Rule-making notices
Notice of Hearings
Agriculture, Trade and Consumer Protection
The state of Wisconsin Department of Agriculture, Trade and Consumer Protection (DATCP) announces that it will hold public hearings on proposed amendments to chapters ATCP 60, 69, 70, 71, 75, 77, 80, 81, 82 and 85, Wis. Adm. Code, relating to food and dairy license and reinspection fees.
DATCP will hold three public hearings at the times and places shown below. DATCP invites the public to attend the hearings and comment on the proposed rule. Following the public hearings, the hearing record will remain open until Monday, June 11, 2007, for additional written comments. Comments may be sent to the Division of Food Safety at the address below, by email to debbie.mazanec@datcp.state.wi.us, or online by using the State of Wisconsin's Administrative Rules website at: https://apps4.dhfs.state.wi.us/admrules/public/Home.
You may obtain a free copy of this rule by contacting the Wisconsin Department of Agriculture, Trade and Consumer Protection, Division of Food Safety, 2811 Agriculture Drive, P.O. Box 8911, Madison, WI 53708. You can also obtain a copy by calling (608) 224-4712 or emailing debbie.mazanec@datcp.state.wi.us. Copies will also be available at the hearings. To view the proposed rule online, go to the State of Wisconsin's Administrative Rules website at:
To provide comments or concerns relating to small business, please contact DATCP's small business regulatory coordinator Keeley Moll at the address above, by emailing to Keeley.Moll@datcp.state.wi.us or by telephone at (608) 224-5039.
Hearing impaired persons may request an interpreter for these hearings. Please make reservations for a hearing interpreter by May 9, 2007, by writing to Deb Mazanec, Division of Food Safety, P.O. Box 8911, Madison, WI 53708-8911, telephone (608) 224-4712. Alternatively, you may contact the DATCP TDD at (608) 224-5058. Handicap access is available at the hearings.
Hearing Dates and Locations:
Tuesday, May 15, 2007
10:00 a.m. to 1:00 p.m.
State of Wisconsin Office Building, Room 105
718 W. Clairemont Avenue
Eau Claire, WI 54701
Wednesday, May 16, 2007
10:00 a.m. to 1:00 p.m.
Appleton Public Library, Room C
225 N. Oneida Street
Appleton, WI 54911
Tuesday, May 22, 2007
10:00 a.m. to 1:00 p.m.
Department of Agriculture, Trade and Consumer Protection
2811 Agriculture Drive, Board Room (CR-106)
Madison, Wisconsin, 53718-6777
Analysis Prepared by the Department of Agriculture, Trade and Consumer Protection
The Department of Agriculture, Trade and Consumer Protection (“DATCP") administers Wisconsin's dairy and food safety program. The program is funded, in major part, by dairy and food license fees. This rule increases current license fees in order to address an imminent deficit in the food safety program revenue account.
Statutory Authority
Statutory authority: 93.07 (1), 93.09 (10), 93.12 (7), 97.17 (4), 97.175 (2), 97.20 (2c) (b), (2g) (b), (2n) (b), (2w) and (4), 97.21 (4m) and (6), 97.22 (2) (b), (4) (am) and (8), 97.27 (3m) and (5), 97.29 (3) (am), (cm) and (5), 97.30 (3m) and (5), and 98.146 (4), Stats.
Statutes interpreted: 93.09, 93.12, 97.17, 97.175, 97.20, 97.21, 97.22, 97.27, 97.29, 97.30 and 98.146 (4), Stats.
DATCP has broad authority, under s. 93.07(1), Stats., to adopt rules needed to implement laws under its jurisdiction. DATCP also has specific authority, under the provisions cited above, to establish dairy and food license and reinspection fees.
Rule Content
This rule increases current license and reinspection fees for dairy and food businesses, as shown below. DATCP plans to adopt and publish this rule before May 1, 2008, but fee increases will first apply to fees that are due on July 1, 2008.
Entity   Current Fee(s)   Proposed Fee(s)
Dairy Farm   $24 annual license fee (paid   $32
  by dairy plant operator)
  $24 or $48 reinspection fee   $32 or $64
  (paid by dairy plant operator
  if reinspection is required)
Dairy Plant   Annual license fee (calculations include an increase in the basic license fee from $96 to $129):
  $699 or $879 for grade A   $937 or $1,178
  processing plant (based on size)
  $397 for grade A receiving station   $532
  $96 for grade A transfer station   $129
  $96 to $421 for grade B processing   $129 or $565
  plant (based on size)
  $96 for grade B receiving station   $129
  or transfer station
  Grade A milk procurement fee:
  0.96 cent per 100 lbs.   1.081 cent per 100 lbs. (for payments due beginning July 1, 2008)
  Grade B milk procurement fee:
  0.2 cent per 100 lbs.   No change
  Reinspection fee:
  $203 or $246 for grade A   $336 or $394
  processing plant
  $221 for grade B processing plant   $360
  $122 for grade A receiving station   $229
  $48 for grade B receiving station   $64
  or transfer station
  Butter and cheese grading fee:
  1.09 cents per 100 lbs.   1.5 cents per 100 lbs.
  of product   of product
Food Processing Plant   $78-$685 annual license fee   $105 - $918
  (based on size and type)
  $261 canning surcharge for canning   $350
  plants with annual production of
  25,000 or more
  $49-$431 reinspection fee   $66 - $578
  (based on size and type)
Food Warehouse   $65-$261 annual license fee   $87-$350
  (based on size and type)         $92-$246 reinspection fee   $123 - $330
  (based on size and type)
Milk Distributor   $60 annual license fee   $80
  per facility
  $25 reinspection fee   $34
  per facility
Retail Food Store   $37-$562 annual license fee   $50-$753
  based on size and type)
  $74-$369 reinspection fee   $99 - $494
  (based on size and type)
Dairy, Food or Water
Testing Lab   $336 annual lab certification fee   $450
  for each dairy or food test (other
  than milk drug residue screening)
  $276 annual lab certification fee for   $370
  each water test
  $25 annual certification fee for each   $34
  dairy or food analyst (other than milk
  drug residue screening analyst)
  $50-$500 initial fee and $25-$50   $67-$670 initial fee
  annual renewal fee for lab
  performing milk   $34-$67 annual renewal fee
  drug residue screening  
  $25 initial evaluation fee for milk drug   $34
  residue screening analysts
  (if more than 3 per lab)
Bulk Milk   $36 annual bulk milk tanker license fee   $48
Tanker   $36 bulk milk tanker reinspection fee   $48
  $48 bulk milk weigher & sampler license $64
  fee (2-year license)
  $48 bulk milk weigher and sampler   $64
  reinspection fee
Buttermaker or   $60 license fee (2-year license)   $80
Cheesemaker
Butter or Cheese   $60 license fee (2-year license)   $80
Grader
This rule does not affect any of the following:
Fees that DATCP charges for certain services, such as review of food processing equipment plans, or the testing, timing and sealing of pasteurizers. DATCP is authorized to charge fees for such services in order to cover its cost of providing the services. DATCP may adjust these service fees by written notice, in order to keep fees consistent with service costs.
License fees for milk and cream testers. DATCP is not authorized to adjust these fees by rule. Milk and cream testers currently pay a license fee of $50 (for a 2-year license) and a reinspection fee of $25.
License fees for meat establishments. Meat inspection programs are funded by a combination of federal dollars and matching state GPR dollars. Under federal law, states must match federal dollars with state GPR dollars, not license fees.
Fiscal Estimate
State Fiscal Effect
This rule will increase food safety program revenues by approximately $994,000 per year, beginning in FY 2008. The increase is needed to offset a projected deficit in DATCP's food safety program revenue account beginning in FY 2007. A complete fiscal estimate is attached.
Wisconsin's food safety program is funded by a combination of general tax dollars (GPR) and program revenue from license fees (PR). In 1991, license fees funded about 40% of program costs. The 1995-97 biennial budget act reduced the GPR funding share, so that PR funded about 50% of program costs. Subsequent state budgets further reduced the GPR funding share, so that PR now funds about 60% of the food safety budget.
Recent state budgets have lapsed a substantial amount of food safety license fee revenue to the state general fund (to help remedy state budget deficits). At the same time, DATCP has experienced a modest increase in operating costs. DATCP proposed a license fee increase in 2005, but was forced to withdraw a large share of that fee increase proposal. As a result, DATCP projects a substantial food safety budget deficit beginning in FY 2007.
DATCP is working to deliver effective food safety protection as efficiently as possible. For example:
DATCP has reduced its food and dairy staff by approximately 17% since 1990 (from 118 to 98 staff). Staffing trends fairly reflect changes in the food and dairy industry, including a reduction in dairy farm numbers and increased delegation of retail food regulation to cooperating local governments. While food safety staffing needs have declined in some traditional areas, they are growing in other areas.
DATCP works with local governments to license and inspect retail food establishments. Thirty-four local entities license and inspect on behalf of DATCP, compared to 15 in 1997 (local participation is voluntary). Local entities now license and inspect 4,600 retail food establishments. DATCP licenses and inspects the remaining 4,200 establishments.
DATCP is working to reform national dairy regulations, which impose rigid Grade A inspection frequency requirements. DATCP is pursuing a more flexible, risk-based inspection system that could reduce inspection costs. In the meantime, Wisconsin must comply with current inspection mandates in order to ship milk and fluid milk products in interstate commerce.
DATCP and the Wisconsin Department of Health and Family Services (DHFS) have eliminated duplicate licensing and inspection of grocery stores, restaurants, and combination grocery-restaurants. DATCP and DHFS have adopted uniform rules for grocery stores and restaurants, based on the federal Model Food Code.
Local Fiscal Effect
DATCP currently provides administrative support to local governments that license and inspect retail food establishments as agents of DATCP. Local governments establish their own license fees, and reimburse DATCP for administrative services costs. The reimbursement amount equals 10% of the license fees that DATCP would charge local license holders, if DATCP licensed them directly. An increase in DATCP license fees therefore increases local reimbursement payments (current payments do not fully compensate DATCP for its costs).
In FY 2006, local governments made a total of $58,000 in reimbursement payments. If DATCP adopts the fee increases proposed in this rule, the reimbursement rate will remain at 10%, but the total reimbursement amount will increase to approximately $76,500. This rule thus increases local costs by approximately $18,500 (statewide total). Local governments can (and likely will) pass this increased cost on to retail food businesses. Local governments can set license fees to recover up to 100% of their reasonable operating costs.
Business Impact
This rule affects all milk producers, dairy plants, food processing plants, food warehouses, milk distributors, retail food stores, dairy and food testing laboratories, milk haulers, buttermakers, cheesemakers, and butter and cheese graders licensed by the department. Many of these businesses are “small businesses" as defined in s. 227.114 (1) (a), Stats.
This rule increases annual license fees, reinspection fees and milk procurement fees, beginning with fees that are due in July, 2008. This will increase overall dairy and food industry costs by a combined total of approximately $994,000 per year. Costs for individual businesses will depend on business size and type. Because of competitive market conditions, it may be difficult for affected businesses to increase prices to recover these costs.
The proposed fee increases will have a significant but not dramatic impact on affected businesses. In the multi-billion dollar dairy and food industries, license fees comprise a relatively small overall share of industry costs. DATCP has worked to maintain a fair and equitable license fee schedule.
Fees are based on actual food safety costs related to each license sector. Fees are also based on business size, food product type, and type of food handling operations. Smaller businesses generally pay lower fees than large businesses, and lower-risk businesses generally pay lower fees than higher-risk businesses.
This rule increases food safety license fees, but does not change other license requirements. This rule requires no additional recordkeeping, and no added professional services to comply. A Business Impact Analysis is attached.
DATCP has not incorporated a small business enforcement policy in this rule, but has adopted a separate rule on that subject (see subch. VII of ch. ATCP 1). DATCP will seek voluntary compliance. However, food and dairy businesses must pay required license fees in order to obtain a license from DATCP.
Federal Regulation
There are no existing or proposed federal regulations related to license fees for food and dairy businesses operating in Wisconsin. However, national regulations such as the Interstate Pasteurized Milk Ordinance (“PMO") have a significant impact on state program costs. The PMO includes rigid inspection frequency requirements for grade A dairy farms and other grade A dairy operations. Wisconsin must comply with the PMO in order to ship milk and fluid milk products in interstate commerce.
Surrounding State Programs
All of the surrounding states charge license fees to food and dairy businesses. License structure and fees vary between states. Differences in license fees are partly related to differences in general tax dollar support for food and dairy programs in different states.
Minnesota
Minnesota has a license and fee structure that is similar to, but not identical to, Wisconsin's structure:
Dairy Fees – Minnesota
Grade A pasteurizing plant
$500
Grade A farm
$50
Grade A farm reinspection fee
$45
Manufacturing plant
$140 per pasteurizer unit
Manufactured farm
$25
Manufactured farm reinspection fee
$45
Processor assessment
$.07 per cwt for fluid milk products sold for retail sale in Minnesota
Farm bulk milk pick-up tanker
$25
Milk procurement fee
$.0071 per cwt of raw milk purchased
Food Fees – Minnesota
Retail food handler
$50-$2,001 based on sales volume
Wholesale food handler
$57-$1,502 based on sales volume
Food broker
$150
Wholesale food processor or manufacturer
$169-$2,571 based on sales volume
Michigan
Michigan has a license and fee structure that is similar to, but not identical to, Wisconsin's structure:
Dairy fees – Michigan
Milk plant
$175
Farms sending milk to plant
$5-$10
Receiving or transfer station
$50
Milk tank truck cleaning facility
$50
Milk transportation company
$20
Milk tank truck
$10
Grade A milk distributor
$50
Single service container and closure plant
$50
Bulk milk hauler/sampler
$40 for 2 years
Food Fees – Michigan
Retail food establishment
$70
Limited wholesale food processor
$70
Food warehouse
$70
Extended retail food establishment
$175
Wholesale food processor
$175
Mobile food establishment
$175
Temporary food establishment
$28
Bottled water manufacturer
$25 for each product registered and $25 for each water dispensing machine
Iowa
Iowa has a license and fee structure that is similar to, but not identical to, Wisconsin's structure:
Dairy Fees – Iowa
Milk plant
$2,000 for 2 years
Transfer station
$400 for 2 years
Receiving station
$400 for 2 years
Milk hauler
$20 for 2 years
Milk grader
$20 for 2 years
Bulk milk tanker permit
$50 for 2 years
Reinspection fee
$40
Resealing pasteurizer fee
$100 per reseal
Purchaser of milk fee - Grade A
$.015 per cwt of raw milk purchased
Purchaser of milk fee - Grade B
$.005 per cwt of raw milk purchased
Food Fees – Iowa
Mobile food unit or pushcart
$20
Temporary food establishment
$25
Food establishment
$30-$225 based on sales volume*
Food service establishment
$50-$225 based on sales volume*
Food processing plant
$50-$250 based on sales volume
Egg handler
$15-$250 based on cases sold
*If one establishment must hold both a food establishment and a food service establishment license, each license fee is 75% of the established fee.
Illinois
Illinois has a license and fee structure that is substantially different from the Wisconsin structure:
Dairy Fees – Illinois
Milk plant permit
$100
Receiving or transfer station
$50
Cleaning and sanitizing facility
$50
Milk hauler-sampler
$25
Milk tank truck
$25
Certified pasteurizer sealer
$100
Illinois does not license or charge fees to non-dairy food establishments, except that Illinois charges the following fees to the following establishments:
Food Fees
Salvage Operator
$100 plus inspection fee based on size
Bottled water manufacturer or distributor
$150
Egg handlers, distributors and breakers
$15-$200 plus inspection fee per case of eggs sold
Notice of Hearings
Natural Resources
(Fish, Game, etc., Chs. NR 1—)
NOTICE IS HEREBY GIVEN THAT pursuant to ss. 29.014 and 227.11, Stats., interpreting s. 29.014, Stats., the Department of Natural Resources will hold a public hearing on revisions to chs. NR 10, 12 and 16, Wis. Adm. Code, relating to hunting, nuisance wild animal removal and captive wildlife. Annually the department updates administrative code language to correct inconsistencies, update outdated language and provide clarification where appropriate. This year, the department is proposing the following changes related to hunting, nuisance wild animal removal and captive wild animals:
Clarify that a disabled person is a person who holds a Class A, B or C disabled permit.
Establish that the rabbit hunting season closes on the last day in February rather than February 28
Correct a cross reference in the firearm deer hunting season
Update the fisher zone map which is based on the recently updated Deer Management Zone Map
Relax bear carcass registration so that bear may be registered at stations that are adjacent to highways that form the boundary of the bear management zone in which it was killed
Correct drafting errors in the rule that establishes small game hunting in state parks
Clarify that landowners who are removing certain nuisance wild animals are not subject to hunting or trapping seasons
Update cross references and terminology so that Department of Agriculture, Trade and Consumer Protection's animal diseases and movement rules and DNR's captive wildlife rules are consistent.
NOTICE IS HEREBY FURTHER GIVEN that pursuant to s. 227.114, Stats., it is not anticipated that the proposed rule will have an economic impact on small businesses. The Department's Small Business Regulatory Coordinator may be contacted at SmallBusiness@dnr.state.wi.us or by calling (608) 266-1959.
NOTICE IS HEREBY FURTHER GIVEN that the Department has made a preliminary determination that this action does not involve significant adverse environmental effects and does not need an environmental analysis under ch. NR 150, Wis. Adm. Code. However, based on the comments received, the Department may prepare an environmental analysis before proceeding with the proposal. This environmental review document would summarize the Department's consideration of the impacts of the proposal and reasonable alternatives.
NOTICE IS HEREBY FURTHER GIVEN that the hearing will be held on:
Tuesday, May 15, 2007 at 1:00 p.m.
Room 608, GEF #2 Office Building
101 S. Webster Street, Madison, WI
NOTICE IS HEREBY FURTHER GIVEN that pursuant to the Americans with Disabilities Act, reasonable accommodations, including the provision of informational material in an alternative format, will be provided for qualified individuals with disabilities upon request. Please call Scott Loomans at (608) 267-2452 with specific information on your request at least 10 days before the date of the scheduled hearing.
Fiscal Estimate
There is no fiscal impact.
The proposed rule and fiscal estimate may be reviewed and comments electronically submitted at the following Internet site: http://adminrules.wisconsin.gov. Written comments on the proposed rule may be submitted via U.S. mail to Mr. Scott Loomans, Bureau of Wildlife Management, P.O. Box 7921, Madison, WI 53707. Comments may be submitted until May 17, 2007. Written comments whether submitted electronically or by U.S. mail will have the same weight and effect as oral statements presented at the public hearings. A personal copy of the proposed rule and fiscal estimate may be obtained from Mr. Loomans.
Notice of Hearings
Natural Resources
(Fish, Game, etc., Chs. NR 1—)
NOTICE IS HEREBY GIVEN THAT pursuant to ss. 23.09 (2) (intro.), 23.091, 23.11 (1), 23.22 (2) (a) and (b) 6., 27.01 (2) (j), 29.041, 227.11 (2) (a) and 227.24 (1) (a), Stats., interpreting ss. 23.09 (2) (intro.), 23.22 (2) (a), 29.014 (1), 29.041 and 227.11 (2) (a), Stats., the Department of Natural Resources will hold public hearings on Natural Resources Board Emergency Order No. FH-22-07(E) which revises chs. NR 19 and 20, Wis. Adm. Code, pertaining to control of fish diseases and invasive species. This emergency order took effect on April 7, 2007. Viral hemorrhagic septicemia (VHS) virus is present in the Great Lakes, but not yet in inland waters of Wisconsin. This rule will aid the Department in controlling the spread of VHS virus in the following ways:
1. It prohibits the possession on the water and use of live fish, fish eggs, crayfish or frogs from outside Wisconsin, except minnows imported in compliance with U.S. Department of Agriculture, Animal and Plant Health Inspection Service (USDA APHIS) and Wisconsin Department of Agriculture, Trade and Consumer Protection (DATCP) import and health requirements.
2. It prohibits the possession on the water and use of dead bait, except used on Lake Michigan or on the water the bait originated from, or when preserved in a way that would kill VHS virus.
3. It prohibits the transportation of live fish or fish eggs from waters of the Great Lakes or the Mississippi River drainage, except 1) fish being exported in compliance with USDA APHIS regulations and orders; b) fish or fish eggs tested and found to be free of VHS virus; and c) fish or fish eggs transported with the prior written approval of the Department.
4. It requires all boaters to drain water from bilges, ballast, buckets and live wells immediately after leaving waters of the Great Lakes or of the Mississippi River drainage, unless exempted in writing by the Department.
5. It allows the Department to deny permits for the use of non-standard minnow gear to prevent the spread of invasive species or diseases.
NOTICE IS HEREBY FURTHER GIVEN that the hearings will be held on:
Thursday, May 3, 2007 at 5:00 p.m.
Lower Level Auditorium, La Crosse Public Library
800 Main Street
La Crosse
Thursday, May 10, 2007 at 5:00 p.m.
Council Chambers, Ashland City Hall
601 Main Street West
Ashland
Thursday, May 17, 2007 at 5:00 p.m.
Rooms 140 and 141, DNR Southeast Region Hdqrs.
2300 N. Dr. Martin Luther King Jr. Dr.
Milwaukee
NOTICE IS HEREBY FURTHER GIVEN that pursuant to the Americans with Disabilities Act, reasonable accommodations, including the provision of informational material in an alternative format, will be provided for qualified individuals with disabilities upon request. Please call Bill Horns at (608) 266-8782 with specific information on your request at least 10 days before the date of the scheduled hearing.
The emergency rule and fiscal estimate may be reviewed and comments electronically submitted at the following Internet site: http://adminrules.wisconsin.gov. Written comments on the proposed rule may be submitted via U.S. mail to Mr. Bill Horns, Bureau of Fisheries Management and Habitat Protection, P.O. Box 7921, Madison, WI 53707. Comments may be submitted until May 28, 2007. Written comments whether submitted electronically or by U.S. mail will have the same weight and effect as oral statements presented at the public hearings. A personal copy of the emergency rule and fiscal estimate may be obtained from Mr. Horns.
Notice of Hearing
Natural Resources
(Environmental Protection-General, Chs. NR 100—)
NOTICE IS HEREBY GIVEN that pursuant to ch. 160 and ss. 281.12 (1), 281.15 and 281.19 (1), Stats., interpreting ch. 160 and ss. 281.12 (1), 281.15, 281.19 (1) and 299.11, Stats., the Department of Natural Resources will hold a public hearing on the amendment of s. NR 140.10 Table 1, Wis. Adm. Code, relating groundwater quality standards for Alachlor-ESA. Alachlor-ESA (Alachlor ethane sulfonic acid) is a degradation product of the herbicide Alachlor that has been found extensively in Wisconsin groundwater. In accordance with ch. 160, Stats., the Department is required to propose rules establishing the recommendations from the Department of Health and Family Services as groundwater quality standards in ch. NR 140. The Department of Health and Family Services has recommended an enforcement standard of 20 mg/L for Alachlor-ESA. A concentration of 20 mg/L has been used as in interim health advisory level for Alachlor-ESA in Wisconsin since 1993.
NOTICE IS HEREBY FURTHER GIVEN that pursuant to s. 227.114, Stats., it is not anticipated that the proposed rule will have an economic impact on small businesses. The Department's Small Business Regulatory Coordinator may be contacted at SmallBusiness@dnr.state.wi.us or by calling (608) 266-1959.
NOTICE IS HEREBY FURTHER GIVEN that the Department has made a preliminary determination that this action does not involve significant adverse environmental effects and does not need an environmental analysis under ch. NR 150, Wis. Adm. Code. However, based on the comments received, the Department may prepare an environmental analysis before proceeding with the proposal. This environmental review document would summarize the Department's consideration of the impacts of the proposal and reasonable alternatives.
NOTICE IS HEREBY FURTHER GIVEN that the hearing will be held on:
Friday, May 11, 2007 at 11:00 a.m.
Room 511, GEF #2 Office Building
101 S. Webster Street
Madison, WI
NOTICE IS HEREBY FURTHER GIVEN that pursuant to the Americans with Disabilities Act, reasonable accommodations, including the provision of informational material in an alternative format, will be provided for qualified individuals with disabilities upon request. Please call William Phelps at (608) 267-7619 with specific information on your request at least 10 days before the date of the scheduled hearing.
Fiscal Impact
Although additional monitoring costs may be imposed upon the state or local government entities that are within the regulated community, the extent of such monitoring and any costs associated with it--while too speculative to quantify at this time--are not expected to be significant. Thus, the Department believes it is unlikely that there will be additional costs to state and local governments resulting from adopting these groundwater standards.
The proposed rule and fiscal estimate may be reviewed and comments electronically submitted at the following Internet site: http://adminrules.wisconsin.gov. Written comments on the proposed rule may be submitted via U.S. mail to Mr. William Phelps, Bureau of Drinking Water and Groundwater, P.O. Box 7921, Madison, WI 53707. Comments may be submitted until May 18, 2007. Written comments whether submitted electronically or by U.S. mail will have the same weight and effect as oral statements presented at the public hearings. A personal copy of the proposed rule and fiscal estimate may be obtained from Mr. Phelps.
Notice of Hearings
Natural Resources
(Environmental Protection - Air Pollution Control - Chs. NR 400—)
NOTICE IS HEREBY GIVEN that pursuant to ss. 227.11 (2) (a), 227.14 (1m) and 285.11 (1) and (6), Stats., interpreting ss. 285.11 (6), Stats., the Department of Natural Resources will hold public hearings on revisions to chs. NR 440 and 446, Wis. Adm. Code, relating to the establishment of provisions for major electric generating units in Wisconsin to comply with the Clean Air Mercury Rule promulgated by the U.S. Environmental Protection Agency (EPA). The State Implementation Plan developed under s. 285.11 (6), Stats., is also being revised.
Proposed revisions to ch. NR 440 adopt the federal New Source Performance Standards (NSPS) for mercury emission controls at coal-fired electric utility steam generating units that are constructed or reconstructed after January 30, 2004. Proposed revisions to ch. NR 446 repeal certain existing provisions and create new provisions to require each utility with coal-fired electrical generating units affected by the federal Clean Air Mercury Rule to meet an annual mercury emission cap. There are currently 48 such units in Wisconsin, operated by eight utilities.
The Clean Air Mercury Rule is a federal regulation promulgated by the EPA to reduce mercury emissions from new and existing coal-fired electrical generating units through a declining cap on mercury emissions in two phases. An initial reduction phase begins in 2010 and a second phase starts in 2018. The mercury caps were established by EPA and are expressed as annual state emission budgets that will not increase even if there are new coal-fired electrical generating units put into operation in the state. Wisconsin's budget during the first phase (2010 to 2017) is 1,780 pounds of mercury per year that declines to 702 pounds of mercury per year in the second phase (2018 and thereafter). The rule revisions being proposed do not include provisions allowing participation in EPA's national mercury emission trading program developed as an option for states to meet their emission budgets.
In these revisions, mercury emission caps are established for each electric utility in Wisconsin that owns or operates a coal-fired electrical generating unit affected by the federal rule. Beginning January 1, 2010, and every year thereafter, owners and operators of affected units must hold enough mercury emission allowances to equal or exceed calendar mercury emissions from their affected units. Owners and operators will be required to maintain annual records of the mercury emissions and held mercury allowances. A compliance report for the previous year is required to be submitted to the Department annually by March 1st.
Mercury emission caps are established for each electric utility system by summing unit specific mercury allowance allocations from a main allocation pool (for existing affected units) and a new unit set-aside (for new affected units). For the purpose of allowance allocation, a unit is considered new if it commenced operation after January 1, 2001. From 2010 to 2017, 95% of the state phase 1 emission budget of 1,780 pounds would be allocated to existing units in ounces of mercury (27,056 ounces). After 2018, 95% of the 702 pound per hour state phase 2 emission budgets would be allocated to affected units (10,670 ounces). The portion of the state emission budget remaining would be placed in a new unit set-aside accessible by owners and operators by request. For 2010 through 2017 the new unit set-aside is 1,424 ounces (89 pounds) and beginning in 2018 and thereafter 562 ounces (35 pounds). The new unit set-aside is 5% of the total state emission budget.
Within 60 days of the effective date of this rule the Department will notify owners and operators of the annual mercury allowance allocation from the main allocation pool for each of their affected units for 2010, 2011 and 2012. Beginning in 2009 and thereafter written notifications by October 31st would be provided of the Department's determination of mercury allowance allocations from the main allocation pool for the year four years in the future. The new unit set-aside allocations are available upon request. Annually, written notifications of new unit set-aside allocations will be provided by June 30th for those requests received by May 1st. Any mercury allowances remaining in the new unit set-aside that are not allocated in a given year would be retired. Within 45 days of providing written notifications for allocations from the main allocation poll or new unit set-aside the Department would issue administrative orders to owners and operators receiving allocations.
These proposed revisions also include a provision that requires the Department to adopt rules by June 30, 2010, that would require all coal-fired electrical steam generating units affected by the CAMR to reduce their mercury emissions by 90% by January 1, 2020.
The above proposed provisions are hereinafter referred to as “Option 1." Option 1 is the Department's primary proposal and is the only alternative that has been fully developed with specific rule language.
NOTICE IS HEREBY FURTHER GIVEN that the Department is also seeking comment on three alternative approaches (hereinafter referred to as “Option 2," “Option 3," and “Option 4") for reducing mercury emissions from coal-fired electrical steam generating units. Additional information on these options is available at http://adminrules.wisconsin.gov. (Search this Web site using the Natural Resources Board Order Number AM-32-05.) The first alternative approach (“Option 2") would require all coal burning electrical generating units to achieve a 90 to 95% reduction in mercury emissions by January 1, 2012. This alternative was proposed to the Department in a Citizen Petition received on January 22, 2007, and requires more mercury emission reductions from coal-fired electrical steam generating units to be achieved sooner than proposed in AM-32-05. Another alternative approach (“Option 3") would allow the mercury emission reductions outlined in AM-32-05 to be achieved through EPA's national mercury emission trading program. Under this compliance approach, Wisconsin electric utilities could obtain or sell mercury allowances nationwide. A final alternative approach (Option 4") would allow participation in EPA's national mercury emission trading as in Option 3, however participation would sunset January 1, 2015.
NOTICE IS HEREBY FURTHER GIVEN that pursuant to s. 227.114, Stats., it is not anticipated that the proposed rule will have a direct economic impact on small businesses. The Clean Air Mercury Rule imposes no reporting, compliance or performance standards on small businesses. The Clean Air Mercury Rule may increase the cost of electricity and therefore may have an indirect impact on small businesses through higher electricity costs. The Department's Small Business Regulatory Coordinator may be contacted at Small.Business@wi.gov or by calling (608) 266-1959.
NOTICE IS HEREBY FURTHER GIVEN that the Department has made a preliminary determination that this action does not involve significant adverse environmental effects and does not need an environmental analysis under ch. NR 150, Wis. Adm. Code. However, based on the comments received, the Department may prepare an environmental analysis before proceeding with the proposal. This environmental review document would summarize the Department's consideration of the impacts of the proposal and reasonable alternatives.
NOTICE IS HEREBY FURTHER GIVEN that the public hearings will be held on:
Tuesday, May 15, 2007 at 1:30 p.m.
Green Bay State Office Building, Room 152-A
200 N. Jefferson St.
Green Bay, WI
Thursday, May 17, 2007 at 1:30 p.m.
Portage County Annex Building, Conference Room 2
1462 Strongs Avenue
Stevens Point, WI
Tuesday, May 22, 2007 at 1:30 p.m.
DNR Office Building, Front Conference Room
1300 W. Clairemont Ave.
Eau Claire, WI
Wednesday, May 23, 2007 at 1:30 p.m.
Room 041 (DPI's room in GEF III), 125 S. Webster St.
Madison, WI
Thursday, May 24, 2007 at 1:30 p.m.
DNR SER HQ, Room 141
2300 N. Martin Luther King Jr. Dr.
Milwaukee, WI
NOTICE IS HEREBY FURTHER GIVEN that pursuant to the Americans with Disabilities Act, reasonable accommodations, including the provision of informational material in an alternative format, will be provided for qualified individuals with disabilities upon request. Please contact Robert Eckdale at (608) 266-2856 or by e-mail at Robert.Eckdale@Wisconsin.gov with specific information on your request at least 10 days before the date of the scheduled hearing.The proposed rule and supporting documents, including the fiscal estimate, may be viewed and downloaded and comments electronically submitted at the following Internet site: http://adminrules.wisconsin.gov. (Search this Web site using the Natural Resources Board Order Number AM-32-05.) If you do not have Internet access, a personal copy of proposed rule and supporting documents, including the fiscal estimate may be obtained from Robert Eckdale by calling (608) 266-2856 or by writing him at Bureau of Air Management, P.O. Box 7921, Madison, WI 53707.
Written comments on the proposed rule may also be submitted to Robert Eckdale, Bureau of Air Management, P.O. Box 7921, Madison, WI 53707 or by e-mail to Robert.Eckdale@Wisconsin.gov no later than June 11, 2007. Written comments will have the same weight and effect as oral statements presented at the public hearings.
Notice of Hearing
Regulation and Licensing
NOTICE IS HEREBY GIVEN that pursuant to authority vested in the Department of Regulation and Licensing in s. 227.11 (2), Stats., and subchapter VII of ch. 440, Stats., as created by 2005 Wisconsin Act 25, renumbered by 2005 Wisconsin Act 254, and amended by 2005 Wisconsin Act 407, and interpreting s. 440.88, Stats., the Department of Regulation and Licensing will hold a public hearing at the time and place indicated below to consider an order to create chs. RL 164, 161, 162, 163, 166, 167 and 168, relating to substance abuse professionals.
Hearing Date, Time and Location
Date:   May 22, 2007
Time:   9:15 A.M.
Location:   1400 East Washington Avenue
  (Enter at 55 North Dickinson Street)
  Room 121A
  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 Regulation and Licensing, Office of Legal Counsel, P.O. Box 8935, Madison, Wisconsin 53708. Written comments must be received by June 1, 2007, to be included in the record of rule-making proceedings.
Analysis prepared by the Department of Regulation and Licensing
Statutes interpreted: Section 440.88, Stats.
Statutory authority: Section 227.11 (2), Stats., and Subchapter VII of ch. 440, Stats., as created by 2005 Wisconsin Act 25, renumbered by 2005 Wisconsin Act 254, and amended by 2005 Wisconsin Act 407.
Explanation of agency authority: Subchapter VII of ch 440, Stats., was enacted on July 25, 2005. It was amended by Act 407 which was enacted on May 10, 2006. Under subch. VII of ch. 440, Stats., the Department of Regulation and Licensing is required to promulgate rules relating to the issuance and renewal of credentials, requirements for certification, supervised practice, scope of practice, education approval, grounds for discipline and professional liability insurance.
Related statute or rule: Wisconsin Administrative Code s. MPSW 1.09 which relates to certification of social workers, professional counselors and marriage and family therapists to treat substance use disorder patients as a specialty.
Wisconsin Administrative Code ch. HFS 75 which relates to the certification of substance use disorder treatment clinics and programs.
Plain language analysis: 2005 Wisconsin Act 25 created Subchapter VII of chapter 440, Stats., Substance Abuse Counselors, Clinical Supervisors, and Prevention Specialists. This Act transferred the certification and regulation of Alcohol and Other Drug Abuse (AODA) counselors from the Department of Health and Family Services to the Department of Regulation and Licensing, effective 2006. This proposed rule-making order creates rules relating to definitions, requirements for certification, supervised practice, scope of practice, education approval, and professional liability insurance for substance abuse professionals.
Chapter RL 160 is being created to include definitions of terms that are used in subch. VII of ch. 440, Stats., and in chs. RL 160 to 167. The proposed rules include definitions for “accredited," “assessment," “behavioral science field," “CEH," “clinical substance abuse counselor," “clinical supervision," “clinical supervisor,." “clinical supervisor-in-training," “comprehensive program," “core functions," “credential," “department," “DSM," “hour," “independent clinical supervisor," “intermediate clinical supervisor," “patient," “practice dimensions," “prevention," “prevention domains," “prevention specialist," “prevention specialist-in-training," “substance," “substance abuse counselor," “substance abuse counselor-in-training," “substance use disorder" and “transdisciplinary foundations."
Chapter RL 161 is being created to identify the requirements and procedures for submitting applications for licenses.
Chapter RL 162 is being created to identify the restrictions and minimum requirements for supervision of counselors by clinical supervisors.
Chapter 163 is being created to identify the scope and restrictions on the practice of the credential holders.
Chapter RL 166 is being created to identify the approval process and educational requirements for educational coursework and continuing education opportunities.
Chapter RL 167 is being created to require credential holders to have liability insurance in effect.
Chapter RL 168 is being created to identify the requirements for continuing education.
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 this rule.
Comparison with rules in adjacent states:
Illinois: § 20 ILCS 301/15-5. Applicability. (a) It is unlawful for any person to provide treatment for alcoholism and other drug abuse or dependency or to provide services as specified in subsections (c), (d), (e), and (f) of Section 15-10 of this Act [20 ILCS 301/15-10] unless the person is licensed to do so by the Department. The performance of these activities by any person in violation of this Act is declared to be inimical to the public health and welfare, and to be a public nuisance. The Department may undertake such inspections and investigations as it deems appropriate to determine whether licensable activities are being conducted without the requisite license.
(b) Nothing in this Act shall be construed to require any hospital, as defined by the Hospital Licensing Act [210 ILCS 85/1 et seq.], required to have a license from the Department of Public Health pursuant to the Hospital Licensing Act [210 ILCS 85/1 et seq.] to obtain any license under this Act for any alcoholism and other drug dependency treatment services operated on the licensed premises of the hospital, and operated by the hospital or its designated agent, provided that such services are covered within the scope of the Hospital Licensing Act [210 ILCS 85/1 et seq.]. No person or facility required to be licensed under this Act shall be required to obtain a license pursuant to the Hospital Licensing Act [210 ILCS 85/1 et seq.] or the Child Care Act of 1969 [225 ILCS 10/1 et seq.].
(c) Nothing in this Act shall be construed to require an individual employee of a licensed program to be licensed under this Act.
(d) Nothing in this Act shall be construed to require any private professional practice, whether by an individual practitioner, by a partnership, or by a duly incorporated professional service corporation, that provides outpatient treatment for alcoholism and other drug abuse to be licensed under this Act, provided that the treatment is rendered personally by the professional in his own name and the professional is authorized by individual professional licensure or registration from the Department of Professional Regulation to do such treatment unsupervised. This exemption shall not apply to such private professional practice which specializes primarily or exclusively in the treatment of alcoholism and other drug abuse. This exemption shall also not apply to intervention services, research, or residential treatment services as defined in this Act or by rule. Notwithstanding any other provisions of this subsection to the contrary, persons licensed to practice medicine in all of its branches in Illinois shall not require licensure under this Act unless their private professional practice specializes exclusively in the treatment of alcoholism and other drug abuse.
(e) Nothing in this Act shall be construed to require any employee assistance program operated by an employer or any intervener program operated by a professional association to obtain any license pursuant to this Act to perform services that do not constitute licensable treatment or intervention as defined in this Act
(f) Before any violation of this Act is reported by the Department or any of its agents to any State's Attorney for the institution of a criminal proceeding, the person against whom such proceeding is contemplated shall be given appropriate notice and an opportunity to present his views before the Department or its designated agent, either orally or in writing, in person or by an attorney, with regard to such contemplated proceeding. Nothing in this Act shall be construed as requiring the Department to report minor violations of this Act whenever the Department believes that the public interest would be adequately served by a suitable written notice or warning.
77 Ill. Adm. Code 2060.201 Types of Licenses. Substance abuse treatment and intervention services as specified in Section 2060.101 of this Part shall be licensed by the Department. An organization may apply for an intervention and a treatment license at the same facility and all services authorized by both an intervention and a treatment license shall be authorized by a single license issued to that facility. Consistent with rules herein, services may be provided to adults as well as adolescents. The license certificate for the facility shall specify all levels of care and a designation of adult and/or adolescent services. Individuals who are 16 and 17 may be admitted as adults and individuals who are 18, 19 and 20 may be admitted as adolescents provided that the assessment of such individuals includes justification based on the person's behavior and life experience.
a) Treatment. A treatment license issued by the Department may authorize substance abuse services as established in the ASAM Patient Placement Criteria. The level of care and category (adolescent/adult) shall be specified on the license application or, after licensure, on any application to add an additional level of care and/or category (adolescent/adult).
b) Intervention. An intervention license issued by the Department may authorize the following services:
1) DUI Evaluation. Substance abuse evaluation services for persons who are charged with driving under the influence (DUI) offenses pursuant to the Illinois Vehicle Code [625 ILCS 5/11-501] or similar local ordinances that determine the offender's risk to public safety and make a subsequent corresponding recommendation for intervention to the Illinois courts or the Office of the Secretary of State.
2) DUI Risk Education. Substance abuse risk education services for persons who are charged with driving under the influence (DUI) offenses pursuant to the Illinois Vehicle Code [625 ILCS 5/11-501] or similar local ordinances.
3) Designated Program. A program designated by the Department to provide screening, assessment, referral and tracking services pursuant to Article 40 of the Act.
4) Recovery Homes. Alcohol and drug free housing with rules, peer-led groups, staff activities and/or other structured operations which are directed toward maintenance of sobriety for persons in early recovery from substance abuse or persons who have completed substance abuse treatment services or who may still be receiving such treatment at another licensed facility.
77 Ill. Adm. Code 2060.205 Unlicensed Practice. (a) Whenever the Department determines that an unlicensed organization or person is engaging in activities that require licensure, pursuant to the specifications in Section 2060.101 of this Part, it shall issue an order to that organization or person to cease and desist from engaging in the activity. The order shall specify the particular services that require licensure, and shall include citation of relevant Sections of the Act and this Part.
(b) The Department's order shall be accompanied by a notice that instructs the recipient that written documentation may be submitted to the Department within 10 calendar days to support a claim that licensure is not required, or that the recipient is properly authorized to conduct the services.
(c) After the expiration of the 10 day period, if the Department believes that the organization or unlicensed person is continuing to provide services that require licensure, the matter shall be referred to the appropriate State's Attorney or to the Office of the Attorney General for prosecution.
77 Ill. Adm. Code s. 2060.221 Change of Ownership/Management. a) Each license issued by the Department shall be valid only for the premises and persons named in the application. Licensure is not transferable. A license shall become null and void when:
1) a change in ownership involving more than 25% of the aggregate ownership interest within a one year period or a significant change in management; or
2) a change of 50% or more in the board of directors of a not-for-profit corporation within a one year period.
b) In order to obtain a new license reflective of the change in ownership the licensee shall submit to the Department:
1) written notification at least ten calendar days prior to any of the above referenced changes in ownership; and
2) an application for initial licensure and the license application fee of $200 per license.
c) Failure to notify the Department within ten calendar days relative to the above referenced changes in ownership will result in the imposition of a license fee of $1000 for each affected license.
77 Ill. Adm. Code § 2060.309 Professional Staff Qualifications. (a) All professional staff providing clinical services (except as set forth in subsection (b)(2)), as defined in this Part, shall:
1) hold clinical certification as a Certified Alcohol and Drug Counselor from the Illinois Alcoholism and Other Drug Abuse Professional Certification Association (IAODAPCA), 1305 Wabash Avenue, Suite L, Springfield, Illinois 62704; or
2) be a licensed professional counselor or licensed clinical professional counselor pursuant to the Professional Counselor and Clinical Professional Counselor Licensing Act [225 ILCS 107]; or
3) be a physician licensed to practice medicine in all its branches pursuant to the Medical Practice Act of 1987; or
4) be licensed as a psychologist pursuant to the Clinical Psychology Practice Act [225 ILCS 15]; or
5) be licensed as a social worker or licensed clinical social worker pursuant to the Clinical Social Work and Social Work Practice Act [225 ILCS 20].
b) All professional staff providing only clinical assessments, DUI evaluations or designated program intervention services, as defined in this Part, shall:
1) meet one of the qualifications specified in subsection (a) above; or
2) hold assessor certification as a Certified Assessment and Referral Specialist (CARS) from IAODAPCA.
c) In any medically managed or monitored detoxification service at least one staff, 24 hours a day, shall:
1) be a registered nurse pursuant to Section 3(k) of the Illinois Nursing and Advanced Practice Nursing Act of 1987 [225 ILCS 65/3(k)];
2) be a licensed practical nurse pursuant to Section 3(i) of the Illinois Nursing and Advanced Practice Nursing Act of 1987 [225 ILCS 65/3(i)] who has completed at least 40 clock hours of formal training in the field of alcoholism or other substance abuse; or
3) be a certified emergency medical technician pursuant to Section 4.12 of the Emergency Medical Services (EMS) Systems Act [210 ILCS 50/4.12] who has completed at least 40 clock hours of formal training in the field of alcoholism or other substance abuse.
d) Any other staff who provide direct patient care that is not defined as a clinical service shall be supervised by an individual who meets the requirements for professional staff as defined in subsection (a), (b) or (c)(1) and (2) as applicable to detoxification.
e) any new professional staff, including interns, who will provide clinical services in a treatment or designated program service and who do not meet the requirements of subsection (a) or (b) when hired shall:
1) meet the requirements specified in subsection (a) or (b) within two years after the date of employment; and
2) not work in any supervisory capacity until such requirements are met; and
3) work under the direct, verifiable supervision of an individual who has staff supervisory responsibility at the facility and who meets the requirements for professional staff specified in subsection (a); and
4) sign, and adhere to, a professional code of ethics developed by the organization.
f) The above referenced supervision shall last until the employee meets at least one of the requirements for professional staff designation specified in subsection (a) or (b) or until the two year period has elapsed. Such supervision is verifiable, at a minimum, by:
1) signature of the supervisor and the affected employee on the treatment plan and all reviews of or any change to the patient's treatment plan; and
2) documentation of face-to-face supervision meetings, at least once monthly. This supervision can occur in a group or individual setting and shall be a distinct activity separate from regularly scheduled patient staffings.
g) Any employee providing clinical services under supervision at one or more organizations who does not meet at least one of the requirements specified in subsection (a) or (b) within the relevant two year period shall not provide any direct clinical services at the end of the two years until such requirement is met.
h) All staff providing DUI risk education services shall:
1) meet one of the qualifications specified in subsection (a); or
2) hold Alcohol and Other Drug Abuse (AODA) certification from IAODAPCA.
i) It is the responsibility of each organization to ensure that all professional staff meet the requirements outlined in this Section.
j) The Department will consider granting an exception to the requirements specified in subsection (e) of this Section based upon timing of certification or licensure examinations and part-time employment. In such cases, the exception will be time limited and based upon the minimum extension of time necessary to achieve full compliance. All exceptions shall be granted in accordance with Section 2060.303 of this Part.
77 Ill. Adm. Code § 2060.311 Staff Training Requirements. a) All organizations shall provide an initial employee orientation to all staff within the first seven days after employment that shall include, at a minimum, the following information:
1) An overview of all organization operations, including the specific duties assigned to the employee; emergencies and disaster drills; familiarization with existing staff backup and support; and all required training.
2) An overview of this Part for all staff.
3) Information on bloodborne pathogens and universal precautions (as those terms are defined in the regulations set forth in Section 2060.413 of this Part) and the importance of tuberculosis control and personal hygiene, the responsibilities of all staff with regard to infection control and an overview of the fundamentals of HIV, AIDS and tuberculosis control.
4) Information on HIV and AIDS relative to the etiology and transmission of HIV infection and associated risk behaviors, the symptomatology and clinical progression of HIV infection and AIDS and their relationship to substance abuse behavior, the purposes, uses and meaning of available testing and test results, relapse prevention and sensitivity to the issues of an HIV infected patient.
5) An overview of the principles of patient confidentiality, all related federal and state statutes and all record keeping requirements regarding confidential information.
b) Within the first six months after employment, any and all staff providing a DUI evaluation service shall attend one complete DUI Orientation training session offered or approved by the Department.
c) Within the first 12 months after employment, any and all staff providing a DUI risk education intervention service shall attend the first day of a DUI Orientation training session offered or approved by the Department.
d) In addition to mandatory training specified in subsections (b) and (c) of this Section, each DUI evaluator or Risk Education instructor shall obtain additional hours of substance abuse training annually consistent with the requirements of their professional staff credential.
77 Ill. Adm. Code § 2060.313 Personnel Requirements and Procedures. a) All professional staff:
1) shall be at least 18 years of age; and
2) cannot have been convicted of any felony or had any subsequent incarceration for at least two years prior to the date of employment.
b) Verification of the requirements specified in subsection a) above shall be documented on the Department's Schedule L at the time of employment and this form shall be maintained in the employee's personnel file. Prior to employment a copy of the Schedule L, along with a letter requesting an exception for employment, shall be sent to the Department relative to any person that indicates a felony conviction within the time period specified above.
c) In addition, any staff providing DUI evaluation or risk education services shall not have a suspension or revocation of driving privileges for an alcohol or drug related driving offense for at least two years prior to the date of employment.
d) Any staff providing clinical services to or any other supportive services for a child or adolescent who is receiving treatment at a facility, or is receiving child care at a facility, or is residing at a facility with a parent who is in treatment shall consent to a background check to determine whether they have been indicated as a perpetrator of child abuse or neglect in the Child Abuse and Neglect Tracking System (CANTS), maintained by the Department of Children and Family Services as authorized by the Abused and Neglected Child Reporting Act [325 ILCS 5/11.1(15)]. The organization shall have a procedure that precludes hiring of indicated perpetrators based on the reasons set forth in 89 Ill. Adm Code 385.30(a) and procedures wherein exceptions will be made consistent with 89 Ill. Adm. Code 385.30(e) and procedures for record keeping consistent with 89 Ill. Adm. Code 385.60.
e) The organization shall ensure that treatment services for special populations (gender, youth, criminal justice, HIV, etc.) are delivered by appropriate professional staff as clinical needs indicate.
f) The organization shall have written personnel procedures approved by the management or, if applicable, the board of directors. Such procedures shall apply to all full and part-time employees and shall include the process for:
1) recruiting, selecting, promoting and terminating staff;
2) verifying applicant or employee information:
3) protecting the privacy of personnel records;
4) performance appraisals, and review and update of job descriptions, for all positions in the organization;
5) disciplinary action, including suspension and termination;
6) employee grievances;
7) employment related accident or injury;
8) handing instances of suspected or confirmed patient/client abuse and/or neglect by staff, whether paid or volunteer;
9) handling instances of suspected or confirmed alcohol and other drug abuse by staff; and
10) documentation that the personnel procedures, and any changes in procedures, have been distributed to employees and are available on request.
g) The organization shall provide documentation that all personnel procedures have been reviewed and approved at least annually by the Authorized Organization Representative or, if applicable, the board of directors.
h) A personnel file shall be maintained for each employee that contains:
1) the employee's name, address, telephone number, social security number, emergency contact and telephone number;
2) resume and evidence of qualifications;
3) documentation of the Schedule L and any relevant background checks and/or exception request;
4) unless otherwise kept in a training file, documentation of required training and continuing education received while employed by the organization (as indicated by a certificate of completion or the title, date and location of the training and the signature of the staff member who attended the training);
5) a copy of any professional certification, current license and/or registration, and date of employment and/or termination from the organization;
6) a copy of the signed applicable professional code of ethics as referenced in Part 2060.309(e)(4) of this Part; and
7) documentation of annual review of the organization's policy and procedures manual by all staff during their first year of employment and, annually thereafter, any updated sections that pertain to each staff member.
i) Each personnel file shall be maintained for a period of five years from the date of employee termination.
77 Ill. Adm. Code § 2060.401 Levels of Care. Substance abuse treatment shall be offered in varying degrees of intensity based on the level of care in which the patient is placed and the subsequent treatment plan developed for that patient. The level of care provided shall be in accordance with that specified in the ASAM Patient Placement Criteria and with the following:
a) Level 0.5: Early Intervention. An organized service, delivered in a wide variety of settings, for individuals (adult or adolescent) who, for a known reason, are at risk of developing substance-related problems. Early intervention services are considered sub-clinical or pre-treatment and are designed to explore and address problems or risk factors that appear to be related to substance use and to assist the individual in recognizing the harmful consequences of inappropriate substance use. The length of such service varies according to the individual's ability to comprehend the information provided and to use that information to make behavior changes to avoid problems related to substance use or the appearance of new problems that require treatment at another level of care. Early intervention services are for individuals whose problems and risk factors appear to be related to substance use but do not appear to meet any diagnostic criteria for substance related disorders. Examples of individuals who might receive early intervention are at-risk individuals (i.e., family members of an individual who is in treatment or in need of treatment) or DUI offenders classified at a moderate risk level.
b) Level I: Outpatient. Non-residential substance abuse treatment consisting of face-to-face clinical services for adults or adolescents. The frequency and intensity of such treatment shall depend on patient need but shall be a planned regimen of regularly scheduled sessions that average less than nine hours per week.
c) Level II: Intensive Outpatient/Partial Hospitalization. Non-residential substance abuse treatment consisting of face-to-face clinical services for adults or adolescents. The frequency and intensity of such treatment shall depend on patient need but shall be a planned regimen of scheduled sessions for a minimum of nine hours per week.
d) Level III: Inpatient Subacute/Residential. Residential substance abuse treatment consisting of clinical services for adults or adolescents. The frequency and intensity of such treatment shall depend on patient need but shall, except in residential extended care as defined in this Part, include a planned regimen of clinical services for a minimum of 25 hours per week. Inpatient care, with the exception of residential extended care as defined in this Part, shall require staff that are on duty and awake, 24 hours a day, seven days per week. During any work period, if professional staff as defined in Section 2060.309(a) of this Part are not on duty, such staff shall be available on call for consultation relative to any aspect of patient care. Residential extended care shall require staff on duty 24 hours a day, seven days per week and that low intensity treatment services be offered at least five hours per week. Any staff providing clinical services shall meet the requirements for professional staff as defined in Section 2060.309(a) of this part. Individuals who have been in residence for at least three months without relapse may be used to fulfill any remaining staff requirements.
e) Level IV: Medically Managed Intensive Inpatient. Inpatient subacute residential substance abuse treatment for patients whose acute bio/medical/emotional/behavioral problems are severe enough to require medical and nursing care services. Such services are for adults or adolescents and require 24 hours medically directed evaluation, care and treatment and that a physician see the patient daily.
Michigan: MICH. ADMIN. CODE R 325.14201 Establishment or maintenance and operation of program without license prohibited.
Rule 201. A person shall not establish or maintain and operate a substance abuse program unless licensed by the office in accordance with the act and these rules.
MCLS §. 330.3101
B Department of Public Health
1. All the authority, powers, duties, functions and responsibilities of the Licensing of Substance Abuse Programs and the Certification of Substance Abuse Workers in the Division of Program Standards, Evaluation and Data Services of the Center for Substance Abuse Services, including the authority, powers, duties, functions and responsibilities set forth in the relevant parts of Act No. 368 of the Public Acts of 1978, as amended, being Section 333.6231 to 333.6251 of the Michigan Compiled Laws, are hereby transferred from the Department of Public Health to the Director of the Department of Commerce by a Type U transfer, as defined by Section 3 of Act No. 380 of the Public Acts of 1965, as amended, being Section 16.103 of the Michigan Compiled Laws.
MCLS § 333.6231 Rules.
(1) With the assistance of the department, and after consultation with the commission and the committee, the office shall promulgate rules for the administration of this article and the licensing of substance abuse service programs. The rules shall include reasonable criteria for the protection and well-being of individuals receiving services and the rights of recipients of services and shall define financial information. Rules governing recipient rights shall be promulgated not later than 1 year after the effective date of this section.
(2) The rules shall apply to a public or private firm, association, organization, or group offering or purporting to offer specific substance abuse treatment and rehabilitation services or prevention services, and which receives or requests public funds, patient fees, third party payments, or funds through public subscription for the treatment, rehabilitation, or prevention of substance abuse.
(3) The rules shall not apply to an individual currently licensed by this state to provide medical, psychological, or social services. The licensee may voluntarily apply for a license to provide substance abuse treatment and rehabilitation services or prevention services. To receive state or federal funds for substance abuse treatment and rehabilitation services or prevention services, a person shall obtain a license under this part.
Minnesota: Minn. Stat. § 62J.52 Establishment of uniform billing forms.
(c) Services to be billed using the uniform billing form HCFA 1500 include physician services and supplies, durable medical equipment, noninstitutional ambulance services, independent ancillary services including occupational therapy, physical therapy, speech therapy and audiology, home infusion therapy, podiatry services, optometry services, mental health licensed professional services, substance abuse licensed professional services, nursing practitioner professional services, certified registered nurse anesthetists, chiropractors, physician assistants, laboratories, medical suppliers, and other health care providers such as day activity centers and freestanding ambulatory surgical centers.
Iowa: “Counselor" means an individual who, by virtue of education, training or experience, provides treatment, which includes advice, opinion, or instruction to an individual or in a group setting to allow an opportunity for a person to explore the person's problems related directly or indirectly to substance abuse or dependence.
641 IAC 155.1(125)
“Iowa board of substance abuse certification" means the professional certification board that certifies substance abuse counselors and prevention specialists in the state of Iowa.
641 IAC 155.1(125)
“Sole practitioner" means an individual incorporated under the laws of the state of Iowa, or an individual in private practice who is providing substance abuse treatment services independent from a program that is required to be licensed in accordance with Iowa Code section 125.13(1).
641 IAC 155.1(125)
i. Personnel providing screening, evaluations, assessments or treatment shall be certified through the Iowa board of substance abuse certification, or certified by an international certification and reciprocity consortium member board in the states of Illinois, Minnesota, Nebraska, Missouri, South Dakota, and Wisconsin; or be eligible for certification or have education, training, and experience in the substance abuse field.
641 IAC 155.21(8)(a)(15)(i.)
Summary of factual data and analytical methodologies:
The professions had previously been under the authority of the Department of Health and Family Services (under ch. HFS 75), who contracted the regulation and certification of substance abuse professionals to the Wisconsin Certification Board. The Legislative Audit Bureau performed a limited review of the Wisconsin Certification Board and issued a report on May 11, 2005.
The rules proposed represent a re-codification of existing standards for certification developed by the Wisconsin Certification Board. The legislature, under 2005 Wisconsin Act 25 and later amended by 2005 Wisconsin Act 407, set the statutory requirements for the new levels of licensure and mandated that the Department of Regulation and Licensing draft language for certification and regulation of substance abuse professionals.
To assist in promulgation of the rules, the department has held regular meetings with the Substance Abuse Counselors Advisory Committee for recommendations and development of the draft rules. Subsequently, the department promulgated emergency rules effective December 15, 2006 which includes chs. RL 160 to 163 and chs. RL 166 to 168 (the department had promulgated chs. RL 164 and 165 as permanent rules on January 1, 2007). As the emergency rules were promulgated in December of 2006, the final permanent rules (below) are essentially a redraft of the emergency rules, with changes made for errors in the initial drafting, changes in timelines for effective dates of applicability and minor policy changes where prudent - again at the recommendation of the advisory committee.
Analysis and supporting documents used to determine effect on small business or in preparation of economic impact report: The Department of Regulation and Licensing, based upon the advice of the advisory committee is proposing changes to the existing standards of certification and regulation of substance abuse professionals. The department, to minimize impact on the profession, and preserve the experiential pathway into the profession, has attempted to minimize drastic changes, and make changes only where the advice of the committee and the protection of the public are preserved.
These proposed rules will affect the existing 4,631 credential holders regulated by the department (Database count of in state active and inactive substance abuse credential holders, as of February 2007). These credential holders may operate at state departmental locations (e.g. Department of Corrections) as well as state certified AODA treatment clinics under ch. HFS 75 (DHFS). An unknown number of certificate holders are likely to be operating in public, not-for-profit private treatment centers and for-profit treatment centers.
There were significant “grandparenting" provisions within the statutes that will ensure that existing (active and renewal) certificate holders will not lose their certification upon transfer if they do not meet the requirements for the new certificate (e.g. higher educational requirements). The grandparenting provisions do not apply for new applicants after December 15, 2006. Those who applied (new applicants) after December 15, 2006 were under the jurisdiction of the department, and as such were to meet the requirements specified in our rules. Additionally, the department has instituted substantial grace periods for 12 month grace periods for supervision of substance abuse counselors which would allow clinics one year's time for the supervisors to attain appropriate credentials required for supervision in their clinics.
The department is proposing changes as follows:
Educational Standards:
The proposed rules require a minimum of an associate's degree in a behavior science to qualify for the clinical level counselor, and by requirement, qualification for supervisory certification. This is an increase in educational requirements; however, an underlying degree is often a standard for professional requirements. This may prevent existing non-clinical substance abuse counselors from accessing higher levels of credentials until they achieve the underlying degree; however, the advisory committee has recommended that for protection of the public, a minimum of an associate's degree in a related behavioral science should be instituted.
The proposed rules reduce the required level of continuing education from 48 hours in the biennium to 40 for both substance abuse counselors and clinical substance abuse counselors. This is a reduction for applicable credential holders.
* The proposed rules eliminate the existing system of pre-certification education and training from multiple and separate sources, including Wisconsin Certification Board accredited programs, endorsed trainings, seminars and home study (etc.), and require that the core training for the effective treatment of substance use disorder treatment be obtained from comprehensive and cohesive programs.
Note* The changes to the educational structure may be the primary area effecting the practice of small business. As per above, companies that self reportedly operate as a small business do sell home study programs and trainings to the Wisconsin substance abuse professional education market. One such business, Laban's Trainings of Pennsylvania (http://www.last-homestudy.com 3 employees, unknown earnings), sells home study programs to the AODA counselor community nationwide. They were an endorsed trainer of the WCB, prior to the transference of AODA regulation from the WCB to the DRL, and home study programs such as theirs could be counted for over 200 hours of the 360 hours of training required. The remainder was required to come from association sponsored workshops, seminars and school-based coursework. Under the new rules, program providers like Laban's still have access to the certificate holders through the offering of continuing education programs required for recertification. For substance abuse counselors, that means 40 hours of continuing education is required in the biennium (a reduction from 48 hours to 40). In addition, Laban's and other home study providers may still access the market held by "comprehensive program providers" because the rules are written to restrict individuals from assembling their own education from untracked or uncoordinated sources, however, the rules allow those program providers to assemble the comprehensive program of 360 hours that they provide to their students. This may include a local provider which could source a 3rd party such as Laban's to supplement the coursework requirement.
Practice Restrictions. The proposed rules contain scope of practice and restrictions which include:
Restrictions on the practice of substance abuse counselors-in-training: This credential does not assure competency; therefore, a clinical supervisor will be required to authorize the in-training counselor to provide functions when adequately trained.
The supervision of in-training counselors may not be done by clinical supervisors-in-training.
Clinical supervisors will be legally and ethically responsible for the practice of their supervisees, shall have the authority and responsibility to provide emergency consultation, interrupt/stop unsafe practice and to terminate the supervised relationship if necessary.
New definitions of who may provide supervision or qualify as a clinical supervisor: Supervision may only be provided by those with exemptions under the statutes (psychologists, psychiatrists, clinical substance abuse supervisors, or ch. 457, Stats., credential holders who have obtained a clinical supervision certification via their specialty AODA certification under s. MPSW 1.09).
These changes may affect small business; however, where standards were increased, the department is proposing grace periods for these requirements. Additionally, these changes were seen as necessary to achieve the minimal competency required for safe practice and protection of the public.
Section 227.137, Stats., requires an “agency" to prepare an economic impact report before submitting the proposed rule-making order to the Wisconsin Legislative Council. The Department of Regulation and Licensing is not included as an “agency" in this section.
Anticipated costs incurred by private sector:
The department finds that this rule has no significant fiscal effect on the private sector.
Fiscal Estimate
The Department estimates that this rule will require staff time in the Divisions of Management Services, Professional Credentialing, Office of Legal Counsel and Office of Examinations. The one-time salary and fringe costs in the Division of Professional Credentialing, Office of Legal Counsel and Office of Examinations are estimates at $22,900. The on-going salary, fringe, supplies and services costs in the Division of Professional Credentialing, Division of Board Services and the Office of Examinations are estimated at $77,300.
Effect on Small Business
These proposed rules will have no significant economic impact on small businesses, as defined in s. 227.114 (1), Stats. The Department's Regulatory Review Coordinator may be contacted by email at larry.martin@drl.state.wi.us, or by calling (608) 266-8608.
Agency Contact Person
Pamela Haack, Paralegal, Department of Regulation and Licensing, Office of Legal Counsel, 1400 East Washington Avenue, Room 152, P.O. Box 8935, Madison, Wisconsin 53708-8935. Telephone: (608) 266-0495. Email: pamela.haack@drl.state.wi.us.
Place where comments are to be submitted and deadline for submission
Comments may be submitted to Pamela Haack, Paralegal, Department of Regulation and Licensing, 1400 East Washington Avenue, Room 152, P.O. Box 8935, Madison, Wisconsin 53708-8935, or by email at pamela.haack@drl.state.wi.us. Comments must be received on or before June 1, 2007 to be included in the record of rule-making proceedings.
Notice of Hearing
Workforce Development
(Unemployment Insurance, Chs. DWD 100-150)
NOTICE IS HEREBY GIVEN that pursuant to ss.108.04 (13), 108.09 (1), 108.14 (2), and 227.11 (2) (a), Stats., the Department of Workforce Development proposes to hold a public hearing to consider rules relating to unemployment insurance benefit reports filed by employers and affecting small businesses.
Hearing Information
Wednesday, May 30, 2007 at 1:30 p.m.
G.E.F. 1 Building, H306
201 E. Washington Avenue
Madison, WI
Interested persons are invited to appear at the hearing and will be afforded the opportunity to make an oral presentation of their positions. Persons making oral presentations are requested to submit their facts, views, and suggested rewording in writing.
Visitors to the GEF 1 building are requested to enter through the left East Washington Avenue door and register with the customer service desk. The entrance is accessible via a ramp from the corner of Webster Street and East Washington Avenue. If you have special needs or circumstances regarding communication or accessibility at the hearing, please call (608) 267-9403 at least 10 days prior to the hearing date. Accommodations such as ASL interpreters, English translators, or materials in audiotape format will be made available on request to the fullest extent possible.
Analysis Prepared by the Department of Workforce Development
Statutory authority: Note: Complaint forms are available from the Department of Regulation and Licensing, Division of Enforcement, 1400 East Washington Avenue, P.O. Box 8935, Madison, Wisconsin 53708, or from the department's website at: http://drl.wi.gov
Statutes interpreted: Sections 108.04 (13), 108.09 (1), and 108.14 (2), Stats.
Related statute or rule: NA
Explanation of agency authority. Section 108.09 (1), Stats., provides that each employer that is notified of a benefit claim shall promptly inform the department in writing as to any eligibility question in objection to the claim together with the reasons for the objection.
Section 108.04 (13) (c), Stats., provides that if an employer, after notice of a benefit claim, fails to file an objection to the claim under s. 108.09 (1), any benefits allowable under any resulting benefit computation shall, unless the department applies a provision of this chapter to disqualify the claimant, be promptly paid.
Section 108.04 (13) (f), Stats., provides that if benefits are erroneously paid because the employer fails to file a report required by this chapter, fails to provide correct and complete information on the report, fails to object to the benefit claim under s. 108.09 (1), Stats., or aids and abets the claimant in an act of concealment, the employer is at fault.
Section 108.14 (2), Stats., provides that the department may require from any employing unit which employs one or more individuals to perform work in this state any reports on employment, wages, hours and related matters which it deems necessary to carry out Chapter 108, Stats. The department may also adopt and enforce all rules which it finds necessary or suitable to carry out the chapter.
Summary of the proposed rule. Chapter DWD 123 requires certain reports to be filed by an employer to assist the department in determining a claimant's benefit claim. The current rule contains information that is obsolete and confusing. The proposed rule will update and clarify Chapter DWD 123 to include descriptions and filing procedures for the following benefit reports used by the department:
Separation Notice. The department sends a separation notice to an employer when a new benefit claim is initiated and the employer is identified as having employed the claimant in the base or lag period of the claim, or when a benefit claim is resumed and the employer is identified as having employed the claimant after the last claimed week. The employer must complete and return the separation notice to the department if any information on the notice is incorrect; there is vacation, dismissal, or holiday pay assigned to any period beyond the claimant's last day of work; there is an eligibility issue that applies to the claimant that is not identified on the separation notice; or the claimant did not work for the employer.
Wage Verification/Eligibility Report. The department sends the wage verification/eligibility report to an employer while a benefit claim is in progress to verify partial wages earned from the employer as reported by the claimant on weekly claim certifications and to verify the claimant's continuing eligibility for benefits. The employer must complete and return the wage verification/eligibility report to the department if information on the form report is missing or incorrect; an eligibility issue applies to the claim; or the claimant did not work for the employer.
Urgent Request For Wages. The department sends the urgent request for wages to an employer when the claimant reports having been paid wages by the employer during the base period or an alternate base period, and the department has no record of such wages. The employer must complete and return the urgent request for wages to the department.
The filing requirements for the benefit reports in the proposed rule provide that a report is considered to be filed when it is completed and returned to the department within the time limit and with the department location specified on the report. Returning an incomplete report, even if it is received within the time limit, constitutes a failure to file the required report. Failure to file the required report is considered an admission by the employer that no eligibility question exists regarding that claimant. Eligibility issues raised after the due date of a required report will be resolved pursuant to ss. 108.09 (2) (b) and 108.04 (13), Stats.
The proposed rule will repeal information on the following obsolete reports:
Work Record Report (form UC-203). This form was used to collect wage data on a claim-by-claim basis before the implementation of quarterly wage reporting.
Final Work Record Report. This form was used when an employer ceased to have employees, had gone out of business, or terminated coverage under the unemployment insurance program without providing the department with satisfactory assurance that the employer would promptly file a Work Record Report (UC-203) if the department requested it.
The proposed rule will also repeal a provision on the Urgent Request for Wages in Chapter 111, regarding quarterly wage reports, and create a new provision in Chapter DWD 123, regarding benefit reports. The requirement that a employer pay a $15 fee for tardy filing of the Urgent Request for Wages will be repealed. The department has not enforced this provision recently due to the administrative inefficiency of collecting the fee.
Summary of factual data and analytical methodologies. The department has changed the type of benefit reports required from employers with the implementation of the quarterly wage reporting and other procedural changes. The proposed rule updates and clarifies Chapter DWD 123 to reflect these changes.
Comparison with rules in adjacent states. Iowa, Michigan, and Illinois have unemployment insurance benefit rules similar to Wisconsin regarding reports that notify employers of the filing of a claim, request wage and separation information, and allow employers to notify the states of possible ineligibility of claimants. Minnesota does not have unemployment insurance benefit rules.
Effect on small businesses. The proposed rule affects small businesses but does not have a significant economic impact on a substantial number of small businesses. The DWD Small Business Regulatory Coordinator is Jennifer Jirschele, (608) 266-1023, jennifer.jirschele@dwd.state.wi.us.
Analysis used to determine effect on small business. The reports provide information on claimants' employment separations, dates of work, wages and other payments, and other issues that may be disqualifying. Most of the information is required by Chapter 108, Stats.
Fiscal Impact
The proposed rule will have no fiscal impact on state or local government.
Agency Contact Person
Carla Breber, UI Disputed Benefits Claims, (608) 266-7564, carla.breber@dwd.state.wi.us.
Written Comments
An electronic copy of the proposed rule is available at http://adminrules.wisconsin.gov. This site allows you to view documents associated with this rule's promulgation, register to receive email notification whenever the Department posts new information about this rulemaking order, and submit comments and view comments by others during the public comment period. You may receive a paper copy of the rule or fiscal estimate by contacting:
Elaine Pridgen
Office of Legal Counsel
Dept. of Workforce Development
P.O. Box 7946
Madison, WI 53707-7946
(608) 267-9403
Written comments on the proposed rules received at the above address, email, or through the http://adminrules.wisconsin.gov web site no later than May 31, 2007, will be given the same consideration as testimony presented at the hearing.
Notice of Hearing
Workforce Development
(Unemployment Insurance, Chs. DWD 100-150)
NOTICE IS HEREBY GIVEN that pursuant to ss. 108.02 (26), 108.14 (2), 108.015, and 227.11 (2) (a), Stats., the Department of Workforce Development proposes to hold a public hearing to consider rules relating to wages for unemployment insurance benefit purposes.
Hearing Information
May 30, 2007
Madison
Wednesday
G.E.F. 1 Building, H306
1:30 p.m.
201 E. Washington Avenue
Interested persons are invited to appear at the hearing and will be afforded the opportunity to make an oral presentation of their positions. Persons making oral presentations are requested to submit their facts, views, and suggested rewording in writing.
Visitors to the GEF 1 building are requested to enter through the left East Washington Avenue door and register with the customer service desk. The entrance is accessible via a ramp from the corner of Webster Street and East Washington Avenue. If you have special needs or circumstances regarding communication or accessibility at the hearing, please call (608) 267-9403 at least 10 days prior to the hearing date. Accommodations such as ASL interpreters, English translators, or materials in audiotape format will be made available on request to the fullest extent possible.
Analysis Prepared by the Department of Workforce Development
Statutory authority: Sections 108.02 (26), 108.14 (2), 108.015, and 227.11.
Statutes interpreted: Section 108.02 (26) Stats.
Related statute or rule: 26 USC 3306 (b); Section 108.05 (3), Stats.; Chapter DWD 101
Explanation of agency authority. Section 108.02 (26), Stats., defines what is and what is not included as “wages" for purposes of unemployment insurance, unless the department otherwise specifies by rule.
Section 108.015, Stats., provides that unless the department otherwise provides by rule, s. 108.02 (26), Stats., shall be interpreted consistently with 26 USC 3306 (b). 26 USC 3306 (b) is the federal definition of “wages" for purposes of unemployment insurance.
Section 108.14 (2), Stats., provides that the department may adopt and enforce all rules which it finds necessary or suitable to carry out Chapter 108, Stats., regarding unemployment insurance.
Summary of the proposed rule. Chapter DWD 130 clarifies how the department applies the definition of wages at s. 108.02 (26), Stats., for benefit purposes. The current Chapter DWD 130 has not been updated since Wisconsin adopted the federal definition of wages at s. 108.02 (26), Stats.
The proposed rule will repeal s. DWD 130.03, relating to the treatment of tips. This section contains obsolete terms and cross-references and inaccurately states that there is a different treatment of tips for contribution purposes and benefit purposes based on an obsolete statutory provision. The current treatment of tips is governed solely by s. 108.02 (26) (b) 3., Stats., which provides that “wages" includes the value of tips that are received while performing services which constitute employment, and that are included in a written statement furnished to an employer under 26 USC 6053 (a).
The proposed rule will also repeal s. DWD 130.07, which contains obsolete information on supplemental unemployment benefit plans. Under s. 108.02 (26) (c) 16., Stats., any contribution made by an employer into or payment made from a supplemental unemployment benefit plan for employees is not considered wages if the contribution or payment is not considered wages under 26 USC 3306 (b), regardless of whether the plan is part of an employer profit-sharing plan.
The proposed rule creates a new section that provides that when s. 108.02 (26), Stats., or the Federal Unemployment Tax Act, 26 USC 3301 to 3311, require that a payment meet the requirements of a particular section of the internal revenue code to not be considered wages, the employer shall demonstrate to the satisfaction of the department that the payment meets such requirements. This standard will apply to the determination of whether supplemental unemployment benefit plans are considered wages, as well as other issues raised under s. 108.02 (26), Stats., or FUTA.
The proposed rule also corrects an obsolete cross-reference and clarifies language in the section on the value of room or meals.
Summary of factual data and analytical methodologies. The provision on tips is repealed because the information on the treatment of tips for contribution purposes is obsolete and the information on the treatment of tips for benefit purposes duplicates the statute. The provision on supplemental unemployment benefit plans is repealed because it does not add to the information in the statute.
Comparison with rules in adjacent states. The department did not find rules on the specific issues in the proposed rules in the adjacent states.
Effect on small business. The proposed rule does not affect small businesses. The DWD Small Business Regulatory Coordinator is Jennifer Jirschele, (608) 266-1023, jennifer.jirschele@dwd.state.wi.us.
Analysis used to determine effect on small business. The proposed rule repeals obsolete provisions and brings the rule into conformity with current statutory provisions. There are no significant substantive changes.
Fiscal Impact
The proposed rule will have no fiscal impact on state or local government.
Agency Contact Person
Carla Breber, UI Disputed Benefits Claims, (608) 266-7564, carla.breber@dwd.state.wi.us.
Written Comments
An electronic copy of the proposed rules is available at http://adminrules.wisconsin.gov. This site allows you to view documents associated with this rule's promulgation, register to receive email notification whenever the Department posts new information about this rulemaking order, and submit comments and view comments by others during the public comment period. You may receive a paper copy of the rule or fiscal estimate by contacting:
Elaine Pridgen
Office of Legal Counsel
Dept. of Workforce Development
P.O. Box 7946
Madison, WI 53707-7946
(608) 267-9403
Written comments on the proposed rules received at the above address, email, or through the http://adminrules.wisconsin.gov web site no later than May 31, 2007, will be given the same consideration as testimony presented at the hearing.
Links to Admin. Code and Statutes in this Register are to current versions, which may not be the version that was referred to in the original published document.