This statement of scope was approved by the Governor on September 20, 2013.
Rule No.
Revises Chapters SPS 80 to 87.
Relating to
Real estate appraiser requirements.
Rule Type
Permanent.
1. Finding/Nature of Emergency (Emergency Rule Only)
N/A.
2. Detailed Description of the Objective of the Proposed Rule
The purpose of the proposed rule is to bring current administrative code regulating appraisers in line with the federal policy generated by the Appraiser Qualifications Board (AQB). In addition, pursuant to Executive Order #61, the department will take this opportunity to review chs. SPS 80 to 87 in order to discover ways to reduce the regulatory impact on small business as long as it does not result in non-compliance with AQB standards.
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
In December of 2011, the Appraiser Qualifications Board of the Appraisal Foundation adopted changes to the Real Property Appraiser Qualification Criteria. These changes will go into effect on January 1, 2015. This new criteria will impact education, experience, and examination requirements for licensed appraisers, certified general appraisers, and certified residential appraisers. As a result of the new federal policy, the department seeks to revise chs. SPS 80 to 87. This is a federal mandate prompted by the Appraiser Qualifications Board. Since the AQB sets the minimum requirements for each state to implement and licensees must be AQB compliant in order to conduct federally related transactions, there is no alternative to rule making.
The Department will review chs. SPS 80 to 87, pursuant to Executive Order #61, and look for ways to reduce the regulatory impact on small business in areas which do not impact AQB compliance.
4. Detailed Explanation of Statutory Authority for the Rule (Including the Statutory Citation and Language)
The Department of Safety and Professional Services has specific rule making authority pursuant to s. 227.11 (2) (a), Stats., which provides that, “each agency may promulgate rules interpreting the provisions of any statute enforced or administered by it" Section 444.03 (1), Stats., specifies, “the department may promulgate rules defining uniform procedures to be used by the department, [and] the real estate appraisers board..." In s. 458.03 (1) (b), Stats., the board may, “promulgate rules establishing criteria for the approval of educational and continuing educational programs and courses of study for appraisers and establishing criteria for the approval of the courses required under ss.458.06 (2) (d) and 458.08 (2) (d)."
5. Estimate of Amount of Time that State Employees Will Spend Developing the Rule and of Other Resources Necessary to Develop the Rule
125 hours.
6. List with Description of all Entities that may be Affected by the Proposed Rule
Licensed appraisers, certified residential appraisers, and certified general appraisers as well as applicants and individuals who hold these credentials.
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
Title XI Financial Institutions Reform, Recovery, and Enforcement Act of 1989 mandates that all state certified appraisers must meet the minimum education, experience, and examination requirements promulgated by the Appraisal Qualifications Board (AQB).
8. 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 a minimal economic impact.
9. Contact Person
Shawn Leatherwood, (608) 261-4438.
Workforce Development
Unemployment Insurance, Chs. DWD 100-150
This statement of scope was approved by the Governor on September 27, 2013.
Rule No.
Amends Chapters DWD 111, 113, 115, 132, and 140. Creates Chapter DWD 114.
Relating to
Amendments to unemployment insurance Administrative Code provisions under 2013 Wisconsin Act 20 and 2013 Wisconsin Act 36.
Rule Type
Permanent.
1. Finding/Nature of the Emergency (Emergency Rule Only).
N/A.
2. Detailed Description of the Objective of the Proposed Rule
The proposed rule will ensure that the Department of Workforce Development (Department) is enacting amendments to the unemployment insurance (UI) administrative rules that are required by or necessary as a result of the passage of 2013 Wisconsin Act 20 and 2013 Wisconsin Act 36. Consistent with this legislation, the proposed rule will also create the administrative procedures to:
  Waive or decrease interest charged to an employer that submits a late payment for UI taxes.
  Provide procedural protections to employers who are subject to a denial or revocation of a license based on delinquent UI contributions.
  Provide a standardized affidavit form for use in UI administrative appeal hearings.
  Accept a late optional successorship application from a business.
  Implement a financial record matching program.
In addition, the Department will repeal various rule sections due to amendments to the statutes requiring repeal of the administrative code provisions and make minor and technical corrections to current rules.
3. Description of Existing Policies Relevant to the Rule, New Policies Proposed to be Included in the Rule, and an Analysis of Policy Alternatives
Section 108.22, Stats., grants the Department the authority to assess a tardy filing fee on employers that file a late quarterly wage report. Section DWD 111.07 identifies when the Department will assess the tardy filing fee and the criteria for determining the amount of the fee. 2013 Wisconsin Act 36 amended s. 108.22, Stats., and provides that an employer shall be charged a tardy filing fee for each delinquent quarterly report in the amount of $100, or $20 per employee, or, if the report is filed within 30 days of its due date, in the amount of $50. The changes made by 2013 Wisconsin Act 36 are inconsistent with the current provisions of s. DWD 111.07. As a result, the provisions of s. DWD 111.07 should be amended to reflect current law.
Section 108.22, Stats., provides that the Department shall charge interest when an employer is delinquent in paying UI taxes. 2013 Wisconsin Act 36 creates s. 108.22 (1) (cm), Stats. In limited circumstances, s. 108.22 (1) (cm), Stats., grants the Department the authority to waive or decrease the interest charged to employers who are late in making their unemployment insurance tax payments and provides that the Department shall prescribe rules to exercise this authority. Chapter DWD 113 controls the Department's ability to waive or decrease the interest charged. The Department intends to amend this chapter to reflect the changes provided by 2013 Wisconsin Act 36.
2013 Wisconsin Act 36 creates s. 108.227, Stats., and grants the Department for the first time the ability to revoke various licenses or deny an application for various licenses based on delinquent UI contributions. 2013 Wisconsin Act 36 requires the Department to promulgate rules with respect to the process the Department will use when it seeks to revoke a license or deny an application for a license as a result of the employer being delinquent in paying UI contributions. The Department will promulgate these rules by creating ch. DWD 114.
2013 Wisconsin Act 36 creates s. 108.223, Stats., and grants the Department for the first time the authority to operate a financial records matching program. This program allows the Department to identify the assets held at financial institutions of persons who are delinquent in paying debts related to the UI program. Chapter DWD 114 will be created to include procedures and requirements for financial institutions for implementation of the program. Similar programs are being operated by the Departments of Children and Families, Revenue, and Health Services. The Department intends to promulgate rules to ensure that the program operated by the Department can be run consistently with the Departments of Children and Families, Revenue, and Health Services. These rules will be promulgated within the newly created ch. DWD 114.
Section 108.16 (8) (b) 4., Stats., outlines the statutory requirements for the Department to accept an optional successorship application from a business. Successorship occurs when all or a portion of the former owner's UI account is transferred to the new owner due to a transfer of all, or a portion of, the business. If a former business has a positive UI account, in limited circumstances the new owner of the business may elect to file an optional successorship application with the Department. Consistent with s.108.16 (8) (b) 4., Stats., s. DWD 115.07 (2) affords the requirements the Department must follow in accepting an optional successorship application from a business. 2013 Wisconsin Act 36 amended the provisions of s. 108.16 (8) (b) 4., Stats., to allow the Department the ability to accept a late optional successorship application from a business, if the application was late as a result of excusable neglect. Amendments to s. DWD 115.07 (2) are necessary to make rule provisions consistent with the newly amended s. 108.16 (8) (b) 4., Stats.
2013 Wisconsin Act 20 repealed s. 108.04 (7) (k), Stats. This provision provided that a UI claimant who quits a job was still eligible for UI benefits if the claimant had two jobs and the claimant had quit a part-time job because it was economically not feasible to maintain due to the loss of his or her full-time job. Section DWD 132.03 clarified the provisions of s. 108.04 (7) (k) prior to its repeal by 2013 Wisconsin Act 20, Stats., and is no longer needed.
2013 Wisconsin Act 36 created s. 108.14 (26), Stats. Section 108.14 (26), Stats., provides that the Department shall prescribe by rule a standard affidavit form that may be used by parties involved in UI administrative appeals. Chapter DWD 140 provisions control appeals, and the Department will prescribe the standard affidavit form within this chapter. In addition, the Department will amend sections within ch. DWD 140 to incorporate modern technology changes for UI administrative appeals.
The policy alternative of doing nothing is not acceptable. If the Department fails to adopt these amendments to the already existing rules and create ch. DWD 114, the administrative rules will be inconsistent with recently adopted amendments to state statutes as a result of the passage of 2013 Wisconsin Act 20 and 2013 Wisconsin Act 36.
4. Detailed Explanation of Statutory Authority for the Rule, Including the Statutory Citation and Language
Section 108.14 (2), Stats., provides in part, “[t]he department may adopt and enforce all rules which it finds necessary or suitable to carry out this chapter."
Section 108.22 (1) (cm), Stats., provides in part, “[i]n limited circumstances as prescribed by rule of the department, the department may waive or decrease the interest charged" to employers subject to the UI program.
Section 108.227 (1m), Stats., provides in part, “[t]he department shall promulgate rules specifying procedures to be used before taking action" to suspend a license of an employer who is delinquent in paying UI taxes.
Section 108.14 (26), Stats., provides in part, “[t]he department shall prescribe by rule a standard affidavit form that may be used by parties to [UI] appeals."
5. Estimate of Amount of Time that State Employees Will Spend Developing the Rule, and Other Resources Necessary to Develop the Rule
The total amount of staff time for developing the rule is estimated to be 480 hours.
6. List with Description of all Entities that may be Affected by the Proposed Rule
These amendments will impact employers who are subject to the Wisconsin UI system as follows:
  First, these amendments to the rules will impact employers who are delinquent in filing UI reports or in paying UI taxes.
  Second, these amendments to the rules will impact the process that a new employer must use if they satisfy the statutory requirements and elect to be optional successor to the UI account of a former employer.
These amendments will make the Department's operation of its newly created financial records matching program be consistent with the same program operated by the Department of Revenue. Therefore, these amendments also impact financial institutions in the state. Finally, these amendments will impact parties to hearings related to UI appeals.
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
Unemployment insurance was initiated on a national basis in the United States as Title III and Title IX of the Social Security Act of 1935 and is a Federal-State coordinated program. Each state administers its own program within national guidelines promulgated under federal law. As a condition of a state receiving its unemployment compensation administrative grant, 42 U.S.C. s. 503 (a) provides that the Secretary of Labor must find that the law of the state includes certain requirements. One of those requirements is that a claimant must have the opportunity for a fair hearing, before an impartial tribunal, if a state UI agency denies a claim for unemployment compensation. The newly created requirement, under s. 108.14 (26), Stats., provides that the Department shall prescribe by rule a standard affidavit form that may be used by parties involved in UI administrative appeals. Use of a standard affidavit as part of the UI appeal process, is consistent with this federal mandate.
8. Anticipated Economic Impact of Implementing the Rule (Note if the Rule is Likely to have an Economic Impact on Small Businesses)
Because these rules carry forward the UI proposals contained in 2013 Wisconsin Act 36, the fiscal note for this Act (copy attached for 2013 Wisconsin Act 36) also incorporates the economic impact of the amendments to the rules.
9. Contact Person
Janell Knutson, Director, UI Bureau of Legal Affairs, (608) 266-1639, janell.knutson@dwd.wisconsin.gov.
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