Rule-making notices
Notice of Hearings
Agriculture, Trade and Consumer Protection
[CR 02-078]
(reprinted from 6/30/02 Wis. Adm. Register)
The State of Wisconsin Department of Agriculture, Trade and Consumer Protection announces that it will hold public hearings on its rule relating to chronic wasting disease in cervids. The department will hold four hearings at the times and places shown below. The department invites the public to attend the hearings and comment on the rule. Following the public hearings, the hearing record will remain open until August 2, 2002, for additional written comments.
You may obtain a free copy of this rule by contacting the Wisconsin Department of Agriculture, Trade and Consumer Protection, Division of Animal Health, 2811 Agriculture Drive, P.O. Box 8911, Madison, WI 53708, or by calling 608-224-4883. Copies will also be available at the hearings.
Hearing impaired persons may request an interpreter for the hearing. Please make reservations for a hearing interpreter by July 10, 2002, by writing to Melissa Mace, Division of Animal Health, P.O. Box 8911, Madison, WI 53708-8911, telephone (608) 224-4883. Alternatively, you may contact the Department TDD at (608) 224-5058. Handicap access is available at the hearing.
Hearings are scheduled:
Tuesday, July 16, 2002, commencing at 6:00 p.m.
UW Fond du Lac
University Center, Rm. 113
400 University Ave
Fond du Lac, WI 54935
Handicapped accessible
Thursday, July 18, 2002, commencing at 6:00 p.m.
Quality Inn
809 West Clairemont Avenue
Eau Claire, WI 54702 – 8037
Handicapped accessible
Monday, July 22, 2002, commencing at 6:00 p.m.
WI Dept. of Agriculture, Trade & Consumer Protection
Board Room
2811 Agriculture Drive
Madison, WI 53718
Handicapped accessible
Thursday July 25, 2002, commencing at 6:00 p.m.
UW Marathon County
Terrace Room NA 100
518 South 7th Avenue
Wausau, WI 54401
Analysis Prepared by the Department of Agriculture, Trade and Consumer Protection
Statutory Authority: ss. 93.07 (1), 93.07 (10) and 95.20, Stats.
Statutes Interpreted: ss. 93.07 (10), 95.20, 95.22, and 95.31, Stats.
This rule regulates the import, testing, identification and movement of farm-raised deer (including deer and elk) to prevent the spread of chronic wasting disease. This rule also modifies current rules related to the registration of farm-raised deer herds in this state. The Wisconsin Department of Agriculture, Trade and Consumer Protection (DATCP) administers this rule.
For the most part, this rule does not apply to wild deer or elk regulated by the Department of Natural Resources (DNR). However, this rule does regulate imports of wild deer and elk. This rule also requires a person to report to DATCP if farm-raised deer or a wild deer or elk tests positive for chronic wasting disease.
Background
Chronic wasting disease was recently discovered in the wild deer population in Wisconsin. Chronic wasting disease is a form of transmissible spongiform encephalopathy, a disease that is always fatal. It is known to affect several species of cervids, including elk, white-tailed deer, black-tailed deer, mule deer and red deer. Very little is known about the disease, but it appears to be spread by cervid-to-cervid contact. The disease may spread more readily where cervids are concentrated.
Chronic wasting disease has not been diagnosed in farm-raised deer in this state, but its presence cannot be ruled out. The disease has been diagnosed in some farm-raised herds in other states. This rule establishes a monitoring and testing program for farm-raised deer in this state. This rule also regulates imports and movement of farm-raised deer.
Registering Farm-Raised Deer Herds
DATCP currently regulates “farm-raised deer" herds in this state. Under the new captive wildlife law (2001 Wis. Act 56), captive white-tail deer will also be classified as “farm-raised deer" after January 1, 2003. This rule regulates the keeping of “farm-raised deer," including captive white-tail deer.
Under current rules, a person keeping a herd of farm-raised deer must register the herd with DATCP. A person who keeps farm-raised deer at 2 separate locations may register all of those farm-raised deer as a single herd, and may freely move farm-raised deer between the 2 locations. Under this rule, a person may no longer register herds kept at 2 locations as a single herd, but must register each location as a separate herd. This means that the person must comply with intra-state movement regulations (see below) when moving farm-raised deer between the 2 locations.
A person may register separate herds at the same location if there is “medically significant separation" of the herds. There must be adequate fencing and facilities to maintain the separation, and the herd owner must comply with intra-state movement regulations (see below) when moving farm-raised deer between the herds. A person might choose to register separate herds at the same location if, for example, the person maintains a breeding operation (from which live animals are shipped) and a separate hunting operation (from which no live animals are shipped) at that location.
Before DATCP registers 2 herds at the same location, DATCP must inspect the premises to determine whether the facilities and fencing are adequate to maintain “medically significant separation" of the herds. The herd owner must pay, in addition to the normal registration fees, a $150 inspection fee to cover the costs of the inspection.
Under current rules, DATCP must grant or deny registration within 30 days after DATCP receives a complete application. Under this rule, if DATCP must inspect to ensure that there is “medically significant separation" between herds kept at the same location, DATCP must grant or deny the registration within 60 days after receiving a complete application.
Duties of Herd Owners
A person keeping farm-raised deer must comply with this rule. The person must keep complete herd records, including records related to animals entering or leaving the herd. The person may not add a cervid to the herd unless the cervid is imported in compliance with this rule, or moved from another registered herd in compliance with this rule. The person may not accept into the herd, on a temporary or permanent basis, any cervid from a wild herd. DATCP may deny, suspend or revoke a registration certificate for cause, including violations of this rule.
Importing Deer and Elk to Wisconsin
Under current rules, no person may import a deer, elk or other cervid into Wisconsin without a permit from DATCP. The importer, or a veterinarian acting on behalf of the importer, may apply for an import permit. The applicant must identify the herd of origin and the herd of destination. Current import rules apply to wild cervids as well as farm-raised deer.
This rule clarifies that DATCP will not issue a written import permit until DATCP receives a certificate of veterinary inspection completed by a federally accredited veterinarian. The certificate must identify each cervid to be imported, and must certify one of the following:
The cervid originates from a herd monitored for at least 5 years under a state-approved chronic wasting disease herd certification program that complies with federal uniform methods and rules.
The cervid originates from a herd that meets all the following criteria:
- Herd members have all been born in the herd or kept in the herd for at least one year.
- Herd members have not been added from any outside source, or exposed to cervids from any outside source, in the past year.
- There have been no clinical signs of chronic wasting disease in the herd for the past 5 years.
- Animal health officials in the state of origin have access to herd records for the past 5 years, including records of deaths and causes of death.
- If the cervid is imported after December 31, 2003, the animal originates from a herd that is enrolled in a state-approved chronic wasting disease program that complies with federal uniform methods and rules:
* Animals imported in 2004 must originate from herds enrolled for at least one year.
* Animals imported in 2005 must originate from herds enrolled for at least 2 years.
* Animals imported in 2006 must originate from herds enrolled for at least 3 years.
* Animals imported in 2007 must originate from herds enrolled for at least 4 years.
* Animals imported in 2008 and subsequent years must originate from herds enrolled for at least 5 years.
Moving Live Farm-Raised Deer from Herds in Wisconsin
Under current rules, no person may move a live farm-raised deer from a herd in this state without a certificate of veterinary inspection. A Wisconsin certified veterinarian must certify that the farm-raised deer has tested negative for tuberculosis (there are some exceptions). Under this rule:
The veterinarian must also certify that the herd of origin has shown no clinical signs of chronic wasting disease in the last 12 months. The veterinarian must be the herd veterinarian for the herd of origin.
The herd of origin must be enrolled in Wisconsin's herd monitoring program (see below). The required length of enrollment will increase over time:
- Beginning in 2004, the herd must have been enrolled for at least one year.
- Beginning in 2005, the herd must have been enrolled for at least 2 years.
- Beginning in 2006, the herd must have been enrolled for at least 3 years.
- Beginning in 2007, the herd must have been enrolled for at least 4 years.
- Beginning in 2008, the herd must have been enrolled for at least 5 years.
These requirements do not apply to any of the following:
A farm-raised deer moved directly to slaughter if it is tested for chronic wasting disease.
A farm-raised deer moved by or under the control of DNR.
A farm-raised deer moved between institutions that are accredited by the American association of zoological parks and aquariums.
Mandatory Testing in Wisconsin
This rule requires chronic wasting disease testing of farm-raised deer. There is no test available for live farm-raised deer. Tests must be conducted on brain tissue collected from dead farm-raised deer. Tests are only effective on farm-raised deer at least 16 months old. This rule requires herd owners to have all the following tested for chronic wasting disease:
All farm-raised deer at least 16 months old that are shipped to slaughter.
All farm-raised deer at least 16 months old whose carcasses (or any part of whose carcasses) leave the herd premises.
A herd owner enrolled in Wisconsin's herd monitoring program (see below) must also test farm-raised deer at least 16 months old that die on the herd premises, even if their carcasses do not leave the herd premises. No live farm-raised deer may be shipped from a herd unless that herd is enrolled in the monitoring program.
Test Standards and Reports
This rule spells out standards for official chronic wasting disease testing in this state. Under this rule:
Test samples must be collected by a DATCP-certified veterinarian, a DATCP employee, an employee of the animal and plant health inspection service of the United States department of agriculture (APHIS), or another person approved by DATCP. The person must complete training approved by DATCP.
Test samples must be collected according to standard veterinary procedure, and tested at a laboratory approved by DATCP or APHIS.
Veterinarians and others must report to DATCP if test results are positive for chronic wasting disease. This reporting requirement applies to voluntary tests, as well as required tests. Persons receiving positive test results must report within one day, and confirm the report in writing within 10 days.
Quarantine and Condemnation
Under this rule, if a farm-raised deer tests positive for chronic wasting disease, DATCP must quarantine the herd. DATCP will conduct an epidemiological evaluation to determine the appropriate disposition of farm-raised deer in the herd. DATCP may condemn farm-raised deer exposed to the disease, and may direct the disposition of their carcasses. The herd owner may apply for statutory indemnity payments. If the owner of a farm-raised deer is eligible, indemnities will normally cover 2/3 of the appraised value of the condemned farm-raised deer, but not more than $1500 for each animal.
Herd Monitoring Program
This rule establishes a herd monitoring program for chronic wasting disease. This program supplements the mandatory testing requirements described above. No live farm-raised deer may be shipped from a herd unless that herd is enrolled in the monitoring program (see above). A herd owner who wishes to enroll in the program must do all the following:
Complete an application form.
Provide a report of a herd census completed not more than 30 days before the application date. The census report must include all the following:
- The number, species and sex of farm-raised deer in the herd.
- The number of farm-raised deer at least one year old.
- The number of farm-raised deer less than one year old.
- The official individual identification (ear tag number or other approved identification) of each farm-raised deer that is at least one year old.
Provide a statement from the herd veterinarian. The veterinarian must certify that he or she is the herd veterinarian, and that no farm-raised deer in the herd has shown any clinical signs of chronic wasting disease in the past 12 months.
DATCP must grant or deny the application within 30 days. A herd is enrolled in the program when DATCP accepts the herd owner's application. The herd owner must do all the following to remain in the program:
Identify each farm-raised deer in the herd, with official individual identification, before the farm-raised deer is one year old.
Test every farm-raised deer that dies or is shipped to slaughter, if that farm-raised deer is at least 16 months old. This testing requirement applies, regardless of whether the carcass leaves the herd premises.
Notify the herd veterinarian within 24 hours after the herd owner observes any signs or symptoms of chronic wasting disease.
Provide an annual statement from the herd veterinarian. The herd veterinarian must submit the annual statement to DATCP, within 30 days before or after the herd enrollment anniversary date. The veterinarian must certify that he or she is the herd veterinarian, and that no farm-raised deer in the herd has shown any clinical signs of chronic wasting disease since the last annual statement.
File a report of an annual herd census. The herd owner must complete the annual census within 30 days before or after the enrollment anniversary date, and must file the report within 10 days after completing the census. The census report must include all the following:
- The number, species and sex of farm-raised deer in the herd.
- The number of farm-raised deer at least one year old, and the number less than one year old.
- The official individual identification of each farm-raised deer that is at least one year old.
- The number, species and sex of farm-raised deer added to the herd since the last reported herd census. The report must indicate whether these new farm-raised deer were born into the herd or added from another source. If farm-raised deer were added from another source, the report must identify the source from which they were obtained.
- The number of farm-raised deer that left the herd since the last reported herd census. The report must explain how each farm-raised deer left the herd, including all the following:
* Whether the farm-raised deer died on the premises, was shipped to slaughter, or was shipped live other than to slaughter.
* If the farm-raised deer was shipped live other than to slaughter, the name of the person to whom it was shipped and the place to which it was shipped.
* If the farm-raised deer died on the premises, the animal's age and the disposition of its carcass. If the carcass left the premises, the report must identify the carcass destination or recipient. If the animal was at least 16 months old, the report must include a chronic wasting disease test report.
* If the farm-raised deer was shipped to slaughter, the animal's age and the name and address of the slaughter establishment. If the farm-raised deer was at least 16 months old, the report must include a chronic wasting disease test report.
Maintain all the following records for at least 5 years, and make those records available to DATCP for inspection and copying upon request:
- A record of each farm-raised deer added to the herd from another source, including:
* The species, age and sex of the animal.
* The name and address of the person from whom the animal was obtained.
* The address of the herd from which the animal was obtained.
- A record of each farm-raised deer leaving the herd, including all the following:
* Whether the animal died on the premises, was shipped to slaughter, or was shipped live other than to slaughter.
* If the animal was shipped live other than to slaughter, the name of the person to whom it was shipped and the place to which it was shipped.
* If the animal died on the premises, the apparent cause of death, the animal's age, and the disposition of the animal's carcass. If the carcass left the premises, the record must identify the carcass destination or recipient.
* If the animal was shipped to slaughter, the animal's age and the name and address of the slaughter establishment.
A copy of all records received from the herd veterinarian related to veterinary services provided to the herd.
Fiscal Estimate
See p. 16, 6/30/02 Wis. Adm. Register.
Initial Regulatory Flexibility Analysis
See p. 17, 6/30/02 Wis. Adm. Register.
Notice of Hearings
Corrections
NOTICE IS HEREBY GIVEN that pursuant to ss. 227.11 (2) (a), 302.02, 301.03 (2), Stats., the department of corrections proposes the following rules relating to adult field supervision:
Hearing Information
On the following dates, public hearings will be held relating to the permanent proposed rule for ch. DOC 328 relating to adult field supervision as well as the identical emergency rule effective July 2, 2002:
Date & Time   Location
July 29, 2002   Wood County Courthouse
Monday   400 Market Street
9:00 a.m. - 11:00 a.m.   Room 210B (Second Floor)
  Wisconsin Rapids, WI
July 30, 2002   State Office Building
Tuesday   141 N.W. Barstow Street
9:00 a.m.-11:00 a.m.   Room 137 A
  Waukesha, WI
The public hearing sites are accessible to people with disabilities.
Analysis Prepared by the Department of Corrections
Pursuant to s. 304.074 (2) Stats., the department has authority to collect “at least $1 per day, if appropriate" from offenders on supervision. However, the current proposed budget reform bill, Assembly Bill 1, directs the department to amend supervision fees and provides, in relevant part, the following:
“...the department of corrections shall promulgate the rules that are required under section 304.074 (5) of the statutes and that set rates under section 304.074 (2) of the statutes. The rules shall take effect on July 1, 2002."
“...the rules shall require the department to have a goal of receiving at least $2 per day, if appropriate, from each person who is on probation, parole, or extended supervision and who is not under administrative supervision, as defined in section 304.74 (1) (a) of the statutes, or minimum supervision, as defined in section 304.74 (1) (b) of the statutes."
The department published an emergency rule on July 2, 2002, in anticipation of the fore-mentioned statutory requirements. This permanent rule proposal follows.
While the language and potential requirements of Assembly Bill 1 doubles the amount the department may collect in supervision fees, the current Adm. Code limits the department's efforts to do so. The current ch. DOC 328 establishes a set fee schedule with a maximum collection of $45 per month.
This rule:
Raises the department's supervision fee goal to at least $2 per day, if appropriate, from all offenders under supervision by the department.
Eliminates the distinction between offenders supervised by the department on administrative and minimum supervision and offenders who are deemed medium, maximum and high risk as it relates to supervision fees. All offenders under supervision by the department will pay, based on their ability, according to one supervision-fee scale.
SECTION 1. DOC 328.043 is repealed.
SECTION 2. DOC 328.045(1) , (2) (intro) and (2)(c) are amended to read:
DOC 328.045 Medium, maximum and high riskOffenders under supervision by the department.
(1) OFFENDER PAYMENT. An offender on medium supervision as defined under s. DOC 328.04(4) (b) or maximum supervision as defined under s. DOC 328.04(4)(a) or high riskwho is under supervision by the department shall pay a supervision fee.
(2) SUPERVISION FEE. The department shall set a supervision fee for an offender based on the offender's ability to pay with the goal of receiving at least $1 2 per day, if appropriate, and shall do all of the following:
(c) Charge a supervision fee according to the following table:
Table DOC 328.045
Category Gross Monthly Income Supervision Fee   Maximum Rate
I $0-599.99800.00 $10.0020.00 $30.00
II $600.00 or more801.00-1,500.00 $ 30.0040.00 45.00
III $1,501.00 or more $60.00
Initial Regulatory Flexibility Analysis
These rules are not expected to have an effect on small businesses.
Fiscal Estimate
In FY 01 the DOC collected $5,884,800 in supervision fees. This revenue is used to provide a variety of essential Division of Community Corrections (DCC) services including rent, vehicles for home visits, extradition of absconders, and upgrading computers utilized by DCC staff.
According to the new rule, offenders at all supervision levels will pay according to one supervision-fee scale. The new fee schedule will range from $20 to $60 per month depending on an offender's monthly income. DOC may exempt offenders from the fee schedule if the offender meets certain criteria. It is estimated that the new fee schedule will generate an additional $5,884,800 annually in supervision fee revenue. (A full copy of the fiscal estimate may be obtained through the contact person listed below.)
Contact Person
Julie Kane (608) 240-5015
Office of Legal Counsel
P.O. Box 7925
Madison, WI 53707-7925
If you are hearing or visually impaired, do not speak English, or have circumstances which might make communication at the hearing difficult and if you, therefore, require an interpreter or a non-English, large print or taped version of the hearing document, contact the person at the address or phone number above. A person requesting a non-English or sign language interpreter should make that request at least 10 days before the hearing. With less than 10 days notice, an interpreter may not be available.
Written Comments
Written comments on the proposed rules received at the above address no later than August 5, 2002, will be given the same consideration as testimony presented at the hearing.
Notice of Hearing
Financial Institutions - Division of Securities
NOTICE IS HEREBY GIVEN that pursuant to sections 551.63 (1) and (2), 551.27 (10), 551.32 (1) (a), (b), (c), (1s), (4), (7) and (8), and 551.33 (6), Stats., the Division of Securities of the Department of Financial Institutions will hold a public hearing at 345 West Washington Avenue, 4th Floor Conference Room, at 10:00 a.m. on Tuesday, August 20, 2002 to consider the adoption, amendment and repeal of rules in connection with its annual review of the administrative rules of the Division of Securities relating to the operation of ch. 551, Stats., the Wisconsin Uniform Securities Law.
Written comments in lieu of public hearing testimony may be submitted which must be received no later than the hearing date and should be addressed to the Administrator of the Division of Securities, 345 West Washington Avenue, PO Box 1768, Madison Wisconsin, 53701.
Statutory Authority: ss. 551.63 (1) and (2), 551.27 (10), 551.32 (1) (a), (b), (c), (1s), (4), (7) and (8), and 551.33 (6), Stats.
Statutes Interpreted: ss. 551.27 (10), 551.32 (1) (a), (b), (c), (1s), (4), (7) and (8), and 551.33 (6), Stats.
Analysis Prepared by the Division of Securities
The rulemaking procedures under ch. 227, Stats. are being implemented for the purpose of effectuating the Division's annual review of the Rules of the Division of Securities. The Division's annual rule revision process for 2002 is conducted for the following purposes: (1) Adopting new rules or amending existing rules, relating to the securities broker-dealer, agent, investment adviser, and investment adviser representative licensing provisions, to thereby effectively regulate new securities licensing developments that have occurred in the securities industry and marketplace that require regulatory treatment; (2) Repealing certain now-outdated interim rule provisions (or sections thereof) promulgated in 2001 that, at the time, established deadlines for filing initial and renewal license applications with the Division by investment advisers and investment adviser representatives using the national, electronic database of the Investment Adviser Registration Depository; and (3) Adding several recent or newly-amended North American Securities Administrators Association (“NASAA") securities registration policies to the current list of NASAA securities registration policies contained in existing rule s. DFI-Sec 3.03 (4), because the disclosure related provisions of such policies may be used by the Division for purposes of reviewing the adequacy of prospectus disclosures in securities registration applications filed with the Division.
A summary of the subject matter and nature of the more significant of the rule revisions follows:
1. Providing for the electronic filing procedure for licensure in Wisconsin of investment adviser representatives using the national, electronic database of the Central Registration Depository made available for use by all states as of March 2002.
2. Creating new subsections under the Licensing Period rules in s. DFI-Sec 4.07 (2) for securities agents and in s. DFI-Sec 5.07 (2) for securities agents qualified to perform the functions of an investment adviser representative, relating to the failure to comply with continuing education requirements recently adopted by the National Association of Securities Dealers (“NASD") and national securities exchanges, to provide that a license is not effective if the person's status with the NASD or a national securities exchange is deficient for failure to meet continuing education requirements.
3. Amending the language in a number of existing licensing procedure rules to clarify that initial and renewal licenses of investment advisers remain subject to filing under the Investment Adviser Registration Depository.
4. Repealing certain now-outdated interim rule provisions (or sections thereof) promulgated in 2001 that, at the time, established deadlines for filing initial and renewal license applications with the Division by investment advisers and investment adviser representatives using the national, electronic database of the Investment Adviser Registration Depository.
5. Adding to the current list of NASAA securities registration policies contained in existing rule s. DFI-Sec 3.03 (4), Wis. Adm. Code, that may be used by the Division for purposes of reviewing the adequacy of prospectus disclosures in securities registration applications filed with the Division, the NASAA Statements of Registration Policy relating to Mortgage Program Guidelines, Omnibus Guidelines, General Obligation Financing by Religious Denominations/Church Extension Fund Guidelines, and the amended version of the NASAA Statement of Policy Regarding Church Bonds as adopted by the NASAA membership in April, 2002.
Each Section that adopts, amends or repeals a rule is followed by a separate Analysis which discusses the nature of the revision as well as the reason for it.
A copy of the entirety of the proposed rule revisions to be considered may be obtained upon request to the Division of Securities, Department of Financial Institutions, 345 West Washington Avenue, 4th Floor, P.O. Box 1768, Madison, Wisconsin 53701. Additionally, the full text of the proposed rule revisions is available on-line at the DFI Website: www.wdfi.org/securities&franchising.
Fiscal Estimate
Types of small businesses that could be affected by certain of the rule revisions are:
Broker-dealer and investment adviser licensees under the Wisconsin Uniform Securities Law with fewer than 25 full-time employees who meet the other criteria of s. 227.114 (l) (a), Stats. The proposed revisions to the securities broker-dealer and investment adviser Rules of Conduct provisions are applicable equally to all broker-dealers and investment advisers because the requirements involved are for the protection and benefit of Wisconsin customers of those firms. All Wisconsin customers of securities broker-dealers and investment advisers are entitled to the public investor protection benefits of the licensing Rules of Conduct requirements, irrespective of the size of the firm providing the securities services. Under the rule revision procedure of the Division of Securities, a copy of the proposed rule revisions is mailed to each broker-dealer licensed in Wisconsin, as well as to each investment adviser licensed or notice-filed in Wisconsin, notifying them of the proposed revisions and soliciting written comments or attendance at the public hearing regarding the proposed rules.
A summary of the fiscal effects of the proposed rule revisions is as follows: (i) No one-time revenue fluctuations; (ii) No annual fiscal effects; (iii) No long-range fiscal implications; (iv) No fiscal effect on local units of government.
Initial Regulatory Flexibility Analysis:
1. Types of small businesses that could be affected by certain of the rule revisions are:
Broker-dealer and investment adviser licensees under the Wisconsin Uniform Securities Law with fewer than 25 full-time employees who meet the other criteria of s. 227.114 (l) (a), Stats. The proposed revisions to the securities broker-dealer and investment adviser Rules of Conduct provisions are applicable equally to all broker-dealers and investment advisers because the requirements involved are for the protection and benefit of Wisconsin customers of those firms. All Wisconsin customers of securities broker-dealers and investment advisers are entitled to the public investor protection benefits of the licensing Rules of Conduct requirements, irrespective of the size of the firm providing the securities services. Under the rule revision procedure of the Division of Securities, a copy of the proposed rule revisions is mailed to each broker-dealer licensed in Wisconsin, as well as to each investment adviser licensed or notice-filed in Wisconsin, notifying them of the proposed revisions and soliciting written comments or attendance at the public hearing regarding the proposed rules.
2. Reporting, bookkeeping and other procedures required for compliance with the rules.
No reporting, bookkeeping, or other procedures applicable to broker-dealers or investment advisers were added in this rulemaking package. In contrast, certain existing investment adviser reporting requirements (relating to filing with the Division copies of an investment adviser's federal Form ADV) were repealed.
Contact Person
A copy of the full text of the proposed rule revisions and fiscal estimate may be obtained from:
Randall E. Schumann - (608) 266-3414
Legal Counsel for the Division of Securities
Department of Financial Institutions
345 West Washington Avenue, 4th Floor
P. O. Box 1768
Madison, WI 53701
Additionally, the full text of the proposed rule revisions is available on-line at the DFI Website:
www.wdfi.org/securities&franchising.
Notice of Hearing
Public Instruction
[CR 01-069]
NOTICE IS HEREBY GIVEN That pursuant to ss. 115.996, 118.30 (2) (b) 2., and 227.11 (2) (a), Stats., and interpreting subch. VII of ch. 115 and 22. 118.30 and 121.02 (1) (r), Stats., the Department of Public Instruction will hold a public hearing as follows to consider the repeal of chs. PI 13 and 16 and recreation of ch. PI 13, relating to limited-English proficient pupils. The hearing will be held as follows:
Date and Time and Location
July 30, 2002   Madison
4:00 - 5:00 p.m.   GEF 3 Building
125 South Webster St.
Room 041
The hearing site is fully accessible to people with disabilities. If you require reasonable accommodation to access this meeting, please call Timothy Boals, Education Consultant, Bilingual/ESL programs, at (608) 267-1290 or leave a message with the Teletypewriter (TTY) at (608) 267-2427 at least 10 days prior to the hearing date. Reasonable accommodation includes materials prepared in an alternative format, as provided under the Americans with Disabilities Act.
Copies of Rule and Contact Person
The administrative rule is available on the internet at http://www.dpi.state.wi.us/dpi/dfm/pb/leprule.html. A copy of the proposed rule and the fiscal estimate may be obtained by sending an email request to lori.slauson@dpi.state.wi.us or by writing to:
Lori Slauson, Administrative Rules and Federal Grants Coordinator
Department of Public Instruction
125 South Webster Street
P.O. Box 7841
Madison, WI 53707
Written comments on the proposed rules received by Ms. Slauson at the above address no later than August 2, 2002, will be given the same consideration as testimony presented at the hearing. Comments submitted via email will not be accepted as formal testimony.
Analysis by the Department of Public Instruction
On June 12, 2001, the department submitted modifications to Chapter PI 16, Wis. Admin. Code, relating to testing of pupils with limited-English proficiencies and disabilities (CHR 01-069). However, as a result of on-going negotiations with the U. S. Department of Education, the department is now making germane modifications to CHR 01-069. The following paragraphs describe the original rule proposal (CHR 01-069) and the modifications made to CHR 01-069:
Original Rule Proposal (CHR 01-069):
Under s. 118.30, Stats., the state superintendent must adopt or approve examinations designed to measure pupil attainment of knowledge and concepts in the 4th, 8th, and 10th grades. Currently, the rules establish criteria and procedures to determine whether a pupil with limited-English proficiency (LEP) or a pupil having an exceptional educational need or EEN (now referred to as child with a disability) may be exempt from taking a test under s. 118.30, Stats.
The proposed rules:
Repeal the criteria and procedures relating to testing children with disabilities. In 1998, the legislature made sweeping changes to the statutes regarding special education for children with disabilities. The legislature also repealed most state rules regarding special education contained in ch. PI 11, Wis. Adm. Code. The reduction in state rules was intended to eliminate conflicts between the rules and the new state statute and federal law. In addition, in an effort to reduce regulatory complexity and potential incongruence between state rule and federal law, the department eliminated rules in areas adequately addressed by state statute or federal law. Because the provisions in the current rule under ch. PI 16 conflict with provisions in state statute and federal law, the proposed rule repeals the subchapter relating to testing children with disabilities. New rule language in this area is not necessary because testing and assessment issues relating to children with disabilities are already comprehensively addressed in state and federal special education statutes and regulations.
Ensure that all LEP pupils participate in the Wisconsin Knowledge and Concept Examinations (WKCE) unless it is determined, on a case by case basis, that such tests would not be a valid and reliable indicator of the pupil's academic knowledge and skills. The statutes require the state superintendent to set criteria by rule, regarding the testing of LEP pupils. The current rules conflict with federal regulations under the Elementary and Secondary Education Act because the rules automatically exempt LEP pupils at lower English proficiency levels from taking any of the Wisconsin Knowledge and Concept Examinations (WKCE).
Ensure that LEP pupils who do not participate in the WKCE are provided with a department-approved alternate assessment.
Clarify that exempting a pupil from taking the WKCE may not be used as the sole criterion in determining grade promotion, eligibility for courses or programs, eligibility for graduation or eligibility for postsecondary education opportunities. Current rule language could be interpreted to require school districts to promote or graduate an LEP pupil if the pupil is exempt from taking a standardized test.
Clarify that the criteria under this chapter also apply to the 4th grade test administered under s. 118.30, Stats. At the time the rules were originally developed, only the 8th and 10th grade tests were being administered under s. 118.30, Stats. Since that time, the 4th grade test was added to the WKCE administered under s. 118.30, Stats., and the rules should be changed accordingly.
Change the term “limited-English speaking" to “limited-English proficient" to be consistent with statutory terminology under s. 115.955 (7), Stats.
Modifications to CHR 01-069:
In December 2000, the department received correspondence from the U. S. Department of Education relating to certain aspects of Wisconsin's assessment system that “must be addressed in order for Wisconsin to remain eligible to receive Title I funds." Wisconsin receives more than $130 million annually in Title I funds. The following is a summary of the department's plan, in part, to fully implement the assessment and accountability provisions under Title I through a timeline waiver agreement with the U.S. Department of Education:
The department will work with school districts to increase the number of LEP pupils participating in the state assessment system (WKCE and WRCT).
All students will be included in the assessment system, either by participation in the state assessments (with or without accommodations) or by participation in alternate assessments, with results incorporated into school and district accountability determinations.
Additional accommodations will be provided, and administrative rules will be modified to ensure that all LEP pupils are appropriately assessed.
Alternate assessments will be provided for LEP pupils who are not able to demonstrate at least some of the knowledge and skills on the WKCE. Guidance as to who should participate in these assessments will be provided to districts.
In an effort to comply with U. S. Department of Education's timeline waiver agreement and to organize school district requirements relating to LEP pupils, the germane modifications to CHR 01-069 include:
Repealing chs. PI 13 and 16 and recreating and reorganizing the provisions under these chapters into a new ch. PI 13. The intent is to have all LEP pupil information under one chapter, rather than two chapters, making it easier for schools to find relevant information. The original modifications to ch. PI 13 proposed under CHR 01-069 remain intact but are now reorganized. Also, the provisions under ch. PI 16 for the most part remain intact except for the following:
  -The definitions used in determining the English proficiency level of an LEP pupil have been modified and a new definition, level 6 - formerly LEP now fully English proficient, has been added.
  -School boards are required to use a department-approved assessment in determining the English proficiency level of an LEP pupil.
  -Ensuring that all LEP pupils participate in the Wisconsin Reading Comprehension Test (WRCT) required under s. 121.02 (1) (r), Stats., unless it is determined, on a case by case basis, that such tests would not be a valid and reliable indicator of the pupil's academic knowledge and skills. Although the department does not have specific statutory authority to set criteria by rule regarding the testing of LEP pupils for the WRCT as it does with the WKCE, criteria for administering this test to LEP pupils are included for the following reasons:
  -For consistency, criteria should be the same when determining whether or not to administer any statutorily required test to an LEP pupil.
  -Under the federal No Child Left Behind Act (which reauthorized Title I), schools must annually assess math and reading skills in grades 3 through 8, and testing criteria for LEP pupils must be specified. To meet the provisions under the Act, the department will administer the WRCT in the 3rd grade and LEP pupils will continue to be included in that testing as specified in this rule.
  -Requiring certain information and assurances that were formerly required under chs. PI 13 and 16 to now be required in a school board's policy.
Fiscal Estimate
Chapter PI 16 establishes criteria relating to the testing of limited-English proficient (LEP) pupils in the 4th, 8th, and 10th grade assessments under s. 118.30, Stats. Currently, the state administrative rules exempt LEP pupils at lower proficiency levels from taking these tests. The proposed rules eliminate the automatic exemption of such pupils and require that all LEP pupils be tested unless it has been determined, on a case by case basis, that such tests would not be a valid and reliable indicator of the pupil's academic knowledge and skills. School districts may incur new costs if a translator is used to administer a standardized test to a pupil who is currently exempt. Additional costs will vary within each district depending on its decisions about whether to administer standardized tests and on its population of LEP pupils. However, since most school districts already offer these services to LEP pupils who are taking tests, as well as other services, these new costs are not expected to be significant.
Districts that meet the criteria under subch. VII of ch. 115, Stats., are eligible to be partially reimbursed by state bilingual-bicultural aids for costs resulting from implementing LEP programs. It is important to note that if the exemption of LEP pupils at lower English proficiency levels continues, the State of Wisconsin could lose more than $130 million in federal Title I funds because the U.S. Department of Education has found this practice to be out of compliance with federal regulations.
These proposed rules are not expected to result in new costs for the department.
Initial Regulatory Flexibility Analysis
The proposed rules are not anticipated to have a fiscal effect on small businesses as defined under s. 227.114 (1) (a), Stats.
Notice of Hearing
Transportation
[CR 02-092]
NOTICE IS HEREBY GIVEN that pursuant to s. 86.196 (2), Stats., and interpreting s. 86.196 (2), Stats., the Department of Transportation will hold a public hearing in Room 144-B of the Hill Farms State Transportation Building, 4802 Sheboygan Avenue, Madison, Wisconsin on the 30th day of July, 2002, at 1:00 p.m. to consider the amendment of ch. Trans 200, Wis. Adm. Code, relating to tourist-oriented directional signs.
An interpreter for the hearing impaired will be available on request for this hearing. Please make reservations for a hearing interpreter at least 10 days prior to the hearing.
The public record on this proposed rule making will be held open until close of business August 2, 2002, to permit the submission of written comments from persons unable to attend the public hearing or who wish to supplement testimony offered at the hearing. Any such comments should be submitted to John Noll, Department of Transportation, Bureau of Highway Operations, Room 501, P. O. Box 7986, Madison, WI 53707-7986.
Parking for persons with disabilities and an accessible entrance are available on the north and south sides of the Hill Farms State Transportation Building.
Analysis Prepared by the Wisconsin Department of Transportation
Statutory Authority: 86.196 (2), Stats.
Statute Interpreted: 86.196 (2), Stats.
General Summary of Proposed Rule
This proposed rulemaking will amend ch. Trans 200, relating to Tourist-Oriented Directional Signs (TODS), to include agricultural produce stands and Christmas tree farms in the TODS program qualifications as “seasonal attractions." The proposed amendments will establish criteria for signing the seasonal attraction types of businesses and provide minimum criteria for the advisory council for uniform evaluation and assessment of applications to make their recommendations to the Department to approve or deny applications.
Currently there is nothing covering “seasonal attractions" for the TODS program as far as agricultural produce stands and Christmas tree farms. The rule does cover seasonal tourist attractions but they must be open 3 consecutive months to qualify. The agricultural produce stands and Christmas tree farms would only be open less than 60 consecutive days. The Department of Agriculture would like the Department to help the people who have produce stands along the highway on premises to be able to put up some sort of temporary or permanent signage.
Fiscal Impact
The Department estimates that there will be no fiscal impact on the liabilities or revenues of any county, city, village, town, school district, vocational, technical and adult education district, sewerage district, or federally-recognized tribes or bands. The Department estimates that there will be no fiscal impact on state revenues or liabilities.
Initial Regulatory Flexibility Analysis
This proposed rule will have no adverse impact on small businesses.
Copies of Proposed Rule
Copies of the rule may be obtained upon request, without cost, by writing to John Noll, Department of Transportation, Bureau of Highway Operations, Room 501, P. O. Box 7986, Madison, WI 53707-7986, or by calling (608) 266-0318. Hearing-impaired individuals may contact the Department using TTY (608) 266-3096. Alternate formats of the proposed rule will be provided to individuals at their request.
Notice of Hearing
Workforce Development
(Chs. DWD 80 - 82)
[CR 02-094]
NOTICE IS HEREBY GIVEN that pursuant to ss. 102.15 (1) and 227.11, Stats., the Department of Workforce Development proposes to hold a public hearing to consider ch. DWD 80 relating to worker's compensation procedures on claim, payment after an order, reports by expert witnesses, and statement of employee.
Hearing Information
Friday, August 2, 2002 at 10:00 a.m.
GEF 1 Bldg., Room B105
201 E. Washington Avenue
Madison
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 that may make communication or accessibility difficult at the hearing, please call (608) 267-6704 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: s. 102.15 (1), Stats.
Statutes interpreted: ch. 102, ss. 40.65, 102.123, 102.17 (1) (b), 102.18 (1) (e), 106.25, 303.07 (7) and 303.21, Stats.
Section DWD 80.05 provides that for disputes coming under the jurisdiction of the department, either party may apply for relief and the department shall make the order or award that is lawful and just under the circumstances. In addition to worker's compensation claims under ch. 102, Stats., and duty disability under s. 40.65, Stats., the department has jurisdiction over death and disability benefits resulting from public insurrection under s. 106.25, Stats., county reforestation camps under s. 303.07 (7), Stats., and compensation to injured prisoners under s. 303.21, Stats.
The statutory section pertaining to death and disability benefits resulting from public insurrections was changed from s. 101.47, Stats., to s. 106.25, Stats., the section pertaining to county reforestation camps was changed from s. 56.07, Stats., to s. 303.07 (7), Stats., and the section for compensation to injured prisoners was changed from ss. 56.21 to 303.21, Stats.
The proposed amendment is a technical correction and does not involve policy or procedural change.
The proposed amendment deletes the references to obsolete statutory sections and updates the rule to reflect the current statutory sections for death and disability benefits resulting from public insurrections, county reforestation camps, and compensation to prisoners.
Section DWD 80.15 was created to set time limits for insurance carriers and self-insured employers to pay orders awarding benefits and payments required under ch. 102, Stats. The rule provides for payment of orders awarding compensation to be made within 21 days after the department mails a copy of the administrative law judges finding and order to that party's last known address and for amounts ordered by stipulation or compromise settlement payments within 10 days after the department mails a copy of the order to that party's last known address. Section 102.18 (1) (e), Stats., ch. 37, Laws of 2001, effective January 1, 2002, provides for a uniform 21 day payment standard for all orders including payments ordered by stipulation or compromise. The proposed amendment will require payment of all orders to be made within 21 days.
The language of the proposed amendment rule will conform the rule to the current statutory language in s. 102.18 (1) (e), Stats.
Section DWD 80.21 (4) prohibits testimony from expert witnesses concerning wage earning impairment (loss of earning capacity) to be received into evidence at a hearing unless the party offering the testimony notified the department and the other parties to the case of the intent to produce this testimony and the names of the witnesses involved. The rule requires that the notice must be given at least 30 days before a scheduled hearing.
Testimony or certified medical reports from expert witnesses offered by the party that raised the loss of earning capacity issue must be excluded from evidence under s. 102.17 (1) (b), Stats., if that party failed to notify the department and the other parties of interest at least 60 days before the hearing date of that party's intent to provide the testimony or reports and the names of the expert witnesses involved. Section 102.17 (7) (b), Stats., also provides for the exclusion from evidence testimony or reports from expert witnesses offered by a party in response to the loss of earning capacity issue, if the responding party failed to notify the department and other parties of the intent to provide the testimony or reports and the names of the expert witnesses at least 45 days before the hearing date. The department is given the authority in s. 102.17 (7) (c), Stats., to waive the 60 and 45 days notice requirements for good cause where no party is prejudiced by the delay.
The notice specified in the rule is significantly different from the notice requirements set forth in s. 102.17 (7) (b), Stats. The language of the proposed amendment will conform the rule to the current statutory notice requirements in s. 102.17 (7) (b), Stats.
Section DWD 80.24 requires that a copy of a statement must be provided to the employee when the employee gives a signed statement which in any way concerns his or her worker's compensation claim. The rule also requires that when a statement is taken by a recording device, a copy of the entire statement must be given to the employee or his or her attorney within a reasonable time after an application for hearing is filed with the actual recording available as an exhibit if a formal hearing is held. Use of the statement in any manner in connection with the employee's claim is precluded if the employer or insurance carrier fails to comply with the rule.
Section 102.123, Stats., Chapter 37, Laws of 2001, effective January 1, 2002, codified the conditions for use of statements by employees in worker's compensation cases. Section 102.123, Stats., requires that when an employee provides an employer or insurance carrier a signed statement relating to the claim, the employer or insurance carrier must give a copy of the statement to the employee within a reasonable time. The rule does not specify a time by which the employer or insurer must give a copy of the signed statement to the employee. Section 102.123, Stats., also requires that when the statement is recorded, the employer or insurer must reduce the statement to writing after a request by the employee or his or her agent or attorney and provide a written copy of the entire statement within a reasonable time after the statement is taken. The rule specifies that the employer or insurer is required to give the employee or his or her agent or attorney a written copy of a recorded statement within a reasonable time after an application for hearing is filed. Section 102.123, Stats., does not require the filing of an application for hearing before providing a written copy of a recorded statement.
The requirements for use of statements by employees concerning claims have been codified in s. 102.123, Stats. Repeal of the rule is necessary since use of statements by employees was codified by creation of s. 102.123, Stats., and the public policy consideration of the need to avoid confusion generated by different requirements contained in the rule and s. 102.123, Stats.
Fiscal Impact
The proposed rule changes are technical corrections and have no fiscal effect.
Initial Regulatory Flexibility Analysis
The proposed rules do not affect small business as defined in s. 227.114, Stats.
Contact Information
The proposed rules are available on the DWD web site at http://www.dwd.state.wi.us/dwd/hearings.htm.
A paper copy may be obtained at no charge by contacting:
James O'Malley
Bureau of Legal Services
Worker's Compensation Division
Dept. of Workforce Development
201 E. Washington Avenue
P.O. Box 7901
Madison, WI 53707-7901
(608) 267-6704
Written Comments
Written comments on the proposed rules received at the above address no later than August 7, 2002, 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.