1. A statutory or nonstatutory provision containing a statement or declaration of legislative intent, purpose, findings, or policy does not confer rule-making authority on the agency or augment the agency's rule-making authority beyond the rule-making authority that is explicitly conferred on the agency by the legislature.
2. A statutory provision describing the agency's general powers or duties does not confer rule-making authority on the agency or augment the agency's rule-making authority beyond the rule-making authority that is explicitly conferred on the agency by the legislature.
3. A statutory provision containing a specific standard, requirement, or threshold does not confer on the agency the authority to promulgate, enforce, or administer a rule that contains a standard, requirement, or threshold that is more restrictive than the standard, requirement, or threshold contained in the statutory provision.
(b) Each agency may prescribe forms and procedures in connection with any statute enforced or administered by it, if the agency considers it necessary to effectuate the purpose of the statute, but this paragraph does not authorize the imposition of a substantive requirement in connection with a form or procedure.
(c) Each agency authorized to exercise discretion in deciding individual cases may formalize the general policies evolving from its decisions by promulgating policies as rules which the agency shall follow until they are amended or repealed. A rule promulgated in accordance with this paragraph is valid only to the extent that the agency has discretion to base an individual decision on the policy expressed in the rule.
Section
301.02: The department shall maintain and govern the state correctional institutions.
Section
301.03 (2): Supervise the custody and discipline of all prisoners and the maintenance of state correctional institutions and the prison industries under s.
303.01.
4. Estimate of the Amount of Time State Employees will Spend Developing the Proposed Rule and of Other Resources Necessary to Develop the Rule
The Department estimates that it will take approximately 50 hours to develop this rule, including drafting the rule and complying with rulemaking requirements.
5. Description of All of the Entities that will be Affected by the Rule
This rule will affect all persons who are committed to adult correctional institutions and department staff.
6. Summary of and Preliminary Comparison with any Existing or Proposed Federal Regulation that is Intended to Address the Activities to be Regulated by the Proposed Rule
There are no applicable federal regulations.
7. Anticipated Economic Impact of Implementing the Rule (Note if the Rule is Likely to Have a Significant Economic Impact on Small Businesses)
The department anticipates that the proposed rule will have minimal to no economic impact statewide or locally.
Contact Person
Kathryn R. Anderson, Chief Legal Counsel, Wisconsin Department of Corrections, 3099 East Washington Avenue, P.O. Box 7925, Madison, WI 53707-7925, (608) 240-5049,
kathryn.anderson@wisconsin.gov.
Corrections
This statement of scope was approved by the Governor on October 31, 2013.
Rule No.
Relating to
The general operations of the department of corrections.
Rule Type
Permanent.
1. Description of the Objective of the Rule
The objective of the rule is to create a rule chapter which addresses general operations of the department of corrections, including the requirement under s.
895.59, Stats., for the department to promulgate a rule relating to small businesses.
2. Description of Existing Policies and New Policies Included in the Proposed Rule and an Analysis of Policy Alternatives
Although the department of corrections has numerous rule chapters which address program areas relating to adult institutions, community corrections and juveniles, it does not currently have a rule chapter which addresses general operations. The department seeks to create a chapter which may be used for rule proposals which do not readily fit within one of the program areas. The department anticipates creating uniform definitions and operational language for inclusion in this chapter.
Although the nature of the department's statutory charge does not normally impact on or regulate small businesses as that term is defined in s.
227.114 (1), Stats., the department is mandated under s.
895.59 (2), Stats., to promulgate a rule “which requires the agency to disclose in advance the discretion that the agency will follow in the enforcement of rules and guidelines against a small business
…." The department intends on placing a rule section to address this statutory mandate in the new general operations chapter.
There are no policy alternatives to developing the rule.
3. Statutory Authority
Section
227.11 (2) (a) to
(c), Stats.: Rule–making authority is expressly conferred as follows:
(a) Each agency may promulgate rules interpreting the provisions of any statute enforced or administered by the agency, if the agency considers it necessary to effectuate the purpose of the statute, but a rule is not valid if the rule exceeds the bounds of correct interpretation. All of the following apply to the promulgation of a rule interpreting the provisions of a statute enforced or administered by an agency:
1. A statutory or nonstatutory provision containing a statement or declaration of legislative intent, purpose, findings, or policy does not confer rule-making authority on the agency or augment the agency's rule-making authority beyond the rule-making authority that is explicitly conferred on the agency by the legislature.
2. A statutory provision describing the agency's general powers or duties does not confer rule-making authority on the agency or augment the agency's rule-making authority beyond the rule-making authority that is explicitly conferred on the agency by the legislature.
3. A statutory provision containing a specific standard, requirement, or threshold does not confer on the agency the authority to promulgate, enforce, or administer a rule that contains a standard, requirement, or threshold that is more restrictive than the standard, requirement, or threshold contained in the statutory provision.
(b) Each agency may prescribe forms and procedures in connection with any statute enforced or administered by it, if the agency considers it necessary to effectuate the purpose of the statute, but this paragraph does not authorize the imposition of a substantive requirement in connection with a form or procedure.
(c) Each agency authorized to exercise discretion in deciding individual cases may formalize the general policies evolving from its decisions by promulgating policies as rules which the agency shall follow until they are amended or repealed. A rule promulgated in accordance with this paragraph is valid only to the extent that the agency has discretion to base an individual decision on the policy expressed in the rule.
Section
895.59 (2), Stats.: Each agency shall promulgate a rule that requires the agency to disclose in advance the discretion that the agency will follow in the enforcement of rules and guidelines against a small business. The rule promulgated under this subsection shall include the reduction or waiver of penalties for a voluntary disclosure, by a small business, or actual or potential violations of rules or guidelines. The rule promulgated under this subsection may include the consideration of the violator's ability to pay when determining the amount of any monetary penalty, assessment, or surcharge. The rule promulgated under this subsection shall specify when the agency will not allow discretion in the enforcement of a rule or guideline against small businesses and shall include all of the following situations in which discretion is not allowed:
(a) The agency discovers the violation before the small business discloses the violation.
(b) The violation is disclosed after an agency audit or inspection of the small business has been scheduled.
(c) The violation was identified as part of the monitoring or sampling requirements that are consistent with the requirements under an existing permit.
(d) The violation results in a substantial economic advantage for the small business.
(e) The small business has repeatedly violated the same rule or guideline.
(f) The violation may result in an imminent endangerment to the environment, or to the public health or safety.
4. Estimate of the Amount of Time State Employees will Spend Developing the Proposed Rule and of Other Resources Necessary to Develop the Rule
The Department estimates that it will take approximately 50 hours to develop this rule, including drafting the rule and complying with rulemaking requirements.
5. Description of all of the Entities that will be Affected by the Rule
This rule will affect department staff and small businesses.
6. Summary of and Preliminary Comparison with any Existing or Proposed Federal Regulation that is Intended to Address the Activities to be Regulated by the Proposed Rule
There are no applicable federal regulations.
7. Anticipated Economic Impact of Implementing the Rule (Note if the Rule is Likely to Have a Significant Economic Impact on Small Businesses)
The department anticipates that the proposed rule will have minimal to no economic impact statewide or locally.
Contact Person
Kathryn R. Anderson, Chief Legal Counsel, Wisconsin Department of Corrections, 3099 East Washington Avenue, P.O. Box 7925, Madison, WI 53707-7925, (608) 240-5049,
kathryn.anderson@wisconsin.gov.
Labor and Industry Review Commission
This statement of scope was approved by the Governor on October 15, 2013.
Rule No.
Relating to
Procedural rules for filing petitions for commission review and commission review of cases.
Rule Type
Permanent.
1. Finding/Nature of Emergency (Emergency Rule Only)
N/A
2. Detailed Description of the Objective of the Proposed Rule
The commission analyzed its case review processes using the Value Stream Mapping (VSM) technique and identified ways to make its processes more efficient and lean. As a part of that process, the commission identified changes to its review process that require changes to the commission's rules. The commission's objective in revising its existing procedural rules is to increase the efficiencies in its processes and to reduce the time it takes to resolve cases petitioned by parties for commission review. The commission also examined its administrative rules governing procedures for continued applicability and necessity.
In ch.
LIRC 1, regarding general procedural rules, the proposed rule will clarify that commission review is a
de novo review of the record made at the hearing before an administrative law judge and will describe the record used for commission review. The proposed rule will clarify how the commission may take administrative notice of records maintained by the Department of Workforce Development (department), how the commission may contact the department (such as to verify monetary amounts reflected in decisions and overpayments or to verify the adjudicative process leading to the department's determination), and how the commission may protect and seal confidential information in the record (such as social security numbers). The proposed rule will clarify and expand when the commission may use a transcript of a hearing in lieu of a synopsis of a hearing. (The commission typically uses synopses of hearing testimony in its review but may use transcripts under certain circumstances.) The proposed rule will clarify how the commission may establish briefing schedules for parties in cases pending review. Finally, the proposed rule will clarify the process by which parties may request reconsideration or the setting aside of a commission decision.
In ch.
LIRC 2, regarding procedural rules for filing petitions for commission review of unemployment insurance appeal tribunal decisions, the proposed rule will revise the manner in which petitions for commission review may be filed. Currently, petitions may be filed in several ways with several department offices as well as with the commission. The proposed rule will clarify that the petitions for commission review of unemployment insurance appeal tribunal decisions may be filed only on-line through the commission's website. This will facilitate the desired automation of the commission's processes, reduce errors, and improve efficiencies and timeliness.
In ch.
LIRC 3 and
4, regarding procedural rules for filing petitions for commission review in worker's compensation and equal rights cases, the proposed rule will update the locations at which petitions for commission review may be filed. The commission will investigate the possibility of requiring petitions for commission review in these cases to be filed on-line with the commission.
Chapter
LIRC 5 will be created to explain the process for requesting review of an appeal tribunal decision regarding worker classification compliance by the commission pursuant to Wis. Stat. s.103.06 (6) (c). This statutory provision was created by
2009 Wisconsin Act 292. The commission must adopt rules to facilitate and explain the process for handling petitions for review under this new law.
3. Description of the Existing Policies Relevant to the Rule, New Policies Proposed to be Included in the Rule, and an Analysis of Policy Alternatives
The proposed rule does not alter or establish any policies. The proposed rule only implements the commission's limited rulemaking authority to establish procedural rules under Wis. Stats. s.
103.04 (2).
4. Detailed Explanation of Statutory Authority for the Rule (Including the Statutory Citation and Language)
Wisconsin Statutes s.
103.04 (2) authorizes the commission to promulgate rules of procedure. The commission is not authorized to promulgate any other rules.
5. Estimate of Amount of Time that State Employees Will Spend Developing the Rule and of Other Resources Necessary to Develop the Rule
State employees will spend approximately 160 hours developing the rule. No other resources are necessary to develop the rule.
6. List with Description of all Entities that may be Affected by the Proposed Rule
The proposed rule will affect all parties with cases being reviewed by the commission uniformly. Parties include individuals with worker's compensation, unemployment insurance, fair employment, public accommodation, or worker classification compliance claims; employers; worker's compensation insurance carriers; and the department.
7. Summary and Preliminary Comparison with any Existing or Proposed Federal Regulation that is Intended to Address the Activities to be Regulated by the Proposed Rule
There are no existing or proposed federal regulations that address the procedures to be regulated by the proposed rule.
8. Anticipated economic impact of implementing the rule (note if the rule is likely to have a significant economic impact on small businesses)
The commission's rules apply uniformly to all parties with cases being reviewed by the commission and do not establish regulatory standards, or compliance or reporting requirements for businesses. The proposed rules will have no economic impact locally or statewide.
Contact Person
Tracey L. Schwalbe, LIRC General Counsel, (608) 266-7728.
Public Instruction
