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Register December 2011 No. 672
Chapter SPS 500
SMALL BUSINESS ENFORCEMENT DISCRETION
SPS 500.01 Purpose.
SPS 500.02 Policy.
SPS 500.03 Definitions.
SPS 500.10 Enforcement of rules.
Ch. SPS 500 Note Note: Chapter Comm 200 was renumbered chapter SPS 500 under s. 13.92 (4) (b) 1., Stats., Register December 2011 No. 672.
SPS 500.01 SPS 500.01 Purpose. The purpose of this chapter is to set forth the extent of discretion the department will exercise in enforcement actions undertaken to obtain compliance with department rules and guidelines, by a small business.
SPS 500.01 Note Note: This chapter does not limit the department's general statutory authority, such as under s. 101.02, Stats., to exercise discretion in the enforcement of rules in order to gain compliance by any business.
SPS 500.01 History History: CR 07-005: cr. Register March 2008 No. 627, eff. 4-1-08.
SPS 500.02 SPS 500.02 Policy. The department acknowledges the objectives under s. 895.59, Stats., as an obligation to evaluate and consider the potential impacts on small businesses with regard to the department's enforcement actions. This obligation is shared by all divisions of the department.
SPS 500.02 History History: CR 07-005: cr. Register March 2008 No. 627, eff. 4-1-08.
SPS 500.03 SPS 500.03 Definitions. In this chapter:
SPS 500.03(1) (1) "Department" means the department of safety and professional services.
SPS 500.03(2) (2) "Small business" has the meaning given in s. 895.59 (1) (b), Stats.
SPS 500.03 Note Note: Section 895.59 (1) (b), Stats., reads as follows:
SPS 500.03 Note "Small business" has the meaning given in s. 227.114 (1), but does not include an entity, as defined in s. 48.685 (1) (b) or 50.065 (1) (c).
SPS 500.03 Note Note: Section 227.114 (1), Stats., reads in part, as follows:
SPS 500.03 Note "Small business" means a business entity, including its affiliates, which is independently owned and operated and not dominant in its field, and which employs 25 or fewer full-time employees or which has gross annual sales of less than $5,000,000.
SPS 500.03 Note Note: Section 48.685 (1) (b), Stats., reads as follows:
SPS 500.03 Note "Entity" means a child welfare agency that is licensed under s. 48.60 to provide care and maintenance for children, to place children for adoption, or to license foster homes; a foster home that is licensed under s. 48.62; an interim caretaker to whom subsidized guardianship payments are made under s. 48.623 (6); a group home that is licensed under s. 48.625; a shelter care facility that is licensed under s. 938.22; a child care center that is licensed under s. 48.65 or established or contracted for under s. 120.13 (14); a child care provider that is certified under s. 48.651; or a temporary employment agency that provides caregivers to another entity.
SPS 500.03 Note Note: Section 50.065 (1) (c), Stats., reads as follows:
SPS 500.03 Note "Entity" means a facility, organization or service that is licensed or certified by or registered with the department to provide direct care or treatment services to clients; or an agency that employs or contracts with an individual to provide personal care services. "Entity" includes a hospital, a home health agency licensed under s. 50.49, a temporary employment agency that provides caregivers to another entity, and the board on aging and long-term care. "Entity" does not include any of the following:
SPS 500.03 Note1. Licensed or certified child care under ch. 48.
SPS 500.03 Note2. Kinship care under s. 48.57 (3m) or long-term kinship care under s. 48.57 (3n).
SPS 500.03 Note3. A person certified as a medical assistance provider, as defined in s. 49.43 (10), who is not otherwise approved under s. 50.065 (1) (cm), licensed or certified by or registered with the department.
SPS 500.03 Note4. An entity, as defined in s. 48.685 (1) (b).
SPS 500.03 Note6. A public health dispensary established under s. 252.10.
SPS 500.03 History History: CR 07-005: cr. Register March 2008 No. 627, eff. 4-1-08; correction in (1) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.
SPS 500.10 SPS 500.10 Enforcement of rules.
SPS 500.10(1) (1) Except as provided in sub. (2), the department shall exercise the following discretion in the enforcement of rules and guidelines with respect to an entity that identifies itself as a small business:
SPS 500.10(1)(a) (a) The department shall provide for a reduction or waiver of penalties, upon voluntary disclosure by the small business, of actual or potential violations of rules or guidelines, when the penalties are under the direct control of the department.
SPS 500.10(1)(b) (b) The department may consider the small business's ability to pay when determining the amount of any monetary penalty, when the monetary penalty is under the control of the department.
SPS 500.10 Note Note: Most monetary penalties are determined and imposed by the judicial system. The department may only determine the amount of a monetary penalty that is imposed by citation or administrative forfeiture under specific statutory authority.
SPS 500.10 Note Note: Under s. 101.02 (6), Stats., the department may grant an extension of time to any entity, regardless of size, as may be reasonably necessary to achieve compliance with a rule or guideline.
SPS 500.10(2)(a)(a) The department will not exercise discretion in the enforcement of a rule or guideline with respect to a small business in any of the following situations:
SPS 500.10(2)(a)1. 1. The department discovers the violation before the small business discloses the violation.
SPS 500.10(2)(a)2. 2. The violation is disclosed after a department audit or inspection of the small business has been scheduled.
SPS 500.10(2)(a)3. 3. The violation was identified as part of the monitoring or sampling requirements that are consistent with the requirements under an existing permit.
SPS 500.10(2)(a)4. 4. The violation results in a substantial economic advantage for the small business.
SPS 500.10(2)(a)5. 5. The small business has repeatedly violated the same rule or guideline.
SPS 500.10(2)(a)6. 6. The violation may result in an endangerment to the environment, or to public health or safety.
SPS 500.10(2)(b) (b) The department may decline to exercise discretion in the enforcement of a rule or guideline with respect to a small business, if the small business fails to correct the violation in accordance with the department's rules and guidelines.
SPS 500.10(3) (3) The requirements of this chapter apply to any exercise of department discretion in an enforcement action against an entity after the entity has notified the department that it meets the definition of small business, and the department determines that the entity is a small business.
SPS 500.10 History History: CR 07-005: cr. Register March 2008 No. 627, eff. 4-1-08.
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