Bureau of Permanence and Out-of-Home Care
Phone: (608) 264-6933
Employee Trust Funds
Subject
Repeals and recreates section
ETF 20.055 to reflect statutory changes in department practices regarding spousal consent on benefit applications.
Policy Analysis
ETF is responsible for administering the benefit programs authorized under Chapter
40 of the Wisconsin Statutes. Since s.
ETF 20.055 was promulgated, a spousal consent provision for separation benefits was enacted in
1993 Wisconsin Act 426. The purpose of this rulemaking is to amend s.
ETF 20.055 to reflect the provisions in Wisconsin Act 426 and expand the language related to spousal consent waivers.
Statutory Authority
Comparison with Federal Regulations
No existing or proposed federal regulation addresses the contemplated rule changes.
Entities Affected by the Rule
The new rules will affect Wisconsin Retirement System participants and their spouses.
Estimate of Time Needed to Develop the Rule
State employees will spend an estimated 35 hours to develop these rules.
Financial Institutions — Securities
Subject
Revises section
DFI-Sec 1.02, relating to the definition of “institutional investor".
Policy Analysis
The proposed rule will create s.
DFI-Sec 1.02 (21) (a) to
(g). The purpose of this rule is to reinstate former rule s.
DFI-Sec 1.02 (8) (a) to
(c) and
(e) to
(h) regarding the “institutional investor" definition inadvertently deleted in the 2009 securities rule revisions.
Statutory Authority
Comparison with Federal Regulations
Rule 501(a) (1)-(3) of the federal Securities Act of 1933.
Entities Affected by the Rule
Issuers of registered securities or securities exempt from registration, broker-dealers and their securities agents, investment advisers and their investment adviser representatives, federal and state securities regulatory authorities, and securities self-regulatory organizations.
Estimate of Time Needed to Develop the Rule
20 hours.
Contact Information
Mark Schlei, Deputy General Counsel
Dept. of Financial Institutions — Office of the Secretary
P.O. Box 8861, Madison, WI 53708-8861
Phone: (608) 267-1705
Health Services
Management and Technology and Strategic Finance,
Chs.
DHS 1—
Subject
Revises s.
DHS 1.06 (3) (d) and
(e), relating to the retention of records and the designation of files as either active or inactive.
Objective of the Rule
The objective is to change the treatment of active and inactive client records. Active client records are those records with a liability still attached; and inactive client records are those records that have been paid in full or have been determined to be uncollectible and their liability has been adjusted to zero thereby eliminating liability. The rule changes also reduce the amount of time all inactive client records are retained from 10 years to 5 years. All active client records are retained until they become inactive.
Policy Analysis
The first part of the rule changes will change the treatment of active and inactive client records. It is important to note that these rule changes only impact those financial records defined in s.
DHS 1.06 (3) (a). Currently, s.
DHS 1.06 (3) (d) provides that active records are those where a liability exists, except for those files where the client has received inpatient mental health services. Section
DHS 1.06 (3) (e) does not provide a definition for inactive client records and requires the retention of inactive mental inpatient records for 10 years. The Department wants to remove the exception for inpatient mental health services for active client records, and simply define all client records as active when a liability exists; and define inactive files as those files without a liability, whether that occurs because the liability has been paid in full or if the file has been determined to be uncollectible and the liability on the file has been adjusted to zero. The Department also wants to remove the exception for inactive mental inpatient records within s.
DHS 1.06 (3) (e) and retain all inactive records for 5 years.
The Department believes it is necessary to move forward with these rule changes for several reasons:
(1) The Department has changed its business practices and no longer recognizes the distinction between inpatient mental health client records and all other client records. Thus, client records for inpatient mental health clients need not be held for a longer period of time;
(2) This distinction has created confusion across the counties and has led to different applications of the rules across those counties. By simplifying the rules and removing this confusing distinction, the Department will increase uniformity across the State; and
(3) The Department will save on storage costs by shortening the time records are held.
These proposed rule changes are administrative in nature and will not have a significant impact on the public. The Department, and various counties of the State, will realize decreased costs and reduce unnecessary spending, along with an increase in uniformity and accountability.
Statutory Authority
Comparison with Federal Regulations
There appears to be no existing or proposed federal regulation that addresses the activities to be regulated by the proposed rules.
Entities Affected by the Rule
Various counties across the State.
Dept. of Health Services — Bureau of Fiscal Services — Billing and Collections.
Estimate of Time Needed to Develop the Rule
The Department expects less than ten hours to develop the rule and needs no other resources.
Contact Information
James Anderson Phone: (608) 266-1917
Troy Kitzrow Phone: (608) 266-5984
Marriage and Family Therapy, Professional Counseling and Social Work Examining Board
Subject
Revises section
MPSW 1.09 to allow licensed marriage and family therapists, professional counselors and clinical social workers to engage in substance abuse counseling without seeking separate certification as a substance abuse counselor under s.
440.088, Stats. Additionally, the intended revision will eliminate the provisions for applying for and receiving a substance abuse specialty within s.
MPSW 1.09.
Objective of the Rule
The objective of the rule change is to allow ch.
457, Stats. licensed professionals to engage in substance abuse counseling without requiring them to become certified substance abuse counselors under s.
440.88, Stats. The board also intends to eliminate the specified education hours and training required for the substance abuse specialty, as well as the granting of the substance specialty under s.
MPSW 1.09. For those providing ongoing treatment of substance abuse counseling, the amended rules will require an as of yet unspecified amount of hours in continuing education. The changes pursued by the board will allow licensed marriage and family therapists, professional counselors and clinical social workers to provide therapy for primary and co-occurring substance abuse disorders if they are adequately trained to do so without need of additional certification. Other master's level credential holders, i.e. certified advanced practice and independent social workers, marriage and family therapists and professional counselor training license holders, could provide such services under adequate supervision. The envisioned changes to the rule will require certified social workers to pursue substance abuse counselor certification under s.
440.88, Stats., in order to provide substance abuse counseling services.
Policy Analysis
Currently, under s.
MPSW 1.09, a person credentialed by the board may use the title “alcohol or drug counselor" or “chemical dependency counselor" only if he or she is certified as an alcohol and drug counselor or as a chemical dependency counselor through a process recognized by the Department of Health.
(Note: 2005 Wis. Act 25 transferred the authority for regulation of substance abuse counselors from the Department of Health Services to the Department of Regulation and Licensing.) A person credentialed by the board may treat alcohol or substance dependency or abuse only if he or she is qualified to do so by education, training and experience.
Under s.
457.02, Stats., marriage and family therapists, professional counselors and social workers are not authorized to treat alcohol or substance dependency or abuse as a specialty unless the individual is a certified substance abuse counselor, or unless the individual satisfies educational and supervised training requirements established in rules promulgated by the board. The statutory guidelines for promulgation of those rules advise the board to consider the existing requirements for state certification of substance abuse counselors, however the statute does not direct the board to adopt or use state rules as a guideline.
Finally, it is the position of the board that licensed professionals who have had the requisite education, training and experience in treatment of substance abuse may provide substance abuse therapy as treatment of such is included with the definition of psychotherapy and the provision of psychotherapy is within their legal scope of practice. The limiting factor of the disorders that a therapist treats is their prior training and experience and is an issue of ethics. i.e., a therapist may not ethically practice in areas in which they lack competence.
Statutory Authority
Comparison with Federal Regulations
None.
Entities Affected by the Rule
Marriage and family therapists, professional counselors and social workers — all levels will be affected by the rule (credential holders).
Estimate of Time Needed to Develop the Rule
Approximately 120 hours.
Marriage and Family Therapy, Professional Counseling and Social Work Examining Board
Subject
Revises section
MPSW 3.13, relating to social worker training certificates.
Objective of the Rule
To clarify and update s.
MPSW 3.13, regarding requirements for issuance of a social worker training certificate. The objective of the proposed updates is to reduce confusion among prospective applicants, streamline and clarify education and training approval procedures, and increase education requirements required under the social worker training certificate so that they are equivalent to the requirements of an accredited baccalaureate degree in social work.
Policy Analysis
The social worker training certificate was enacted in law to allow students with undergraduate degrees in a small number of social-science majors to obtain basic level social worker certification by completing a number of social work courses and a supervised internship or work experience. The statutes allow persons with undergraduate degrees in three specific majors (sociology, psychology, and criminal justice) to automatically qualify for the training certificate. Additionally, there is a category of “other human service degree programs" which the social worker section has come to believe is poorly defined in s.
MPSW 3.13. In the section's view, the current rules regarding this option have created significant problems for persons applying for the certificate and for the department since each application must be reviewed by the section individually in order to determine if the major meets the requirements. Further, applicants seek approval for the certificate after they have completed a program, and may be disappointed to learn that their program does not meet the requirements of the social worker training certificate. Applicants and employers may be harmed if an applicant takes a job that requires the training certificate but later learns that the applicant's degree major does not meet the minimum requirements. These persons use a disproportionate amount of department staff time in attempting to pursue a credential that they are not able to obtain with their educational background. (e.g. After they complete their education, they may have a job opportunity that requires certification, they apply, are denied and afforded a class 1 hearing before the section. If they do not prevail, the typical result is termination from their social services position.) The social worker section is modifying its rules to create a process for preapproval of majors in order to provide clear guidelines to applicants, employers, colleges and universities, and department staff as to which “other human services" degrees will meet the requirements.
Additionally, the Council on Social Work Education (CSWE) has revised their requirements for the baccalaureate degree in social work. Significant changes to the CSWE educational policy and accreditation standards go into effect later in 2010, and all social work degree programs will be reviewed according to these new guidelines. The social worker section believes that as the standards for the accredited bachelor's degree in social work is increasing; there is a subsequent need to modify the existing rules to make the educational requirements for the social worker training certificate more equivalent to a baccalaureate degree in social work given these new guidelines. According to s.
457.09 (4), Stats., the social worker training certificate sets standards to create a path towards equivalency with a baccalaureate degree in social work. The social worker section is responsible for establishing rules which spell out the requirements for the social worker training certificate to meet the equivalency standards, and the current rules regarding course requirements, internships, and employment need to be updated to reflect the changing standards in the field of social work.
Statutory Authority
Comparison with Federal Regulations
None.
