer wants to continue to file returns on a quarterly basis, it must contact the department.

(Note 2) The interpretations in s. Tax 11.93 are effective under the general sales and use tax law on and after September 1, 1969, except: (a) The A $300 standard applies applied to taxable years beginning on and after January 1, 1979. Prior to that date, a $100 standard applied; and (b) The "annual information return" was eliminated for 1981 and subsequent years, pursuant to Chapter 221, Laws of 1979 . ; and (c) The $600 standard applies on and after January 1, 2014.

SECTION 2. Effective date. This rule shall take effect upon publication in the official state newspaper as provided in s. 227.22 (2) (c) , Stats.

FISCAL ESTIMATE FORM				2013 Session
X ORIGINAL ⍽ UPDATED	LRB #
	INTRODUCTION #
⍽ CORRECTED ⍽ SUPPLEMENTAL	Admin rule #		Tax 11: Sales Tax Filing Frequency
Subject Emergency Rule - Proposed order of the Department of Revenue relating to sales tax filing frequency
Fiscal Effect

State:   ⍽ No State Fiscal Effect   Check columns below only if bill makes a direct appropriation or affects a sum sufficient appropriation ⍽ Increase Existing Appropriation     ⍽ Increase Existing Revenues ⍽ Decrease Existing Appropriation     X Decrease Existing Revenues ⍽ Create New Appropriation			X Increase Costs - May be Possible to Absorb Within Agency's Budget X Yes ⍽ No   ⍽ Decrease Costs
Local: ⍽ No Local Government Costs
1. ⍽ Increase Costs	3. ⍽ Increase Revenues		5. Types of Local Governmental Units Affected:
⍽ Permissive ⍽ Mandatory	⍽ Permissive ⍽ Mandatory		⍽ Towns   ⍽ Villages   ⍽ Cities
2. ⍽ Decrease Costs	4. X Decrease Revenues		X Counties X Others	Stadium Districts
⍽ Permissive ⍽ Mandatory	⍽ Permissive X Mandatory		⍽ School Districts ⍽ WTCS Districts
Fund Sources Affected ⍽ GPR ⍽ FED ⍽ PRO ⍽ PRS ⍽ SEG ⍽ SEG-S		Affected Ch. 20 Appropriations

Assumptions Used in Arriving at Fiscal Estimate:

The proposed rule modifies Chapter TAX 11 of the Administrative Code regarding the requirements for quarterly and annual sales and use tax filing. Currently, a registered business with an annual sales and use tax liability not exceeding $300 must only file sales and use tax returns on an annual basis. If the retailer prefers to file on a quarterly basis, it must contact the department. The proposal would increase the $300 threshold to $600, allowing more businesses to file sales and use tax returns on an annual basis. The change to the filing threshold would be effective January 1, 2014.

Based on information from state sales and use tax returns, the rule change is expected to affect 8,091 filers. While the proposal does not impact tax liabilities, sales tax returns for quarters ending March 31 and June 30 would be due Dec 31 of the next fiscal year. Assuming all affected businesses file on an annual basis, the proposal would result in a $1.7 million non-recurring loss in FY14.

County and stadium sales and use taxes were 8.2% of state sales and use taxes in FY13. Assuming this does not change, county and stadium taxes would decrease by $140,000 (non-recurring loss) in FY14.

Notice of Hearing

Safety and Professional Services —
Marriage and Family Therapy, Professional Counseling and Social Work Examining Board

CR 13-117

NOTICE IS HEREBY GIVEN that pursuant to authority vested in the Marriage and Family Therapy, Professional Counseling and Social Work Examining Board in ss. 15.08 (5) (b) and 457.22 (1) , Wis. Stats., and interpreting s. 457.22 , Wis. Stats., the Marriage and Family Therapy, Professional Counseling and Social Work Examining Board will hold a public hearing at the time and place indicated below to consider an order to repeal Chapter MPSW 8 and section MPSW 14.03 , and to repeal and recreate Chapter MPSW 19 , relating to continuing education.

Hearing Information

Date:   Tuesday, February 4, 2014
Time:   9:05 a.m.
Location:   1400 East Washington Avenue
  Room 121C
  Madison, Wisconsin

Appearances at the Hearing

Interested persons are invited to present information at the hearing. Persons appearing may make an oral presentation but are urged to submit facts, opinions and argument in writing as well. Facts, opinions and argument may also be submitted in writing without a personal appearance by mail addressed to the Department of Safety and Professional Services, Division of Policy Development, P.O. Box 8935, Madison, Wisconsin 53708. Written comments must be received at or before the public hearing to be included in the record of rule-making proceedings.

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Place where Comments are to be Submitted and Deadline for Submission

Comments may be submitted to Sharon Henes, Administrative Rules Coordinator, Department of Safety and Professional Services, Division of Policy Development, 1400 East Washington Avenue, Room 151, P.O. Box 8935, Madison, WI 53708-8935, or by email to [e-mail] . Comments must be received at or before the public hearing to be held on February 4, 2014 at 9:05 a.m. to be included in the record of rule-making proceedings.

Copies of Rule

Copies of this proposed rule are available upon request to Sharon Henes, Administrative Rules Coordinator, Department of Safety and Professional Services, Division of Policy Development, 1400 East Washington Avenue, P.O. Box 8935, Madison, Wisconsin 53708, or by email at [e-mail] .

Analysis Prepared by the Department of Safety and Professional Services

Statutes interpreted

Section 457.22 , Wis. Stats.

Statutory authority

Sections 15.08 (5) (b) and 457.22 (1) , Wis. Stats.

Explanation of agency authority

The examining board shall promulgate rules for its own guidance and for the guidance of the professional.

The examining board may promulgate rules establishing requirements and procedures for social workers, advanced practice social workers, independent social workers, clinical social workers, marriage and family therapists, and professional counselors to complete continuing education programs or courses of study in order to qualify for renewal of their credential.

Related statute or rule

Section 457.22 , Wis. Stats.

Plain language analysis

This rule combines the three current chapters on continuing education into one chapter which covers social workers, advanced practice social workers, independent social workers, clinical social workers, marriage and family therapists, and professional counselors.

Sections 1 and 2 delete the social worker and professional counselor continuing education requirements.

Section 3 repeals the marriage and family therapist continuing education requirements and recreates the new chapter which covers all professionals credentialed by Board.

The new chapter begins with definitions for the chapter.

The next section lists the continuing education requirement at 30 hours with at least 4 of those hours in ethics. As to ethics, marriage and family therapists would need to take ethics related to their profession only unless credentialed by another section and social worker ethics would need to be taken in an interactive learning format which is defined. Continuing education is not required during the initial licensure period. Continuing education may not be applied to a different credential period nor may continuing education taken as a result of a disciplinary action be counted.

The next section indicates how continuing education may be earned. Continuing education may be earned through approved program providers; postgraduate courses; in house trainings; presenting or developing professional materials for approved programs; postgraduate educators; authorship of published textbook or article; and authorship of alternative or electronic media or computer software.

The next section delineates the requirements for postponement and waivers for hardships and exemptions due to retirement. If a person retires and then returns to practice, continuing education would need to be completed.

The last section of the chapter provides for a record retention requirement of a minimum of 4 years and that audits may be conducted to determine compliance with the continuing education requirements.

Section 4 is the effective date of the rules which is the first day of the month following publication in the administrative register.

Summary of, and comparison with, existing or proposed federal regulation

None

Comparison with rules in adjacent states

Illinois: In Illinois, each marriage and family therapist, professional counselor and social worker credential holder shall complete 30 hours of continuing education. Continuing education hours may be earned for attending programs, courses, and postgraduate training programs; teaching and presenting programs and courses; and authorship of papers or books. Professional counselors also have an 18 credit hours in clinical supervision training as a one time (lifetime) requirement for continuing education. Social workers have a 3 credit hours requirement in ethics every two years.

Iowa: In Iowa, each marriage and family therapist and licensed mental health counselor, shall complete 40 hours of continuing education of which 3 hours shall be in the area of ethics.. Continuing education may be earned by attendance at workshops, conferences and academic courses; presenting professional programs; and scholarly research which is published. Each social work credential holder shall complete 27 hours of continuing education of which 3 hours shall be in the area of ethics. Continuing education may be earned by attendance at sponsored activities and programs; pro-bono or volunteer work; instruction of a program or course; authorship of papers, publications; and preparation of presentations and exhibits before a professional audience. Those credential holders who provide supervision shall complete 3 hours of the required 27 hours in supervision.

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Michigan: Michigan does not require continuing education for marriage and family therapists or professional counselors. In Michigan, social work credentials shall complete 45 hours continuing education in a three year period. At least 5 of the hours shall be in ethics and 1 hour in pain and pain symptom management.

Minnesota: In Minnesota, marriage and family therapists shall complete 30 hours of continuing education. Continuing education may be earned by attendance at workshops, seminars, symposia or postgraduate institutes; teaching a course, workshop, seminar, symposia or at a meeting of professional organizations; research; and authorship of a book or article. Professional counselors in the first four years shall complete 12 graduate semester credits and 40 hours of continuing education and after the first four years, only 40 hours of continuing education. Continuing education may be earned by attendance at approved programs or courses; teaching a postgraduate course; authoring, editing, producing or reviewing in the area of professional counseling; presentations at approved programs; and serving as a board or committee member of a major state or national professional counseling organization, national counselor certification board, a state counseling licensure board and a major counseling conference or convention. Each social worker credential shall complete 40 hours of continuing education and at least 2 hours in ethics. Continuing education may be earned by academic coursework; educational workshops, seminars or conferences offered by an approved organization; staff training offered by public or private employer; and independent study. Licensed independent clinical social workers are required to complete 24 hours in the clinical content area. Those providing supervision shall complete at least 6 hours in supervision.

Summary of factual data and analytical methodologies

The Board examined each Section's rules with the goal of having just one chapter on continuing education for all credentials granted by the Board. The Board also looked at recent audits which revealed confusion among credential holders who have more than one credential with the Board.

Analysis and supporting documents used to determine effect on small business or in preparation of economic impact analysis

In preparation of the EIA, the rule was posted for economic comments for a period of 14 days and received no comments.

Fiscal Estimate and Economic Impact Analysis

The Fiscal Estimate and Economic Impact Analysis is attached.

Initial Regulatory Flexibility Analysis or Summary

These proposed rules do not have an economic impact on small businesses, as defined in s. 227.114 (1) , Stats.

Agency Contact Person

Sharon Henes, Administrative Rules Coordinator, Department of Safety and Professional Services, Division of Policy Development, 1400 East Washington Avenue, Room 151, P.O. Box 8935, Madison, Wisconsin 53708; telephone [phone]; email at [e-mail] .

STATE OF WISCONSIN DEPARTMENT OF ADMINISTRATION DOA-2049 (R03/2012)	Division of Executive Budget and Finance 101 East Wilson Street, 10th Floor P.O. Box 7864 Madison, WI 53707-7864 FAX: [phone]
ADMINISTRATIVE RULES Fiscal Estimate & Economic Impact Analysis

1. Type of Estimate and Analysis
X Original   ⍽ Updated   ⍽ Corrected
2. Administrative Rule Chapter, Title and Number
MPSW 8, 14, 19
3. Subject
Continuing education
4. Fund Sources Affected			5. Chapter 20, Stats. Appropriations Affected
⍽ GPR   ⍽ FED   X PRO   ⍽ PRS   ⍽ SEG   ⍽ SEG-S			20.165(1)(g)
6. Fiscal Effect of Implementing the Rule
⍽ No Fiscal Effect ⍽ Indeterminate	⍽ Increase Existing Revenues ⍽ Decrease Existing Revenues		⍽ Increase Costs X Could Absorb Within Agency's Budget ⍽ Decrease Cost
7. The Rule Will Impact the Following (Check All That Apply)
⍽ State's Economy ⍽ Local Government Units		⍽ Specific Businesses/Sectors ⍽ Public Utility Rate Payers ⍽ Small Businesses (if checked, complete Attachment A)
8. Would Implementation and Compliance Costs Be Greater Than $20 million? ⍽ Yes   X No
9. Policy Problem Addressed by the Rule
This rule combines the three Sections of the Board's continuing education rule into one chapter as well as updating the requirements to create clarity and utilize current methods of delivery.
10. Summary of the businesses, business sectors, associations representing business, local governmental units, and individuals that may be affected by the proposed rule that were contacted for comments.
None
11. Identify the local governmental units that participated in the development of this EIA.
None
12. Summary of Rule's Economic and Fiscal Impact on Specific Businesses, Business Sectors, Public Utility Rate Payers, Local Governmental Units and the State's Economy as a Whole (Include Implementation and Compliance Costs Expected to be Incurred)
This rule will not have an economic nor fiscal impact on specific businesses, business sectors, public utility rate payers, local governmental units of the state's economy as a whole.
13. Benefits of Implementing the Rule and Alternative(s) to Implementing the Rule
The benefit is to create clarity and reduce the confusion which was revealed during the recent continuing education audits.
14. Long Range Implications of Implementing the Rule
The long range implication is clarity with the continuing education requirements. Credential holders will not be face disciplinary action for failing to complete the correct continuing education due to confusion with the requirements if they hold multiple MPSW credentials.
15. Compare With Approaches Being Used by Federal Government
None
16. Compare With Approaches Being Used by Neighboring States (Illinois, Iowa, Michigan and Minnesota )
Illinois requires credential holders in all three professions to complete 30 hours of continuing education. Iowa requires marriage and family therapists and licensed mental health counselors to complete 40 hours of continuing education and social workers to complete 27 hours of continuing education. Michigan only requires continuing education for social workers and the number of hours is 45 for a three year period. Minnesota requires marriage and family therapists to complete 30 hours of continuing education and the professional counselors and social worker credential holders to complete 40 hours of continuing educations. All states list the acceptable methods in which continuing education may be earned as well as any specific topic areas which must be address in their continuing education.
17. Contact Name				18. Contact Phone Number
Sharon Henes				[phone]

This document can be made available in alternate formats to individuals with disabilities upon request.

Notice of Hearing

Safety and Professional Services —
Marriage and Family Therapy, Professional Counseling and Social Work Examining Board

CR 13-118

NOTICE IS HEREBY GIVEN that pursuant to authority vested in the Marriage and Family Therapy, Professional Counseling and Social Work Examining Board in s. 15.08 (5) (b) , Wis. Stats., and interpreting s. 457.01 (8m) , Wis. Stats., the Marriage and Family Therapy, Professional Counseling and Social Work Examining Board will hold a public hearing at the time and place indicated below to consider an order to repeal sections MPSW 2.01 (14) and 10.01 (3m) , relating to the definition of psychotherapy.

Hearing Information

Date:   Tuesday, February 4, 2014
Time:   9:00 a.m.
Location:   1400 East Washington Avenue
  Room 121C
  Madison, Wisconsin

Appearances at the Hearing

Interested persons are invited to present information at the hearing. Persons appearing may make an oral presentation but are urged to submit facts, opinions and argument in writing as well. Facts, opinions and argument may also be submitted in writing without a personal appearance by mail addressed to the Department of Safety and Professional Services, Division of Policy Development, P.O. Box 8935, Madison, Wisconsin 53708. Written comments must be received at or before the public hearing to be included in the record of rule-making proceedings.

Place where Comments are to be Submitted and Deadline for Submission

Comments may be submitted to Sharon Henes, Administrative Rules Coordinator, Department of Safety and Professional Services, Division of Policy Development, 1400 East Washington Avenue, Room 151, P.O. Box 8935, Madison, WI 53708-8935, or by email to [e-mail] . Comments must be received at or before the public hearing to be held on February 4, 2014, at 9:00 a.m. to be included in the record of rule-making proceedings.

Copies of Rule

Copies of this proposed rule are available upon request to Sharon Henes, Administrative Rules Coordinator, Department of Safety and Professional Services, Division of Policy Development, 1400 East Washington Avenue, P.O. Box 8935, Madison, Wisconsin 53708, or by email at [e-mail] .

Analysis prepared by the Department of Safety and Professional Services

Statutes interpreted

Section 457.01 (8m) , Wis. Stats.

Statutory authority

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Section 15.08 (5) (b) , Wis. Stats.

Explanation of agency authority

Each examining board shall promulgate rules for its own guidance and for the guidance of the trade or profession to which it pertains, and define and enforce professional conduct and unethical practices not inconsistent with the law relating to the particular trade or profession.

Related statute or rule

Section 457.01 (8m) , Wis. Stats., and s. MPSW 1.02 (2m) , Wis. Admin. Code

Plain language analysis

The rule repeals two definitions of psychotherapy. Section MPSW 1.02 (2) is a definition which applies to the all the MPSW chapters and is identical to s. 457.01 (8) statutory definition.

Summary of, and comparison with, existing or proposed federal regulation

None

Comparison with rules in adjacent states

Illinois: The Illinois practice acts for marriage and family therapy, professional counseling and social work do not define the word psychotherapy.

Iowa: The Iowa practice acts for marriage and family therapy, professional counseling, and social work do not define the word psychotherapy.

Michigan: The Michigan practice acts for marriage and family therapy, professional counseling, and social work do not define the word psychotherapy.

Minnesota: The Michigan practice acts for marriage and family therapy, professional counseling, and social work do not define the word psychotherapy.

Summary of factual data and analytical methodologies

The Board is repealing two definitions for a word that is already defined by the MPSW code therefore eliminating conflicting definitions.

Analysis and supporting documents used to determine effect on small business or in preparation of economic impact analysis

This rule was posted for 14 days for economic impact comments and none were received. This rule repeals 2 definitions which did not match the statutory definition of psychotherapy.

Fiscal Estimate and Economic Impact Analysis

The Fiscal Estimate and Economic Impact Analysis is attached.

Initial Regulatory Flexibility Analysis or Summary

This rule does not have impact on small businesses.

Agency Contact Person

Sharon Henes, Administrative Rules Coordinator, Department of Safety and Professional Services, Division of Policy Development, 1400 East Washington Avenue, Room 151, P.O. Box 8935, Madison, Wisconsin 53708; telephone [phone]; email at [e-mail] .

STATE OF WISCONSIN DEPARTMENT OF ADMINISTRATION DOA-2049 (R03/2012)	Division of Executive Budget and Finance 101 East Wilson Street, 10th Floor P.O. Box 7864 Madison, WI 53707-7864 FAX: [phone]
ADMINISTRATIVE RULES Fiscal Estimate & Economic Impact Analysis

1. Type of Estimate and Analysis
X Original   ⍽ Updated   ⍽ Corrected
2. Administrative Rule Chapter, Title and Number
MPSW 2.01(14) and 10.01(3m)
3. Subject
Psychotherapy definition
4. Fund Sources Affected			5. Chapter 20, Stats. Appropriations Affected
⍽ GPR   ⍽ FED   X PRO   ⍽ PRS   ⍽ SEG   ⍽ SEG-S			20.165(1)(g)
6. Fiscal Effect of Implementing the Rule
X No Fiscal Effect ⍽ Indeterminate	⍽ Increase Existing Revenues ⍽ Decrease Existing Revenues		⍽ Increase Costs ⍽ Could Absorb Within Agency's Budget ⍽ Decrease Cost
7. The Rule Will Impact the Following (Check All That Apply)
⍽ State's Economy ⍽ Local Government Units		⍽ Specific Businesses/Sectors ⍽ Public Utility Rate Payers ⍽ Small Businesses (if checked, complete Attachment A)
8. Would Implementation and Compliance Costs Be Greater Than $20 million? ⍽ Yes   X No
9. Policy Problem Addressed by the Rule
The rule repeals two definitions for a word already defined in the MPSW code and eliminates the conflicting definitions.
10. Summary of the businesses, business sectors, associations representing business, local governmental units, and individuals that may be affected by the proposed rule that were contacted for comments.
None
11. Identify the local governmental units that participated in the development of this EIA.
None
12. Summary of Rule's Economic and Fiscal Impact on Specific Businesses, Business Sectors, Public Utility Rate Payers, Local Governmental Units and the State's Economy as a Whole (Include Implementation and Compliance Costs Expected to be Incurred)
There is no economic or fiscal impact on specific businesses, business sectors, public utility rate payers, local governmental units or the state's economy as a whole. In preparation of the EIA, the rule was posted for economic comments for a period of 14 days and received no comments.
13. Benefits of Implementing the Rule and Alternative(s) to Implementing the Rule
The benefit is to eliminate conflicting definitions.
14. Long Range Implications of Implementing the Rule
The long range implication is for clarity in the MPSW code.
15. Compare With Approaches Being Used by Federal Government
None
16. Compare With Approaches Being Used by Neighboring States (Illinois, Iowa, Michigan and Minnesota )
The four neighboring states do not define "psychotherapy" in the practice acts or rules for marriage and family therapy, professional counseling and social work.
17. Contact Name				18. Contact Phone Number
Sharon Henes				[phone]

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