Wis. Admin. Code Adm — Department of Administration

Chapter Adm 1 PARKING

Wis. Admin. Code § Adm 1.01 Police and security officers {#sec-adm-1.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.01}

The department of administration shall appoint police and security officers to safeguard all public property under its control. Police and security officers shall have the powers provided in s. 16.84 (2), Stats., and shall be authorized to enforce s. 16.843, Stats., and any rule promulgated under s. 16.843, Stats.

History

Cr. Register, December, 1965, No. 120, eff. 1-1-66 am. Register, February, 1970, No. 170, eff. 3-1-70; r. and recr., Register, May, 1982, No. 317, eff. 6-1-82; am. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 1.03 Motor vehicle rules {#sec-adm-1.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.03}

(1)

(a) A person who does not hold a valid and current operator’s license issued under ch. 343, Stats., may not operate any motor vehicle on any roadway or in any parking area under the control of the department of administration unless the person is exempt from being licensed under the provisions of s. 343.05, Stats.

(b) No person may operate any motor vehicle on any roadway or in any parking area under the control of the department of administration unless the same has been properly registered as provided by ch. 341, Stats., unless the vehicle is exempt from being registered under the provisions of s. 341.05, Stats.

(2) All provisions of ch. 346, Stats., entitled “Rules of the Road” which are applicable to highways as defined in s. 340.01 (22), Stats., are hereby adopted for the regulation of traffic on the roadways and parking areas under the control of the department of administration except as follows:

(a) Provisions of ch. 346, Stats., which are in conflict with any specific provision of these regulations.

(b) Sections 346.61 through 346.655, Stats.

(3) If any provision of this regulation is invalid, or if the application thereof to any person or circumstance is invalid, such invalidity shall not affect other provisions or applications which can be given effect without the invalid provision or application.

History

Cr. Register, December, 1965, No. 120, eff. 1-1-66; am. (1) (a), Register, May, 1982, No. 317, eff. 6-1-82; am. (1), (2) (intro.), r. (2) (b), renum. (2) (c) to be (2) (b) and am., Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 1.04 Parking {#sec-adm-1.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.04}

(1) Parking on the grounds of the state office buildings and at other state facilities may be regulated by means of official traffic signs, markers or parking meters in the same manner as the stopping, standing or parking of vehicles is regulated pursuant to ss. 349.13 and 349.14, Stats. Failure to comply with requirements of such signs, markers, or parking meters shall constitute a violation of this chapter.

(2) Stopping, standing or parking on the grounds of the state office buildings and at other state facilities is prohibited in those areas where stopping, standing or parking is prohibited by ch. 346, Stats.

History

Cr. Register, December, 1965, No. 120, eff. 1-1-66; am., Register, May, 1982, No. 317, eff. 6-1-82.

Wis. Admin. Code § Adm 1.05 Allocation of parking spaces {#sec-adm-1.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.05}

Except for the capitol and the executive residence, the preceding department shall allocate available space at every state-owned office building and at other state facilities in the following order of priority:

(1) Accommodation for fire, police, and other emergency vehicles, and for service vehicles. Parking shall be provided in suitable locations for these vehicles.

(2) Accommodation for disabled employees. An employee’s disability shall be shown by a statement from a physician, an advanced practice nurse, a physician assistant, a chiropractor or a Christian science practitioner, indicating that the employee is disabled according to those standards established in s. 341.14, Stats. Parking for vehicles with special identification cards for the physically disabled pursuant to s. 343.51, Stats., shall be provided as close as possible to an entrance which can be used by disabled employees. Disabled employees allocated parking under this section shall not be exempted from payment for parking privileges under s. 16.843 (2), Stats.

(3) Accommodation for disabled visitors. Motor vehicles using public parking stalls or spaces designated for individuals with disabilities shall be equipped with license plates issued to or for disabled persons pursuant to s. 341.14, Stats. Parking for vehicles with special identification cards for the physically disabled pursuant to s. 343.51, Stats., shall be provided as close as possible to an entrance which can be used by disabled visitors.

(4) Accommodation for the public that transacts business with tenant departments except at buildings where a public parking facility is available in the immediate vicinity.

(5) Provision for program-related parking. Parking for state-owned and licensed vehicles may be provided. An employee’s personal vehicle that is used extensively in the employee’s work may be considered program-related.

(6) Personal parking stalls and spaces for employees of tenant agencies as allocated by the department of administration, according to the following priority:

(a) Top management as recommended by the tenant agency and approved by the department of administration.

(b) Carpools and vanpools having at least 2 passengers in addition to the driver. At least 2 individuals in the pool must be employees of the state of Wisconsin.

In existing buildings, parking spaces shall be assigned to the employees who first submitted applications.
In new buildings, if there are not enough parking stalls for every applicant, then initial assignments shall be made by a random drawing.

In existing buildings, parking spaces shall be assigned to the employees who first submitted applications.
In new buildings, if there are not enough parking stalls for every applicant, then initial assignments shall be made by a random drawing.

(7) Providing parking in a parking lot near the building or facility even though there may be another parking lot closer to the building or facility shall constitute compliance with any of the priorities established by subs. (4) to (6).

(8) Parking assignment may be issued on a temporary basis and may be withdrawn upon notice to the person requesting the parking assignment.

History

Cr. Register, December, 1965, No. 120, eff. 1-1-66 am. (3), Register, February, 1970, No. 170, eff. 3-1-70; renum. (1) (intro.) to be (intro.) and am., renum. (1) (a) to be (1) and am., r. (1) (b), (2) and (3), cr. (2), (3) and (7), renum. (1) (c) to (e) to be (4) to (6) and am., Register, May, 1982, No 317, eff. 5-1-82; correction in (6) made under s. 13.93 (2m) (b) 1., Stats., Register, March, 1993, No. 447; am. (2), (4) and (6) (b) (intro.), cr. (8), Register, March, 1998, No. 507, eff. 4-1-98; CR 21-110: am. (2), (3) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 1.06 Identification {#sec-adm-1.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.06}

To facilitate the administration of this chapter, the state capitol police shall procure numbered identification tags, window stickers, magnetic cards or other means of identification and shall issue such means of identification to eligible employees who have agreed to pay the established fee. Parking in stalls and spaces without the proper means of identification is prohibited.

History

Cr. Register, May, 1982, No. 317, eff. 6-1-82; am. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 1.07 Subleasing {#sec-adm-1.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.07}

Subleasing of parking stalls is prohibited.

History

Cr. Register, May, 1982, No. 317, eff. 6-1-82.

Wis. Admin. Code § Adm 1.08 Payment {#sec-adm-1.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.08}

Employees may be required to pay for parking through payroll deduction.

History

Cr. Register, May, 1982, No. 317, eff. 6-1-82.

Wis. Admin. Code § Adm 1.09 Withdrawal of parking {#sec-adm-1.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.09}

Except for noncompliance with this chapter, non-payment of parking fees, reallocation of agency space, or withdrawal of parking privileges under s. Adm 1.05 (8), the department of administration may not withdraw parking privileges after a parking stall is assigned. The department may reallocate parking spaces of a tenant agency if the number of full-time employees at the tenant agency’s facility is reduced.

History

Cr. Register, May, 1982, No. 317, eff. 6-1-82; am. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 1.10 Towing {#sec-adm-1.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.10}

Whenever any police officer or security officer finds a motor vehicle in violation of these rules, the officer is authorized to move the vehicle, have a wrecker service tow the vehicle, or to require the operator to remove the vehicle from state property. The operator or owner of the vehicle removed shall pay all charges for moving or towing or any storage involved.

History

Cr. Register, May, 1982, No. 317, eff. 6-1-82; am. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 1.12 Penalties {#sec-adm-1.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 1.12}

The penalties for violating these rules are those set forth in s. 16.843 (2), Stats. The department of administration may also withdraw parking privileges for violation of these rules.

History

Cr. Register, December, 1965, No. 120, eff. 1-1-66; am. Register, February, 1970, No. 170, eff. 3-1-70; renum. from Adm 1.06 and am., Register, May, 1982, No. 317, eff. 6-1-82.

Chapter Adm 2 USE OF STATE BUILDINGS AND FACILITIES

Wis. Admin. Code § Adm 2.01 Managing authority {#sec-adm-2.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.01}

The managing authority, as defined in s. 16.845 (2) (b), Stats., of the state office buildings and facilities shall be the department as provided in s. 16.84 (1), Stats. The department, when lessee, shall be the managing authority of properties leased or rented by the state of Wisconsin.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 2.02 Designation of state office buildings and facilities {#sec-adm-2.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.02}

(1) The following buildings and facilities are hereby designated as state office buildings and facilities for the purpose of use management under this chapter:

(a) State capitol building.

(b) State capitol park.

(c) Any other buildings and facilities currently owned and hereafter constructed, purchased, or acquired by the state including lands and structures acquired for site development, when said buildings, facilities, and lands are under the managing authority of the department.

(2) Real properties leased or rented by the state of Wisconsin with the department as lessee and agent are hereby designated as state office buildings and facilities for the purpose of use management under this chapter. Law enforcement services may be provided for state agencies at such facilities by an agreement with the department.

(3) The executive residence and grounds, 99 Cambridge Road, Village of Maple Bluff, Madison, Wisconsin, is hereby designated as a state building for the purpose of use management under this chapter. The prime use of this building and grounds is as a private residence for the governor of Wisconsin and the managing authority shall permit only public utilization which does not encroach upon the privacy of a residence, and shall permit any utilization only with the consent of the governor.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98; EmR1321: emerg. am. (1) (a), eff. 11-27-13; CR 14-001: am. (1) (a) Register July 2014 No. 703, eff. 8-1-14.

Wis. Admin. Code § Adm 2.03 Definitions {#sec-adm-2.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.03}

In this chapter:

(1) “Closed building” means the building is not open to public access and access must be gained by key, access card, electronic means or by a representative of the department.

(2) “Commercial enterprise” includes any effort directed at personal or corporate gain, or any sales or solicitation to sell.

(3) “Department” means the department of administration.

(3m) “Event” includes any performance, ceremony, festival, reception, presentation, meeting, picket, rally, parade, demonstration, organized tours not led by department or legislative staff or officials, or the like, held in public areas of state facilities or buildings. The term “event” does not include activities such as: informal tourist activities or constituents or members of the public visiting elected officials or otherwise conducting routine business with any state agency or state entity.

(3r) “Exhibit” includes any display of art work, including but not limited to paintings, sculptures, arts and crafts, photographs, or other artistic materials; public service and educational presentations; signs or banners that are not held by an individual; signs or banners which are held by an individual but which are larger than 28 inches in length or width; historical displays; and the like.

(4) “Graphic or artistic material” includes all items introduced to inform, educate, advertise, promote, identify, or decorate.

(5) “Permit” means written permission from the department specifying that a function or act will be authorized at a given location, date, and time in accordance with s. 16.845, Stats.

(6) “Political activity” includes activities of partisan and nonpartisan candidates, political organizations and political parties.

(6m) “Spontaneous event” means an event in response to an unforeseen triggering event that has occurred within the previous three (3) calendar days, or is currently occurring. Regularly scheduled events, or events advertised by any means, including but not limited to electronic social media, 3 or more calendar days prior to the starting date are presumptively not “spontaneous events” within the meaning of this chapter.

(7) “Tenant agency” includes all boards, commissions, departments or bodies connected with state government, housed in a state office building or facility, or in property leased or rented by the department.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98; EmR1321: emerg. cr. (3m), (3r), (6m), eff. 11-27-13; CR 14-001: cr. (3m), (3r), (6m) Register July 2014 No. 703, eff. 8-1-14.

Wis. Admin. Code § Adm 2.04 Public meetings and events {#sec-adm-2.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.04}

(1) With the exception of areas in the state capitol building reserved for use by the legislature, the use of which shall be as determined by the legislature, the department, as managing authority of the state office buildings and facilities, may allow buildings and facilities to be used by any person for an event or to display an exhibit if the use:

(a) Does not interfere with the prime use of the building or facility.

(b) Does not unduly burden the managing authority.

(d) Does not expose the state to the likelihood of expenses or damages which cannot be recovered.

(e) Is appropriate to the physical context of the building or facility.

(1m) Subject to the discretion of the department, permits shall be allowed for any event or exhibit, and use by a person giving advance notice shall be allowed for any event. The department’s exercise of discretion shall be limited and based upon the following considerations:

(a) Events or exhibits, whether based upon permit or advance notice shall not be restricted, denied, or disallowed based upon the content of the event or exhibit.

(b) Events or exhibits, whether based upon permit or advance notice shall not be restricted, denied, or disallowed on the basis of age, race, creed, color, disability, marital status, sex, sexual orientation, national origin, ancestry, arrest or conviction record, religion, or political affiliation of the person applying for the permit or giving notice.

(c) Events or exhibits, whether based upon permit or advance notice shall be restricted, denied, or disallowed if the requested use conflicts with a previously granted permit.

(d) Events or exhibits, whether based upon permit or advance notice shall be restricted, denied, or disallowed if the person, group, or organization requesting the permit or providing the notice has failed to pay any uncontested invoice for expenses or damages arising out past events or exhibits.

(e) Permits may be disallowed if the permit application form is not fully completed or signed by a person who is legally competent to contract and to sue or be sued.

(f) Events or exhibits, whether based upon permit or advance notice shall be restricted, denied, or disallowed if the permit or notice request contains a material falsehood or misrepresentation.

(g) Events or exhibits, whether based upon permit or advance notice may be restricted, denied, or disallowed if the requested use conflicts with planned programs organized and conducted by the department, any state agency, or any state official or body of state officials such as tour groups led by department staff.

(h) Events or exhibits, whether based upon permit or advance notice may be restricted, denied, or disallowed if the person, group, or organization requesting the permit or providing the notice has, in the course of receiving a permit in the past, made material misrepresentations regarding the nature or scope of an event or exhibit.

(j) Events or exhibits, whether based upon permit or advance notice shall be restricted, denied, or disallowed if the proposed use involves activity prohibited by law.

(k) Advance notices may be disallowed, limited, or the use relocated if a permit is subsequently granted for use of the space requested in the advance notice.

(L) Conformance with any provision of this chapter, including, but not limited to, s. Adm 2.04 (1).

(2) An applicant for a permit to use buildings and facilities shall complete a written application to the department at least 72 hours in advance of the anticipated utilization of the building or facility. In the event of a potential conflict between two or more permit requests each request shall be considered in the order it was received.

(2m) The department may allow use of a portion of the interior of the state capitol building to a person providing advance notice to the department of an event at least two business days in advance of the anticipated utilization of the building or facility.

(2r) The department may allow use of a portion of the interior of the state capitol building to a person providing contemporaneous notice of a spontaneous event.

(2z) The department may allow use of the ground floor or first floor of the rotunda of the state capitol building to 12 or fewer persons for an event without any person applying for a permit, without providing advance notice, and without the event being a spontaneous event under this section.

(3) An applicant for the use of buildings and facilities shall be liable to the state for injury to the state’s property, for any expense arising out of the use, and for such sums as the department may charge for the use as provided in s. 16.845 (1), Stats. The department may publish content-neutral guidance further limiting or explaining potential imposition of charges.

(4) An applicant may charge a reasonable admission fee to the public, subject to the approval and pursuant to the conditions established by the department.

(5) The department and the applicant may not discriminate against any individual on the basis of age, race, creed, color, disability, marital status, sex, sexual orientation, national origin, ancestry, arrest record, or conviction record in the utilization of state office buildings and facilities for government business, public meetings for free discussion of public questions, or for civic activities.

(6) The utilization of state office buildings and facilities by an organization shall not imply endorsement or approval by the state of Wisconsin or the department, nor the extension of special privilege. Likewise, the refusal by the department to permit use of a state office building or facility shall not be interpreted as disapproval or censure of any organization, but shall be for any violations of the conditions set forth in sub. (1) (a) to (e).

(7) The granting of permission to use a state office building or facility does not obligate the department to furnish the applicant any service or utilities, or render any support with personnel, equipment, or supplies. The department may furnish assistance and may charge for any expense arising out of the use of a building or facility. The department may inspect any equipment or apparatus brought in for any event or exhibit, and may limit or prohibit the use of any items which might affect safety or the normal operation of the building.

(8)

(a) The department shall grant a permit to any organization filing a written request to hold a ceremony in the state capitol building or on the state capitol park grounds on veterans day, November 11, for the purpose of commemorating the end of hostilities in the nation’s wars. If more than one organization applies for a permit, requests submitted by veterans’ organization identified in ch. 188, Stats., or s. 15.497, Stats., shall be given preference. If more than one veterans’ organization applies for a permit, the requests shall be processed and the permits granted in the order in which they were received. Notwithstanding any provision of this subsection, the Madison veterans council shall have first priority if it applies for a permit.

(b) The permit shall be issued for any period requested, including business hours, but not to exceed 2 hours. No 2 veterans organizations may be granted permits for the same time period except for organizations conducting joint ceremonies.

(c) A ceremony under this section may include a band or an orchestra, but may not include the discharge of firearms inside the state capitol building.

(9) If any word, phrase, section, or other portion of this chapter, or any written guidance issued under this chapter’s authority, is held unconstitutional or otherwise invalid by a court of competent jurisdiction, then such holding shall not affect the validity of the remainder of this section or any other section in this chapter, which shall remain in force and not be affected by such holding.

(10) If a person or organization is aggrieved by a decision of the state capitol police staff with respect to the denial, disallowance, or limitation of any permit or advance notice, an appeal may be taken to the chief of state capitol police within 3 business days of that decision. The appeal shall be in writing, stating the basis of the appeal and the relief sought, and attaching any relevant information or documents. The chief of state capitol police may deny an appeal, grant an appeal, or grant an appeal subject to conditions consistent with this chapter. Appeal decisions by the chief of state capitol police shall be in writing and shall be made within 3 business days. Appeals not granted by the chief of state capitol police are deemed denied. Decisions of the chief of state capitol police under this sub-section shall be deemed final agency decisions.

Note: An application for use of state office buildings and facilities may be obtained from the Department of Administration, State Capitol Police, P.O. Box 7864, Madison, Wisconsin 53707.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98; EmR1321: emerg. am. (1) (intro.), cr. (1m), am. (2), cr. (2m), (2r), (2z), am. (3), (5), (7), cr. (9), (10), eff. 11-27-13; CR 14-001: am. (1) (intro.), cr. (1m), am. (2), cr. (2m), (2r), (2z), am. (3), (5), (7), cr. (9), (10) Register July 2014 No. 703, eff. 8-1-14; CR 21-110: am. (1m) (b), (5) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 2.05 Personal and commercial solicitation {#sec-adm-2.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.05}

(1) No person or organization may solicit contributions for charitable or nonprofit organizations within the state office buildings and facilities, upon the grounds thereof, or within state capitol park without express written approval of the department.

(2) No person or organization may solicit to sell or consummate sale of any merchandise or service within the state office buildings and facilities, upon the grounds thereof, or within state capitol park without the express written approval of the department.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 2.06 Handbills and other literature {#sec-adm-2.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.06}

(1) No handbills, literature, promotional materials or devices which advertise, promote or identify a commercial enterprise may be distributed within or on the grounds of the state office buildings and facilities or on the grounds of state capitol park without the express written authority of the department. The department may enforce the size, advertising message and location for distribution of permitted materials.

(2) No person may litter in any state building or facility, or on state grounds by the distribution of handbills, literature, promotional materials or devices. Regulation of conduct in respect to littering shall be under the provision of s. 16.84 (2), Stats., and the respective anti-litter ordinances of the municipalities in which state office buildings and facilities are located.

(3) If the department approves a request to distribute handbills, literature or promotional materials on or in buildings and facilities managed or leased by the department, the department shall designate the time and location for the distribution.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 2.07 Exterior and interior displays and decorations {#sec-adm-2.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.07}

(1) Flags. The United States flag and the flag of the state of Wisconsin shall be the only flags flown, hung, or displayed from any state office building or facility, except as the governor may direct.

(2) Displays and decorations. No exhibit may be erected, attached, mounted, or displayed within or on the building or the grounds of any state office building or facility without the express written authority of the department. Any exhibit advertising, promoting, or identifying a commercial enterprise or a political activity is prohibited except as indicated in sub. (4). Any unauthorized exhibit shall be removed and disposed of by the department. This provision shall not be applied to any individual who holds a sign that is not larger than 28 inches in length or width, or to any item of clothing worn by an individual. The department may set reasonable time limits on permitted activities.

(3) Unauthorized material. The use of stickers, labels, cellophane pressure sensitive tape, screws, nails or any other mounting technique adversely affecting the structural or decorative integrity of a state office building or facility is prohibited. Where there has been a violation, the material will be immediately removed and the cost of restoration may be charged to the person or agency responsible.

(4) Department approval. Commercial organizations sponsoring a non-profit event may be acknowledged during that event with permission of the department. The department may specify the size and location of any display, sign, banner or graphic and artistic material, as indicated in sub. (2).

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98; EmR1321: emerg. am. (2) eff. 11-27-13; CR 14-001: am. (2) Register July 2014 No. 703, eff. 8-1-14.

Wis. Admin. Code § Adm 2.08 Introduction of equipment and hazards {#sec-adm-2.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.08}

(1) To provide a place of employment that is safe for employees and frequenters thereof, pursuant to s. 101.11, Stats., the department shall have the right to confiscate and dispose of any hazard to the life, health, safety or welfare of state employees or the public. The department shall have the right to correct or eliminate any hazardous situation arising out of any action by a tenant agency or individual and to charge the tenant agency or individual for costs incurred to correct or eliminate any hazardous situation or practice by a tenant agency. Any person who refuses to remove or correct any hazardous situation at the request of any department employee shall be subject to citation pursuant to s. Adm 2.14 (2) (zd). These hazards include, but are not limited to, the following:

(a) Supplies, goods or materials stored in the public corridors of the buildings and facilities managed or leased by the department.

(b) Any equipment, apparatus or machines which fail to comply with the state administrative code and local fire code, unless exempted. All equipment shall be approved by the department prior to delivery and installation.

(c) Any personal property introduced into buildings and facilities managed or leased by the department if the operation of said property is dependent upon the electrical or other utility service of the building, without prior express written approval of the department. The department shall not be liable for any personal property located within buildings and grounds controlled by the department regardless of whether the property is or is not permitted.

(d) Holiday trees or holiday decorations or other displays, decorations, signs, banners, or the like introduced in buildings and facilities managed or leased by the department without the approval of the department or contrary to the manner instructed by the department.

(e) Parked bicycles as defined in s. 340.01 (5), Stats., mopeds as defined in s. 340.01 (29m), Stats., motor bicycles as defined in s. 340.01 (30), Stats., and motorcycles as defined in s. 340.01 (32), Stats., on or in buildings and facilities managed or leased by the department, except in designated parking stalls or bicycle racks. State-owned two- and three-wheeled cycles are exempt from the provisions of this section.

(f) The introduction or use of equipment that causes interference to electrical and mechanical systems in buildings and facilities managed or leased by the department, or creates a condition in violation of state administrative code. Violators may be responsible for all costs incurred by the department for any violations.

(2) A tenant agency shall not allow materials to accumulate in buildings and facilities managed or leased by the department in such a way as to create a hazard or to interfere with the efficient operation or maintenance of ventilation or other building systems.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98; EmR1321: emerg. am. (1) (intro.), (d), eff. 11-27-13; CR 14-001: am. (1) (intro.), (d) Register July 2014 No. 703, eff. 8-1-14.

Wis. Admin. Code § Adm 2.09 Leasehold improvements {#sec-adm-2.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.09}

A tenant shall not make leasehold improvements nor introduce window treatments, floor coverings or private property in a building or facility managed or leased by the department without the express written approval of the managing authority. Leasehold improvements include, but are not limited to, structural changes or modifications, systems furniture work stations, or additions and changes in lighting, heating, ventilation, telephone systems and data networks. Title to approved leasehold improvements shall remain with the managing authority regardless of the source of funds. Window treatments and floor coverings include, but are not limited to, drapes, blinds, rugs and carpeting. Private personal property includes furniture and other furnishings not owned by the state. Contractors hired by tenant agencies to install or maintain leasehold improvements shall be approved by the managing authority and shall report each day to the managing authority prior to starting work.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 2.10 Furniture and other furnishings {#sec-adm-2.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.10}

Furniture and other furnishings purchased from building project funds or department appropriations shall remain an asset of the building under the direction of the managing authority. When a tenant agency moves, it may take only those items of furniture and equipment purchased from its agency funds.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 2.11 Confiscation of materials {#sec-adm-2.11 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.11}

Property confiscated by the department for violation of this chapter shall be stored by the managing authority until the owner provides proof of ownership, unless confiscated pursuant to s. Adm 2.08 (1). Property confiscated pursuant to this chapter may be disposed of 30 days after confiscation if unclaimed.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98; EmR1321: emerg. am., eff. 11-27-13; CR 14-001: am. Register July 2014 No. 703, eff. 8-1-14.

Wis. Admin. Code § Adm 2.12 Concessions {#sec-adm-2.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.12}

(1) The establishment of concession stands and the granting of vending franchises in buildings and facilities managed or leased by the department rest with the business enterprise program for blind persons, division of vocational rehabilitation, department of workforce development, as specified in s. 47.03, Stats. No other concession stands or vending machines may be operated in the state office buildings and facilities.

(2) The business enterprise program for blind persons, division of vocational rehabilitation, department of workforce development, shall be tendered the opportunity to establish concession stands and vending franchises under s. 47.03 (5) and (7), Stats., in buildings and facilities leased or rented by the department when the lease permits the activity and a need is apparent. If the business enterprise program for blind persons declines the option, the department may negotiate a vending machine franchise with profits, if any, deposited in the general fund.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 2.13 Building use during closed periods {#sec-adm-2.13 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.13}

(1) The buildings and facilities managed or leased by the department shall be used by state employees for the purpose of state work. Employees, vendors on state contract, and the public who use the buildings and facilities after those buildings are locked and secured by the managing authority, shall have express written permission of the managing authority.

(2) The tenant agency shall be responsible for any costs incurred by the department due to the actions of employees, visitors and vendors permitted into buildings and facilities managed or leased by the department by employees of tenant agencies when the buildings and facilities are closed.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Wis. Admin. Code § Adm 2.14 Rules of conduct {#sec-adm-2.14 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.14}

(1) The following definitions shall apply under this section:

(a) “Alcoholic beverage” has the meaning given in s. 125.02 (1), Stats.

(b) “Cannabis” means the resin extracted from any part of the plant Cannabis sativa L., or any other nonfibrous extract from any part of the plant containing delta-9-tetrahydrocannabinol.

(d) “Drug paraphernalia” means all equipment, products and materials of any kind as defined in s. 961.571, Stats.

(e) “Handout” means food, clothing, money or other item of value donated to a person.

(f) “Marijuana” means all parts of the plant cannabis Sativa L., whether growing or not; the seeds thereof; and every compound, manufacture, salt, derivative, mixture, or preparation of the plant or its seeds. It does not include cannabis or any other compound, manufacture, salt, derivative, mixture, or preparation of the mature stalks, fiber, oil, or coke, or the sterilized seed of the plant which is incapable of germination.

(g) “Panhandle” means to beg for money.

(h) “Practitioner” means all of the following:

A physician, dentist, veterinarian, podiatrist, scientific investigator, or other person licensed, registered, or otherwise permitted to distribute, dispense, conduct research with respect to or administer a controlled substance in the course of professional practice or research in this state.
A pharmacy, hospital, or other institution licensed, registered, or otherwise permitted to distribute, dispense, conduct research with respect to, or administer a controlled substance in the course of professional practice or research in this state.

(i) “Prostitution” means the solicitation for or acceptance of payment for sexual services.

(j) “Public place” means a place which is in public ownership or a place to which the public has access, as distinguished from a private place.

(2) In order to preserve the order that is necessary for the enjoyment of freedom by occupants of and visitors to the buildings and facilities, and in order to prevent activities that physically obstruct access to department lands and buildings or prevent the state from carrying on its instructional, research, public service, or administrative functions, and pursuant to s. 16.846, Stats., whoever does any of the following shall be subject to a forfeiture of not more than $500:

(a) Without a permit, possesses an open container which contains an alcoholic beverage on the grounds or in public places of those buildings and facilities managed or leased by the department.

(b) Without a permit, consumes alcoholic beverages on the grounds or in those buildings and facilities managed or leased by the department.

(c) Smokes a cigarette, a pipe or a cigar in any area which is not designated by sign as a smoking area in those buildings and facilities managed or leased by the department.

(d) Without authorization, enters private offices or nonpublic areas in those buildings and facilities managed or leased by the department.

(e) Without the express written approval of the department, uses a public address system or sound amplification system, or any device capable of amplifying sound, including but not limited to musical instruments, in those buildings and facilities managed or leased by the department.

(f) Fails to comply with any existing noise ordinances of the communities in which those buildings and facilities managed or leased by the department are located unless specified by the department. The department shall first notify the party responsible for the sound amplification equipment or public address system to reduce the level to the prescribed decibel level.

(fm) Participates in an event at the Wisconsin State Capitol that engages in violent, abusive, indecent, profane, boisterous, unreasonably loud, or otherwise disorderly conduct under circumstances where the conduct tends to cause or provoke a disturbance that produces sound in excess of 90 decibels as measured on an “A” weighted decibel scale within 25 feet of the event, and the event hinders or impedes a prime use of the building, including hearings of the Supreme Court of Wisconsin, hearings of any legislative body or committee thereof, meetings between constituents and their constitutional officers, the work of constitutional officers and their respective staffs, educational tours of the building and the like. An officer in determining if the noise exceeds 90 decibels shall use reasonably appropriate testing methods. The department shall first notify the group that their event is not compliant with this subsection and no citation shall be given for a violation of this subsection unless the issuing officer first affords the person an opportunity to stop and disperse. This subsection does not preclude the application of s. Adm 2.14 (2) (k) in any circumstances.

(g) Fails or refuses to return access devices pursuant to s. Adm 2.15.

(h) With the intent to annoy another, makes a telephone call from or to a telephone located in those buildings and facilities managed or leased by the department or on state properties surrounding those buildings, whether or not conversation ensues.

(i) Procures or attempts to procure a handout from another person in a manner or under circumstances manifesting an express or implied threat of coercion. Among the circumstances which may be considered in determining whether such purpose is manifested are any of the following:

The person is a known panhandler.
The person repeatedly and in a threatening fashion beckons to, stops or attempts to stop passersby.
The person engages passersby in threatening conversation.
The person utilizes threatening bodily gestures.

(im) The violator’s conduct must demonstrate a specific intent to induce, solicit or procure goods or money from another person by threat or coercion. No arrest shall be made for a violation of this subsection unless the arresting officer first affords the person an opportunity to explain their conduct.

(j) Brings a live animal into those buildings and facilities managed or leased by the department, with the exception of dogs used to assist physically disabled individuals or with the express written permission of the department.

(k) Engages in violent, abusive, indecent, profane, boisterous, unreasonably loud or otherwise disorderly conduct under circumstances where the conduct tends to cause or provoke a disturbance in public places or private areas in those buildings and facilities managed or leased by the department, or on state properties surrounding those buildings.

(L) For the owner or keeper of any animal, permits the same to run at large in those buildings and facilities managed or leased by the department, or on state properties surrounding those buildings. Animals shall be deemed at large unless under the control of a person or restrained by means of a chain, rope or cord of sufficient strength and of a length not to exceed six feet to control the action of the animal. The department may prohibit animals at certain public events upon notification to the public.

(m) Without a permit, operates devices such as skateboards, coasters, roller-skates, sleds, toboggans or other similar devices, in those buildings and facilities managed or leased by the department, or on state properties surrounding those buildings.

(n) Loiters in or near any thoroughfare or public place in a manner and under circumstances for the purpose of inducing, enticing, soliciting or procuring another to commit an act of prostitution. Among the circumstances which may be considered in determining whether such purpose is manifested are the following:

The person is a known prostitute or panderer.
The person repeatedly beckons to, stops, or attempts to stop or engages male or female passersby in conversation.
The person repeatedly stops or attempts to stop motor vehicle operators by hailing, waving of arms or any other bodily gestures.

(nm) The violator’s conduct must be such to demonstrate a specific intent to induce, entice, solicit or procure another to commit an act of prostitution. No arrest shall be made for a violation of this subsection unless the arresting officer affords the person an opportunity to explain their conduct.

(o) Urinates or defecates in areas that are not officially identified for that purpose in buildings or facilities managed or leased by the department, or on properties surrounding those buildings.

(p) Enters a locked building or facility managed or leased by the department, or on the grounds surrounding the executive residence, without the approval of the department or the tenant agency.

(q) Scales or attempts to scale exterior walls of those buildings and facilities managed or leased by the department.

(r) Casually possess marijuana or cannabis in a public place unless the marijuana or cannabis was obtained directly from or pursuant to a valid prescription or order of a practitioner while acting in the course of their professional practice.

(s) Uses or possesses with the primary intent to use, drug paraphernalia to plant, propagate, cultivate, grow, harvest, manufacture, compound, convert, produce, process, prepare, test, analyze, pack, repack, store, contain, conceal, inject, ingest, inhale or otherwise introduce into the human body a controlled substance.

(t) Builds a fire or burns materials in buildings and facilities managed or leased by the department or the grounds that surround them without the express permission of the department.

(u) Willfully, maliciously or wantonly defaces, injures or destroys any public or private property of another in buildings and facilities managed or leased by the department or on the grounds that surround them.

(v) Without approval of the department as may be provided for by this chapter, conducts an event in those buildings and facilities managed or leased by the department or on properties surrounding those buildings.

(vm) Any participant within or spectator of a group constituting an unlawful event, who intentionally fails or refuses to withdraw from the event after it has been declared unlawful, shall be subject to the penalties identified in this subsection. Any event may be declared unlawful if its participants:

Intentionally gather, or intentionally remain assembled outside any building or facility managed or leased by the department in any numbers, in any proximity to each other, or in any fashion as to physically hinder entrance to, exit from, or normal use of the building.
Intentionally congregate or assemble within any building or facility managed or leased by the department in any fashion as to obstruct or seriously impair state-sponsored or state-authorized activities.
Enter the private office of any state employee, unless invited by the authorized occupant of that office, and then not in excess of the number of visitors designated or invited by the person.
Obstruct or seriously impair passage through corridors, stairways, doorways, building entrances, fire exits, and reception areas leading to offices in buildings and facilities managed or leased by the department.
Enter or occupy any building or facility managed or leased by the department, except as authorized by s. Adm 2.04.
Assemble immediately outside rooms in any building or facility managed or leased by the department at times when they are normally in use for state business.
Bring signs supported by standards or sticks into a building or facility managed or leased by the department.
Intentionally create a volume of noise that unreasonably interferes with department-sponsored or authorized activities.
Intentionally employ force or violence, or intentionally threaten the immediate use of force or violence, against state employees or officials when in buildings or facilities managed or leased by the department.

(vr)

In par. (vm) “intentionally” means that the participant or spectator knew that the participant’s or spectator’s conduct by itself or in conjunction with the conduct of others had or would have the prohibited effect.
The department may designate a state official or officials who shall have primary authority to implement this paragraph, par. (v), and par. (vm). The official shall prescribe limitations for any event in order to meet the requirements of this chapter. When informed of any event the department official or designee may proceed immediately to the site to determine if there is compliance with these paragraphs. If the official prescribes limitations or has previously prescribed limitations, and those limitations are not observed by the event participants, the official may then declare the event unlawful. Any declaration of illegality or prescription of limitations shall be effective immediately and binding upon the event participants, unless and until modified or reversed.

(w) Possesses fireworks, as defined in s. 167.10 (1), Stats., on state property without authorization from the department.

(x) Without consent, intentionally takes, carries away, uses, transfers, conceals, or retains possession of another person’s property valued at $100 or less.

(y) Knowingly gives false information to a state police or a security officer, with the intent to mislead the officer in the performance of their duty.

(z) Camps in buildings and facilities managed or leased by the department, or on the grounds that surround them, without the express written approval of the department. No person may place or erect any facility or structure in or on the buildings, facilities or grounds which surround them.

(za) Parks or stores a bicycle in buildings, on sidewalks or driveways, or in motor vehicle parking spaces. Bicycles shall be parked in areas designated for that purpose or in bicycle racks so as not to obstruct free passage of vehicles and pedestrians.

(zb) Dumps any waste, trash, debris, rubbish, earth or other fill, at any buildings or facilities managed or leased by the department, or in a department collection device without authorization from the department unless the material was collected at the building or facility. This paragraph does not restrict the proper disposal of incidental litter.

(zc) Removes any shrubs, vegetation, wood, timber, rocks, stone, earth, signs, fences, or other materials from buildings and facilities managed or leased by the department, unless authorized by the department.

(zd) Engages in conduct otherwise prohibited by this chapter without the express written approval of the department.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98; EmR1321: emerg. am. (2) (intro.), (e), cr. (2) (fm), renum. (2) (v) (intro.) to (v) and am., renum. (2) v. 1. to (9) (intro.) to (2) (vm) 1. to (9) (intro.) and am. 5., renum. (2) (v) 9. a., b. to (2) (vr) 1., 2. and am., r. (2) (v) 9. c., cr. (2) (vm) (intro.), eff. 11-27-13; CR 14-001: am. (2) (intro.), (e), cr. (2) (fm), renum. (2) (v) (intro.) to (v) and am., renum. (2) v. 1. to (9) (intro.) to (2) (vm) 1. to (9) (intro.) and am. 5., renum. (2) (v) 9. a., b. to (2) (vr) 1., 2. and am., r. (2) (v) 9. c., cr. (2) (vm) (intro.) Register July 2014 No. 703, eff. 8-1-14.

Wis. Admin. Code § Adm 2.15 Access devices {#sec-adm-2.15 omnilex-key=us-wi-regs-official--agency-adm--Adm 2.15}

(1) No person may, without written authorization from the department, duplicate keys, electronic building access cards, or other similar access devices to buildings or facilities managed or leased by the department.

(2) Access devices in the possession of unauthorized persons shall be returned to the department.

(3) Upon termination of employment with the state, an employee shall return to the department all access devices issued to the employee by the department.

History

Cr. Register, March, 1998, No. 507, eff. 4-1-98.

Chapter Adm 3 POPULATION DETERMINATION

Wis. Admin. Code § Adm 3.01 Authority {#sec-adm-3.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 3.01}

Section 16.96, Stats., requires the department of administration to determine statewide annual population estimates for use in the determination of state revenue sharing distributions under ch. 79, Stats. Sections 227.11 and 16.004 (1), Stats., authorize the department of administration to adopt rules interpreting the provisions of s. 16.96, Stats., relating to population determinations.

History

Cr. Register, September, 1973, No. 213, eff. 10-1-73; am. Register, February, 1979, No. 278, eff. 3-1-79; r. and recr., Register, November, 1983, No. 335, eff. 12-1-83; correction made under s. 13.93 (2m) (b) 7., Stats., Register, March, 1993, No. 447.

Wis. Admin. Code § Adm 3.02 Preliminary population determinations {#sec-adm-3.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 3.02}

(1) The department of administration shall prepare a preliminary population determination pursuant to s. 16.96 (2) (a), Stats.

(2) Written notice of the preliminary population determination, information concerning the determination and the procedure for making an appeal of such determination shall be sent to each municipal and county clerk within 5 days after completion of the determination pursuant to s. 16.96 (2) (a), Stats.

(3) A population projection for each municipality for the following year shall be prepared and transmitted to the department of revenue prior to September 15.

History

Cr. Register, September, 1973, No. 213, eff. 10-1-73; am. Register, February, 1979, No. 278, eff. 3-1-79; r. and recr., Register, November, 1983, No. 335, eff. 12-1-83.

Wis. Admin. Code § Adm 3.03 Challenge and appeal {#sec-adm-3.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 3.03}

(1) Counties and municipalities may challenge the preliminary population determination pursuant to s. 16.96 (2) (b), Stats. The department of administration shall rule on the challenge within 5 working days of receipt of the challenge. If the department of administration is engaged in negotiation with the municipalities and counties concerning the challenge, the department of administration shall rule on the challenge within 10 working days of receipt of the challenge.

(2) If the challenge is denied by the department of administration, the municipality or county may appeal the denial by October 1 of the same year by notifying the department of administration of its intent to have a special census conducted by the U.S. bureau of census, pursuant to s. 16.96 (2) (b), Stats. The appeal may also be substantiated by appropriate documentary material detailing substantial basis for error, proof of incorrect data or evidence of annexed institutional population not considered in the preliminary population determination. An appeal shall be authorized by the governing body of the objecting municipality or county and a copy of the resolution authorizing the appeal shall be included with the documentary material submitted to the department. The notice of appeal shall be in writing and signed by the municipal or county clerk.

History

Cr. Register, September, 1973, No. 213, eff. 10-1-73; am. Register, September, 1974, No. 225, eff. 10-1-74; am. (1) and r. and recr. (2), Register, February, 1979, No. 278, eff. 3-1-79; r. and recr., Register, November, 1983, No. 335, eff. 12-1-83.

Wis. Admin. Code § Adm 3.04 Final population determination {#sec-adm-3.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 3.04}

(1) The department of administration shall prepare a final population determination pursuant to s. 16.96 (2) (c), Stats.

(2) Within 5 days after the final population determination is completed, the department of administration shall transmit a copy to the department of revenue.

(3) A written notice of the final population determination shall be sent to each municipal and county clerk within 5 days after the determination is completed.

History

Cr. Register, September, 1973, No. 213, eff. 10-1-73; am. Register, September, 1974, No. 225, eff. 10-1-74; am. Register, February, 1979, No. 278, eff. 3-1-79; r. and recr., Register, November, 1983, No. 335, eff. 12-1-83.

Chapter Adm 5 PROCUREMENT REQUISITIONS

Wis. Admin. Code § Adm 5.01 Authority {#sec-adm-5.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 5.01}

Section 16.72 (4) (a), Stats., requires that the department receive all requisitions for purchases by state agencies and provides the department with the authority to establish rules regarding the submission of requisitions.

History

Cr. Register, November, 1983, No. 335, eff. 12-1-83.

Wis. Admin. Code § Adm 5.02 Definitions {#sec-adm-5.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 5.02}

In this chapter:

(1) “Department” means the department of administration.

(2) “Requisition” means the internal agency information, generated or reproduced by any means, that defines the desired material or services, provides internal accounting information and grants the internal agency authorization for the expenditure.

(3) “Request for purchasing authority” or “RPA” means the form and all attached materials that are submitted by a state agency to the department to initiate a procurement.

History

Cr. Register, November, 1983, No. 335, eff. 12-1-83.

Wis. Admin. Code § Adm 5.03 Initiating procurement actions {#sec-adm-5.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 5.03}

(1) The department may delegate to any agency the authority to make purchases. Any delegation shall be in writing and shall specify the maximum amount of purchases delegated to that state agency by the department.

(2) The requisition format the agency uses to obtain internal agency purchasing authority shall be approved by the department prior to use. The agency requisition shall include those of the following necessary to initiate action: suggested vendors, descriptions of commodities or services, quantities required, intended use, delivery information, accounting, commodity and other codes and prices or price estimates.

(3) An RPA shall be used by state agencies and department personnel to request purchasing authority from the department on all procurements over the delegated dollar limit, under sub. (1).

History

Cr. Register, November, 1983, No. 335, eff. 12-1-83.

Wis. Admin. Code § Adm 5.04 Request for purchasing authority {#sec-adm-5.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 5.04}

(1) Each RPA submitted to the department shall contain at least the following information:

(a) The name of the state agency employee who can provide further information about the RPA;

(b) The complete description of what is to be purchased, its intended use, delivery requirements and a summary memorandum if this information is extensive;

(c) The price or price estimates and an assurance that state agency funds are available and the expenditure has been approved by the state agency;

(d) Additional justification, if waiver of bidding is requested under s. 16.75 (6) (b), Stats., demonstrating why the item or services are not available through the competitive bidding process; and

(e) Additional justification of need, if contractual services as defined in s. 16.70 (3), Stats., are to be purchased.

(2) Each state agency shall keep a written record of the RPA’s it submits to the department.

(3) The department shall review the RPA and respond in writing by means of an operational bulletin, which shall instruct the agency as to how the procurement shall be made.

Note: Copies of the RPA, including the operational bulletin, can be obtained by writing to the Department of Administration, State Bureau of Procurement, P. O. Box 7867, Madison, Wisconsin 53707.

History

Cr. Register, November, 1983, No. 335, eff. 12-1-83; correction in (1) (e) made under s. 13.92 (4) (b) 7., Stats., Register July 2011 No. 667.

Chapter Adm 6 DEFINITIONS

Wis. Admin. Code § Adm 6.01 Definitions {#sec-adm-6.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 6.01}

In chs. Adm 7 and 8, the following words and phrases have the designated meanings unless a different meaning is expressly provided or the context clearly indicates a different meaning.

(1) “Bid” means a price quotation specifically given to a prospective purchaser by a prospective seller; a bid is an offer to sell.

(2) “Bid file” means a file maintained by a procuring agency that contains: the original bid response with an indication of the date and time received, original copy of request for bid, original bidders list, an abstract of bids received, a listing of any late bids, the names of successful bidders, justification for any lower bids rejected, a statement of the application of life-cycle cost formula, Wisconsin bidder preference, minority bidder preference, sheltered workshop preference, and “buy American” preference, where pertinent.

(3) “Bidder” means a person or firm which submits a competitive bid in response to requests for bids.

(4) “Bidders list” means a list maintained by a procuring agency, setting out the names and addresses of suppliers of various goods from whom bids, proposals, and price quotations can be solicited.

(5) “Competitive bidding” means the offer of prices by individuals or firms competing to supply specified goods.

(6) “Competitive negotiation” means soliciting proposals when an award cannot be made strictly on specifications or price and several individuals or firms are qualified to furnish the product.

(7) “Department” means the department of administration.

(8) “Discounts for early payment” means a discount for a payment made within a specific time period.

(9) “Lowest responsible bidder” means the person or firm submitting the competitive bid with the lowest price that meets the specifications contained in the requests for bids. In establishing the lowest responsible bidder, all of the following factors may be considered:

(a) The financial ability to provide the services required or to complete the contract;

(b) The skill, judgment, experience, and resources to complete the contract;

(d) The demonstrated ability to satisfactorily perform the work or provide the materials in a prompt, conscientious manner;

(e) The demonstrated ability to comply in situations where the award is contingent on special considerations subject to the nature of the services or contract required; and

(f) Any other factor determined to be relevant in assessing the bidder’s ability to supply as required.

(10) “Municipality” means a county, city, village, town, school district, board of school directors, sewer district, drainage district, vocational, technical, and adult education district, or any other public or quasi-public corporation, officer, board or other body having the authority to award public contracts.

(11) “Procurement” means the process of obtaining goods, including all activities from the planning process, preparation, and processing of a requisition, through receipt and approval of the final invoice for payment.

(12) “Procuring agency” means the state agency which conducts the purchasing transaction.

(13) “Proprietary” means owned by a private individual or corporation under a copyright, trademark, or patent.

(14) “Requests for bids” means all documents used for soliciting bids.

(15) “Solicitation” means the process of notifying prospective bidders that the state wishes to receive bids or proposals on goods. The process may consist of public advertising, the mailing of requests for bids, posting of notices, or telephone calls to prospective bidders, verbal notice, or any other means that makes the state’s intentions known to potential suppliers.

(16) “Specification” means a description of what the procuring agency requires and, consequently, what a bidder must offer to be considered for an award. A specification may be a description of the physical or functional characteristics, or of the nature of a supply. It may include a description of any requirement for inspecting, testing, or preparing a supply item for delivery, the necessary performance criteria, and a description of the procedures to be followed when submitting and evaluating bids.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Chapter Adm 7 SOLICITATION OF BIDS AND PROPOSALS

Wis. Admin. Code § Adm 7.01 Standard terms and conditions {#sec-adm-7.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.01}

Unless waived by the department, requests for bids and proposals shall contain all standard contractual terms and conditions as published by the department.

Note: The standard contractural terms and conditions of bids may be obtained from the Department of Administration, Bureau of Procurement, P.O. Box 7867, Madison, Wisconsin 53697.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.02 Special conditions of bid {#sec-adm-7.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.02}

The requests for bids shall contain all special conditions of bid that are unique to the particular bid involved. Special conditions may include but are not limited to the following:

(1) Pricing information.

(2) Delivery dates, methods, and schedules.

(3) Product sample requirements.

(4) Allowance for alternative bidding and applicable provisions.

(5) Method of award.

(6) Method of ordering.

(7) Method of bid.

(8) Bidder qualifications.

(9) Rental and lease agreements.

(10) Bond and surety requirements.

(11) Form requirements.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.03 Specifications {#sec-adm-7.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.03}

(1) Specifications requirement. All requests for bids, to the extent possible, shall contain specifications which define the product and the time for performance. Specifications shall include all of the following:

(a) Concise language clearly identifying the desired product;

(b) Basis for award to the lowest responsible bidder;

(2) Specifications. Standard specifications shall be prepared as provided in s. 16.72 (2) (a), Stats. Nonstandard specifications shall be prepared as provided in s. 16.72 (2) (b), Stats.

(3) Contract specifications. Specifications contained in the requests for bids shall be specifications that will be contained in any contract that results from the request for bids. Additional contract provisions may be added or specifications may be deleted or modified if the changes would not have provided a significant competitive advantage at the time the bids were taken.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.04 Amendments to requests for bids or proposals {#sec-adm-7.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.04}

Amendments to requests for bids or proposals must be provided to all known recipients of the request for bids or proposals. To assure that the bidder or proposer has received the notice of the change, the procuring agency may require the bidder or proposer to acknowledge receipt of the amendment in the bid or proposal response. If appropriate, an extension of time on requests for bids or proposals will be given to all identified recipients after the amendment is made to the request for bids or proposals.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.05 Bidders list {#sec-adm-7.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.05}

(1) Requirements. The department and all procuring agencies delegated purchasing authority under s. 16.71, Stats., shall maintain bidders lists for commodities on which bids are solicited. Responsible bidders requesting placement on a bidders list shall be added to the list. Bidders lists shall identify small and minority businesses and sheltered workshops.

(2) Removal. Bidders may be removed from bidders lists for cause including, but not limited to:

(a) Repeated failure to bid;

(b) Reported failure to bid according to specifications;

(d) Failure to render satisfactory contract performance, or;

(e) Furnishing false or erroneous information to obtain listing on a bidders list.

(3) Reinstatement. A bidder who has been removed may request reinstatement. If the bidder provides sufficient evidence to show that the reason for removal has been eliminated, the bidder may be reinstated. Reinstatement may be probationary, for a specific period of time.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.06 Publication of notice {#sec-adm-7.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.06}

(1) Newspaper publication. Publication of notice of requests for bids and proposals shall meet the requirements provided in s. 16.75 (1) (b), Stats.

(2) Procurements $10,000 or over. Publication of requests for sealed bids, requests for proposals, noncompetitive negotiation procurements, and general waivers over $10,000 shall be in the legal notice column of the official state newspaper. A minimum of 7 days shall be allowed between the publication of the last notice and the date bid and proposal submissions are due.

(3) Additional solicitation. If practicable, publication of requests for sealed bids and proposals shall also be in other newspapers, trade publications, civic or social publications, and such other publications as will attract small, minority, or sheltered workshop business bidders or proposers and will attract the maximum number of bidders or proposers.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.07 American-made materials {#sec-adm-7.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.07}

(1) Requirements. Pursuant to s. 16.754 (2), Stats., when all other factors are substantially equal, the state shall purchase materials which are manufactured to the greatest extent in the United States. The state policy on the purchase of American-made materials shall be included in the requests for bids or requests for proposals. Manufactured in the United States means that materials are manufactured in whole or in substantial part within the United States, or that the majority of the component parts thereof were manufactured in whole or in substantial part in the United States.

(2) Application. To insure that preference in purchasing is given to American-made products:

(a) Specifications shall be as broadly written as possible so as not to exclude American-made materials from consideration; and

(b) Requests for bids or requests for proposals shall indicate that the state will give preference to American-made materials only when the bids are tied or the proposal scores are equal.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.08 Bonds and sureties {#sec-adm-7.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.08}

(1) Requirements. The department may require under any of the conditions listed below, bonds or sureties in order to secure performance of the bid contract. Sureties may be in the form of certified or cashier’s checks, cash, irrevocable letters of credit, bonds or other equivalent sureties. Bonding or insurance companies issuing bonds shall be authorized by the commissioner of insurance to do business in this state.

(a) A bid surety may be required when failure to sign a contract may result in serious harm to the agency.

(b) A payment surety may be required to ensure payment to subcontractors.

(c) A performance surety may be required when failure to perform the contract on the part of the contractor will result in damages to the program, agency, state, or award.

(2) Application. If sureties are required on a bid or award, the requirement shall be applied to all bidders and contractors on that bid.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.09 Competitive negotiation {#sec-adm-7.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.09}

(1) Request for proposal. The procuring agency develops a request for proposal (RFP) written clearly and concisely; defining the problem to be solved; stating the desired outcomes or goals; and stating the evaluation factors and the relative importance of each.

(2) Evaluation committee. Before a request for proposal is distributed to prospective proposers, the procuring agency shall establish an evaluation committee. Each committee shall consist of 3 or a larger number of members, depending on the complexity and scope of materials, supplies, and equipment being procured.

(3) Clarification. For purposes of clarification, discussions may be held with any proposer and any proposal shall be permitted to be revised to ensure its responsiveness to the stated requirements.

(4) Notice of intent. When the competitive negotiation process is used to procure materials, supplies, and equipment $10,000 and over, a letter of intent to contract shall be sent by the procuring agency to the selected proposer. Copies of the letter of intent shall be sent to all other proposers in the evaluation process. All letters of intent shall be sent at least 5 days before the intended date of award.

(5) Award. Upon completion of the evaluation process, an award shall be made to the successful proposer based on the results of the evaluation and any subsequent negotiations except that any or all proposals may be rejected if such rejection is in the best interests of the state.

(6) Exception. Competitive negotiation does not apply to the procurement of stationery and printing materials under s. 16.75 (7) or 16.82 (4), Stats.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 7.10 Noncompetitive negotiation {#sec-adm-7.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 7.10}

(1) Noncompetitive procurement. A procuring agency may use noncompetitive negotiation when it is determined in the state’s best interest, that a product is only available from a specific source. The procuring agency shall demonstrate that a noncompetitive situation exists, the price is equitable, that the situation requires procurement in this manner, and that it is in the best interests of the state to proceed on a noncompetitive basis.

(2) Exception. Noncompetitive negotiation does not apply to the procurement of stationery and printing materials under s. 16.75 (7) or 16.82 (4), Stats.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Chapter Adm 8 BIDDING PROCESS AND EXCEPTIONS TO BIDDING

Wis. Admin. Code § Adm 8.01 Simplified bidding {#sec-adm-8.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.01}

(1) Use. The procedure for the solicitation of procurements under $10,000 is as follows:

(a) Sealed bids shall be solicited from 3 or more vendors using forms and formal procedures determined by the department. Bids may be solicited from less than 3 vendors if the procuring agency documents that 3 vendors do not exist in proximity to the procuring agency; or

(b) The procuring agency shall send a written request for price quotations to 3 or more suppliers. Price quotations may be solicited from less than 3 suppliers if the procuring agency documents that 3 suppliers do not exist in proximity to the procuring agency; or

(c) The procuring agency shall compare 3 or more price lists or quotes on file, or shall solicit quotes from 3 or more suppliers. The solicitation may be made by phone, verbally, or in writing. Price quotations may be solicited from less than 3 suppliers if the procuring agency documents that 3 suppliers do not exist in proximity to the procuring agency; or

(d) Except for printing, the procuring agency shall consider competitive pricing and make the award to the supplier judged best able to supply.

(e) The procuring agency shall obtain approval from the department before using any of the methods indicated in this section.

(2) Documentation. Documentation of all simplified bidding transactions is required, including justification when award is not given to the apparent low bidder, and when bidding is waived. Simplified bids shall be documented in the bid file according to department established procedures.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 8.02 Withdrawal and modification of bids {#sec-adm-8.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.02}

Any bidder may withdraw, resubmit, or modify a bid at any time prior to the bid opening.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 8.03 Basis for awards as a result of bidding {#sec-adm-8.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.03}

(1) Lowest responsible bidder. The award of a contract for a procurement shall be made to the lowest responsible bidder, taking into account qualified bids from sheltered workshops, small businesses, and minority businesses.

(2) Rejection of bids. Any, and all, bids may be rejected. The reason for rejection shall be documented and made a part of the bid file.

(3) Discounts for early payment. Discounts for early payment may be taken into account in making awards only when all other conditions are equal.

(4) Tied bids. In the case of tie bids, an award shall be made to Wisconsin suppliers, in preference to out-of-state suppliers, as provided in s. 16.75 (1) (a), Stats. If the tie is between 2 Wisconsin bidders or 2 non-Wisconsin bidders, the successful bidder shall be selected by chance as determined by a witnessed and documented drawing of names or its equivalent.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 8.04 Public opening and reading of bids and proposals {#sec-adm-8.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.04}

(1) Bids. Opening and reading of bids shall include all of the following:

(a) Sealed bid openings are open to attendance by interested bidders and the public.

(b) A procurement agency that invited the submission of bids, shall open and orally read the bids as soon as practicable after the date and hour shown on the inquiry, at the place designated. No action other than the reading of the names of the bidders, the terms, and the prices bid is required at the bid opening.

(c) On complex, multi-line or multi-option bids, the procuring agency may open and read only the names of bidders. This procedure is used to reduce the time needed for the public opening of bids. When this option is exercised, detailed results of individual bids will be made available to the bidders, and the public within a reasonable time.

(2) Requests for proposals. Proposals shall be opened at the time and date specified. The names of the proposers may be read aloud. When the names are read aloud, a written record of the names of the proposers shall be established. Proposals need not be evaluated at this time, nor awards announced.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 8.05 Waiver of bidding for sealed bids {#sec-adm-8.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.05}

(1) Waiver requirements. Waiver of bidding may be authorized when in the best interests of the state. The department may authorize the waiver of bidding on procurements estimated to total less than $10,000. Authority to request the waiver of a sealed bid on procurements estimated at $10,000 or over may not be delegated by the department. All requests for waivers shall be thoroughly documented including justification for not using a competitive process.

(2) Conditions for waiver of bidding process. One or more of the following conditions, with written justification, may serve as criteria for request to waive the bidding process:

(a) The product is unique and can be established as one of a kind that is not available from more than one supplier;

(b) The purchase of specific used equipment will offer a significant discount to the state;

(c) The patented or proprietary features of a product will give the state a superior and necessary utility that cannot be obtained from others;

(d) An item is unique as determined by its historic, artistic, or educational value; or

(e) A risk of human suffering or substantial damage to real or personal property exists that requires immediate action.

(3) Exceptions. Bidding policies and procedures regarding procurements of printing and stationery may not be waived.

Note: See ss. 16.75 (2) (a), 16.75 (7), Stats., and Wis. Const. Art. 4, Sect. 25.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 8.06 General waiver {#sec-adm-8.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.06}

Repetitive and similar transactions may be consolidated into a general request for prior approval of the proposed procurement process.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 8.07 Recordkeeping documentation {#sec-adm-8.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.07}

Competitive bidding, competitive negotiation, and noncompetitive negotiation require documentation of the procurement process and the results of the action taken.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Wis. Admin. Code § Adm 8.08 Exceptions to bidding {#sec-adm-8.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 8.08}

(1) Intergovernmental procurements. Intergovernmental procurements include procurements from any municipality and from any unit of the federal government.

(a) Intergovernmental procurements, except for procurement of printing and stationery, may be made without bidding if approved by the department.

(b) All other established procurement policies and procedures designated by the department shall apply to intergovernmental procurements.

(2) Grants and other nonprocurement transactions. Grants, agreements between state agencies, and other payments made pursuant to statute when only one provider is statutorily permissible and the rate of reimbursement is set by statute are exempt from the \ procurement process upon approval of the department.

(3) Regulated services. Regulated services that are determined to be available from a sole source as a result of a regulated or natural monopoly may be obtained without bidding as provided in s. 16.75 (2) (b), Stats. Procuring agencies contracting for regulated services shall document the reason for not bidding. The purchasing transaction shall be conducted by official state purchase order or letter of agreement that includes standard terms and conditions.

Note: A purchase order form AD-P-10 may be obtained from the Department of Administration, Printing and Publications Section, 4622 University Avenue, Madison, WI 53705-2156.

History

Cr. Register, September, 1986, No. 369, eff. 10-1-86.

Chapter Adm 9 BIDDERS LIST REGISTRATION FEE AND SUBSCRIPTION SERVICE

Wis. Admin. Code § Adm 9.01 Authority {#sec-adm-9.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 9.01}

This chapter is promulgated under the authority of ss. 16.701 and 16.004, Stats., to implement s. 16.701, Stats.

History

Cr. Register, August, 1996, No. 488, eff. 9-1-96; correction made under s. 13.92 (4) (b) 7., Stats., Register July 2011 No. 667.

Wis. Admin. Code § Adm 9.02 Purpose {#sec-adm-9.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 9.02}

The purposes of this chapter are to:

(1) Establish a bidders list registration fee to be paid by vendors requesting to be placed on a list maintained under s. 16.7015, Stats.

(2) Establish a fee for providing a subscription service containing current information of interest to prospective vendors concerning state procurement opportunities.

History

Cr. Register, August, 1996, No. 488, eff. 9-1-96.

Wis. Admin. Code § Adm 9.03 Definitions {#sec-adm-9.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 9.03}

In this chapter:

(1) “Department” means the department of administration.

(2) “Subscription service” means an electronic service provided by the department of administration to prospective vendors regarding state procurement opportunities, statistical information relating to state procurements, or other relevant procurement information.

(3) “Vendor” means any private business entity which is a party to a procurement transaction under s. 16.75, Stats., and has a separate federal employer identification number (FEIN), or social security number for those businesses not having a FEIN.

History

Cr. Register, August, 1996, No. 488, eff. 9-1-96.

Wis. Admin. Code § Adm 9.04 Fee {#sec-adm-9.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 9.04}

Every vendor who requests to be placed on a bidders list maintained under s. 16.7015, Stats., and who is placed on such a list for any portion of that fiscal year in connection with transactions in excess of the amount indicated in s. 16.75 (1) (c), Stats., shall pay a bidders list registration fee as provided in s. Adm 9.05.

History

Cr. Register, August, 1996, No. 488, eff. 9-1-96.

Wis. Admin. Code § Adm 9.05 Bidders list registration fee {#sec-adm-9.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 9.05}

(1) Except as provided by sub. (2), the bidders list registration fee shall be $125 per year.

(2) The following classes of providers shall pay a bidders list registration fee of $65 per year:

(a) Minority businesses certified by the department under s. 16.287 (2), Stats.

(b) Work centers qualified to participate in the program established by s. 16.752, Stats.

History

Cr. Register, August, 1996, No. 488, eff. 9-1-96; correction in (2) (a) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; correction in (2) (a) made under s. 13.92 (4) (b) 6. Register June 2023 No. 810.

Wis. Admin. Code § Adm 9.06 Subscription fee {#sec-adm-9.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 9.06}

The fee for any electronic subscription service provided by the department shall be $100 per year for each location. A vendor shall not be required to pay a subscription fee for any year in which the vendor has paid a bidders list registration fee if the subscription is for only one location.

History

Cr. Register, August, 1996, No. 488, eff. 9-1-96.

Wis. Admin. Code § Adm 9.07 Refunds {#sec-adm-9.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 9.07}

If the department or any agency fails to place a vendor, who has paid the bidders list registration fee, on a bidders list and a vendor is not notified of a request for bids or proposals, then the vendor shall be given a refund of the fee if the vendor makes an application for such refund. Failure to notify a vendor as provided in s. 16.7015, Stats., shall not require the department or any agency to take any other action beyond refund of the fee.

History

Cr. Register, August, 1996, No. 488, eff. 9-1-96.

Chapter Adm 10 CONTRACTUAL SERVICES

Wis. Admin. Code § Adm 10.01 Authority {#sec-adm-10.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.01}

Section 16.705, Stats., requires the department to adopt rules for the procurement of contractual services.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.02 Purpose {#sec-adm-10.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.02}

The purposes of this chapter are as follows:

(1) To ensure that contracts for contractual services are entered into only in the best interests of the state.

(2) To ensure that the state will procure at the lowest possible price, without sacrifice in quality, the contractual services required for the optimum performance of state government functions.

(3) To establish policies and procedures for the procurement of contractual services.

(4) To create standards and procedures for conducting a cost-benefit analysis before contracting out for any service procurement involving an estimated expenditure of more than $25,000.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83; CR 06-090: cr. (4) Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 10.03 Definitions {#sec-adm-10.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.03}

(1) “Bidder” means a person or firm who submits a competitive bid in response to an invitation for bids and a set of specifications.

(2) “Contracting agency” means the state agency that executes a purchase order for contractual services.

(3) “Contractual services” means those services as defined in s. 16.70 (3), Stats.

(4) “Department” means the department of administration.

(5) “Materials” as used in the definition of “contractual services” in s. 16.70 (3), Stats., and sub. (3) means reports which are incidental to the required performance under the contract but are not a specific end product.

(6) “Procurement commodity bulletin” means the document issued by the department in response to a request for purchasing authority that establishes the procedures to be used in making the procurement.

Note: A procurement commodity bulletin form AD-P-105 may be obtained from the Department of Administration, Bureau of Procurement, P.O. Box 7867, Madison, Wisconsin 53707.

(7) “Procuring agency” means the state agency which conducts the purchasing transaction.

(8) “Proposer” means a person or firm who submits a competitive proposal in response to a request for proposals (RFP).

(9) “Purchase order” means a state purchase order form used to offer to contract with a vendor.

Note: A purchase order form AD-P-10 may be obtained from the Department of Administration, Bureau of Procurement, P.O. Box 7867, Madison, Wisconsin 53707.

(10) “Request for proposals” or “RFP” means all documents, whether attached or incorporated by reference, utilized for soliciting proposals.

(11) “Request for purchasing authority” or “RPA” means the form and all attached materials that are submitted by a state agency to the department to initiate any procurement of contractual services.

Note: A request for purchasing authority (RPA) Form AD-P-112 may be obtained from the Department of Administration, Bureau of Procurement, P.O. Box 7867, Madison, Wisconsin 53707.

(12) “Secretary” means the secretary of the department.

(13) “State agency” or “agency” means any department, board, commission, independent agency, or any other separate entity established by statute or by constitution in the state government, including the legislature.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83; corrections in (3) and (5) made under s. 13.93 (2m) (b) 7., Stats., Register January 2004 No. 577.

Wis. Admin. Code § Adm 10.035 Cost-benefit analysis {#sec-adm-10.035 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.035}

(1) Analysis. A uniform cost-benefit analysis shall be completed by a contracting agency or its designated agents of each proposed contractual service procurement involving an estimated expenditure of more than $25,000 annually. Each cost-benefit analysis shall include the information set forth in subs. (2) to (6);

(2) Service overview. A cost-benefit analysis shall provide the following:

(a) A justification for the request written in clear, non-technical language that can be understood by persons who may not be directly involved in or familiar with the proposed service, with all acronyms fully defined.

(b) A list and description of any federal mandates, state statutes or administrative rules that dictate how the proposed service must be performed.

(3) Total cost. Each proposed contractual service procurement shall include a total cost component. For each proposed contractual service procurement involving an estimated expenditure of more than $25,000 annually, an agency shall provide a detailed cost-benefit analysis showing that the proposed service can be performed more economically or efficiently by contract rather than by current state employees or by hiring permanent, project or limited term employees. The consideration of relevant costs shall include, but not be limited to, wage and salary costs, fringe benefits costs, administrative overhead costs, other operating costs, material costs, insurance costs, facility costs, contract price, contract monitoring, and one-time conversion costs. The agency shall use and submit the State of Wisconsin Cost Analysis Methodology as set forth in the State Procurement Manual.

Note: To request the State of Wisconsin Cost Analysis Methodology set forth in the State Procurement Manual, please contact the State Bureau of Procurement, P.O. Box 7867, Madison, Wisconsin 53707-7867 or (608) 266-2605.

(4) Quality. A description of the proposed service to be performed, a list of items to be delivered, any specific conditions to be required of the contractor, and how the agency will ensure that the contractor will provide services and quality as promised without financial losses to the State.

(5) Technical expertise.

(a) Capacity. A description whether agency employees have the capacity to perform the proposed service.

(b) Expertise. A description whether the agency employees have the expertise to perform the proposed service.

(6) Timeliness.

(a) Timeliness. A complete schedule and timetable for the proposed service.

(b) Project term. A statement indicating whether the proposed service is a short-term project or is a long-term need for the agency.

History

Emerg. cr. eff. 7-1-06; CR 06-090: cr. Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 10.037 Continued appropriateness of contracting {#sec-adm-10.037 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.037}

The department or its designated agents shall review periodically, and before any renewal, the continued appropriateness of contracting under each contractual service agreement involving an estimated annual expenditure of more than $25,000.

History

Emerg. cr. eff. 7-1-06; CR 06-090: cr. Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 10.038 Submittal of cost-benefit analysis {#sec-adm-10.038 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.038}

The department or its designated agents shall submit the original cost-benefit analysis in s. Adm 10.035 and continued appropriateness of contracting periodic reviews in s. Adm 10.037 to the department of administration, bureau of procurement.

History

Emerg. cr. eff. 7-1-06; CR 06-090: cr. Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 10.039 Effective date {#sec-adm-10.039 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.039}

The requirements of this rule apply to all contracts for which solicitation of interest date is after June 30, 2006.

History

CR 06-090: cr. Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 10.04 Prior approval {#sec-adm-10.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.04}

(1) Application. Prior to taking any contractual services procurement action, an agency shall file an RPA with the department, that includes the information specified in s. Adm 10.05 (1), the proposed method of procurement, the proposed evaluation procedure and the method of selecting the membership of any evaluation committee.

(2) Consolidation of transactions. An agency may consolidate repetitive and similar transactions into a general request for prior approval. Such general prior approval may be issued by the department for a specific period of time, not to exceed one calendar year.

(3) Procurement commodity bulletin. The department shall issue a procurement commodity bulletin if it approves the RPA.

(4) Prohibition. No contract for contractual services shall be entered into and no payment to any contractor shall be made unless the department has issued a procurement commodity bulletin for that contract.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.05 Justification {#sec-adm-10.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.05}

(1) Contents of justification. Each RPA shall include the following:

(a) A reference to the federal law or regulation or state law which requires or authorizes the procurement of the contractual services;

(b) A description of the services to be performed, a list of any items to be delivered, complete schedules and timetables, and any other specific conditions to be required of the contractor;

(c) A statement showing why the services can be performed more economically or efficiently by contract rather than by current state employees or by hiring permanent, project, or limited term employees. The consideration of costs shall include, but not be limited to, the costs of salaries, fringe benefits, training and unemployment compensation payments;

(d) A statement showing why the proposed procurement is in compliance with the applicable state collective bargaining agreements and that the labor organization or organizations representing the appropriate certified collective bargaining unit or units have been notified of the proposed procurement;

(e) A statement showing why it is not possible to have the services performed by another state agency; and

(f) A statement indicating that competitive bidding will be used or why competitive bidding cannot be used and the justification for using the proposed alternative.

(2) Office of state employment relations. If the department is not satisfied with the justification required by sub. (1) (c), (d) and (e), the department shall submit the RPA to the director of the office of state employment relations for review and shall notify the labor organization or organizations representing the appropriate certified collective bargaining unit or units. The RPA may not be approved unless the director of the office of state employment relations or his or her designee determines that the RPA complies with the provisions of s. 16.705 (3), Stats.

Note: Section 16.705(3) was repealed by 2011 Wisconsin Act 10.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83; corrections made under s. 13.93 (2m) (b) 6., Stats., Register January 2004 No. 577.

Wis. Admin. Code § Adm 10.06 Competitive bidding {#sec-adm-10.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.06}

Competitive bidding is the preferred method for procuring contractual services, and shall be used in every case that permits the preparation of specifications or standards, or both, that can be used as the basis for award.

Note: For information on competitive bidding, see State Procurement Manual, section PRO-C, “The Bidding Process”.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.07 Waivers {#sec-adm-10.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.07}

(1) Waiver requirement. Any procurement of contractual services that is not made by competitive bidding requires a waiver of bidding. The request for a waiver shall contain a complete explanation of why competitive bidding cannot be used and the proposed alternative procedure. Procurements estimated to exceed $10,000 require waivers by the governor. Procurements estimated to total $10,000 or less may be waived by the secretary or his or her designee.

(2) General waiver. Agencies may consolidate repetitive and similar transactions into a general waiver request. General waivers are issued for a specific period of time not to exceed one calendar year.

Note: For information on waivers, see State Procurement Manual, sections PRO-C-9, “Waiver of Bidding Process”, PRO-C-10, “Bid Waiver Transmittal Letter”, and PRO-C-11, “General Waiver”.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.08 Competitive negotiation {#sec-adm-10.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.08}

(1) Request for proposals (RFP). The preparation of an RFP is mandatory. The RFP shall be written in clear, concise and measurable terms. The RFP shall:

(a) State the name and address of the contracting agency or the procuring agency, or both, and the names, addresses, titles and telephone numbers of persons to whom questions concerning the proposals should be directed;

(b) State how sealed proposals are to be delivered, the date and time by which they must be received and the name and address of the person who is to receive them;

(d) Clearly describe the scope of the services requested and shall provide prospective contractors with performance criteria, including quantity of each service required and delivery schedules for those services;

(e) State the factors to be considered in evaluating proposals and the relative importance of each factor. Factors that may be considered when evaluating proposals include;

Responsiveness of the proposals. The proposal should clearly state the proposer’s understanding of the work to be performed.
Technical experience and resources of the firm or individual submitting the proposal.
Experience and professional activities of the firm or individual submitting the proposal.
Size and structure of the firm or individual practice of the proposer.
Cost;

(f) State that the procuring agency reserves the right to reject for cause any and all proposals submitted and to request additional information for purposes of clarification only from proposers; and

(g) State that any award made shall be made to the firm which, based on the evaluation by the procuring agency, is best qualified.

(2) Legal notice. When the estimated cost exceeds $10,000, a Class 2 notice under ch. 985, Stats., inviting competitive sealed proposals shall be published. The advertisement shall describe the services to be purchased, the intent to solicit proposals rather than bids, any requirement for surety and date the proposals will be opened.

(3) Proposal evaluation. Proposals shall be evaluated using a predetermined method to determine which proposer best meets the needs of the procuring agency. A description of the process of evaluation should be included with the RFP. The RFP should state, whenever possible, whether oral presentations by proposers will be part of the evaluation process.

(4) Evaluation committee. Before an RFP is distributed to prospective contractors, the procuring agency shall establish an evaluation committee. Each committee shall consist of 3 or a larger number of members, depending on the complexity and scope of services being procured. At least one member or a person advising the committee, shall be trained in procuring contractual services. An evaluation committee shall:

(a) Review all proposals submitted in response to an RFP, using as a basis the evaluation criteria included in the RFP;

(b) Conduct all formal, scheduled oral conferences and presentations with proposers that affect the evaluation process;

(d) Not disclose to any proposer any information obtained from any other proposer;

(e) Give all proposers an equal opportunity to make a presentation, if presentations are permitted; and

(f) Issue a final report and recommendation.

(5) Discussions with proposers. Fair and equal discussions may be conducted with all proposers for the purpose of clarification, and with proposers whose proposals are reasonably apt to be awarded the contract for the purpose of negotiating the best offer.

(6) Notice of intent. When the competitive negotiation process is used to procure services over $10,000, a letter of intent to contract shall be sent by the contracting agency to the selected proposer. Copies of the letter of intent shall be sent to all other proposers in the evaluation process. All letters of intent shall be sent at least 5 days before the intended date of award.

(7) Contract award. Award shall be based on the evaluation committee recommendation unless, after review by the department of the award or of a protest by a bidder or proposer, a change in an award is approved because:

(a) Mathematical errors were made in scoring proposals;

(b) The award was recommended to a proposer who should have been disqualified as not responsive to all mandatory requirements of the RFP;

(d) The evaluation committee failed to follow the evaluation criteria as set forth in the RFP; or

(e) Violations of this chapter or the statutes have occurred.

(8) Conflict of interest. No person shall serve on an evaluation committee where the action of that committee might benefit that person, or a member of that person’s immediate family as defined in s. 19.42 (7), Stats., or any organization or business with which that person is associated as defined in s. 19.42 (2), Stats.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83; am. (3) and (4) (intro.), Register, December, 1985, No. 360, eff. 1-1-86.

Wis. Admin. Code § Adm 10.09 Noncompetitive negotiation {#sec-adm-10.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.09}

In cases where the contractual service can only be obtained from one source, the agency shall provide information in the RPA to show that only one source exists, that the price is reasonable either on a fair market value or on a cost basis, and that the procurement is in the best interests of the state.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.10 Disclosure {#sec-adm-10.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.10}

(1) Any bidder or proposer other than a political subdivision of the state shall include with a bid or proposal a written statement that discloses and provides relevant information on any of the following conditions that exist:

(a) An officer or an employee of the contracting or procuring agency, or his or her immediate family, as defined in s. 19.42 (7), Stats., owns or controls, directly or indirectly, any equity, or is associated, as defined in s. 19.42 (2), Stats., with the bidder or proposer;

(b) The bidder or proposer currently employs, or has offered or agreed to employ, any person who is or has been an officer or employee of the contracting or procuring agency within the 12 month period preceding the bid or proposal; or

(c) The bidder or proposer has a contract for contractual services with the contracting or procuring agency or provides services to, or anticipates providing services during the term of the contract to, a person or organization that is regulated by, or receives state funds from, the contracting or procuring agency.

(2) If none of the above conditions exist, the bidder or proposer shall include, with any bid or proposal, a written statement to that effect.

(3) The contracting or procuring agency shall review the statement and prepare a written determination on whether or not the information disclosed under sub. (1) interferes with fair competition and whether or not, in spite of the information disclosed, the awarding of the contract to the bidder or proposer will be in the best interests of the state.

(4) The department shall review the determination by the contracting or procuring agency. If the department does not concur in that determination, the department shall not approve the contract.

(5) All contracts shall provide that if the bidder or proposer has failed to disclose any conditions described in sub. (1), the contract may be declared to be void by the department and any amounts paid under the contract may be recovered as provided in s. 16.77 (2), Stats.

(6) No disclosure under sub. (1) (c) is required if a) state or federal law prohibits the disclosure, or b) the relationship does not create a conflict of interest and loss of independence, or the disclosure is improper under standards of professional conduct adopted by, or administrative rules of, the state agency or agency of the judicial branch that is responsible for regulating or licensing the occupational group of which the bidder or proposer is a member.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.11 Purchase orders {#sec-adm-10.11 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.11}

An official state purchase order shall be issued by the contracting agency for each contractual services procurement. All standard terms and conditions of the official state purchase order shall apply to all contracts except as deleted or amended in the text of an attached contract.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.12 Contract administration {#sec-adm-10.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.12}

Every contract for services shall have a specific person designated as the contract administrator. Responsibilities of the contract administrator are as follows:

(1) Compliance. To determine whether the contractor is in compliance with the terms and conditions of the contract before any scheduled payment is made;

(2) Action. To take action in the event of any nondelivery or other breach of contract; and

(3) Evaluation. To file with the department, within 60 days of fulfillment of the contract, an evaluation of the contractor’s performance.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.13 Delegation of authority {#sec-adm-10.13 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.13}

(1) Degree of delegation. The degree of authority delegated to designated agents pursuant to s. 16.71, Stats., shall be at the discretion of the department. The delegation shall be in writing.

(2) Delegation review. Delegation of its purchasing power under s. 16.71, Stats., does not absolve the department from its responsibilities under subch. IV of ch. 16, Stats. The department shall periodically review the exercise of delegated authority by agencies and may withdraw delegation at any time for cause.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Wis. Admin. Code § Adm 10.14 Performance of contractors {#sec-adm-10.14 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.14}

The department shall review evaluations of contractor performance submitted by agencies pursuant to s. 16.705 (6), Stats. The department shall investigate each negative report and develop a list of contractors determined to have performed in an unsatisfactory manner. A contractor placed on this list shall be excluded from participating in state contracts for a period specified by the department not to exceed 2 years. A contractor who is placed on this list may request a hearing under s. 227.42, Stats.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83; correction made under s. 13.93 (2m) (b) 7., Stats., Register, March, 1993, No. 447.

Wis. Admin. Code § Adm 10.15 Appeals {#sec-adm-10.15 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.15}

(1) Right to protest. Any bidder or proposer or labor organization or organizations representing the appropriate certified state collective bargaining unit or units who is aggrieved in connection with a solicitation or a notice of intent to award a contract may protest to the procuring agency. The protestor shall file a notice of intent to protest in writing with the head of the procuring agency, or designee, within 5 working days after issuance of the solicitation, or after issuance of the letter of intent to award a contract, and shall serve the protest in writing on the head of the procuring agency, or designee, within 10 working days after issuance of the solicitation, or after issuance of the letter of intent to award a contract.

(2) Authority to resolve protests. The head of the procuring agency, or designee, shall have the authority to settle and resolve a protest of an aggrieved bidder or proposer concerning the solicitation or intent to award a contract.

(3) Decision. If the protest is not resolved by mutual agreement, the head of the procuring agency, or designee, shall promptly issue a decision in writing.

(4) Notice of decision. A copy of the decision shall be mailed or otherwise furnished to the protestor.

(5) Appeal. The protestor may appeal the decision of the procuring agency, provided the protestor alleges a violation of a statute or a provision of this chapter, to the secretary within 5 working days of issuance of the decision. The secretary, or designee, shall take necessary action to settle and resolve the protest and shall promptly issue a decision in writing which shall be mailed or otherwise furnished to the protestor.

(6) State of procurements during protests. In the event of the filing of a timely notice of intent to protest, protest or appeal under sub. (1), the state shall not proceed further with the solicitation or with the award of the contract until a decision is rendered in response to the protest or appeal, or unless the secretary, after consultation with the head of the contracting agency, makes a written determination that the award of the contract without delay is necessary to protect substantial interests of the state.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83; am. (1), (5) and (6), Register, December, 1985, No. 360, eff. 1-1-86.

Wis. Admin. Code § Adm 10.16 Exceptions {#sec-adm-10.16 omnilex-key=us-wi-regs-official--agency-adm--Adm 10.16}

This chapter does not apply to procurements of services of other items that are not contractual services or to any contracts under s. 16.75 (2) (b), 16.87 or 84.01 (13) or ch. 35, Stats.

History

Cr. Register, January, 1983, No. 325, eff. 2-1-83.

Chapter Adm 11 SURPLUS STATE PROPERTY

Wis. Admin. Code § Adm 11.01 Authority {#sec-adm-11.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 11.01}

Section 16.72 (4) (b), Stats., authorizes the department to provide rules for the declaration and disposition of surplus state property.

History

Cr. Register, June, 1983, No. 330, eff. 7-1-83.

Wis. Admin. Code § Adm 11.02 Purpose {#sec-adm-11.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 11.02}

The purposes of this chapter are as follows:

(1) To ensure the regular disposal of state property.

(2) To establish criteria for declaring state property as surplus.

(3) To establish appropriate methods for disposing of surplus state property; and

(4) To provide for the transfer of surplus state property to other agencies.

History

Cr. Register, June, 1983, No. 330, eff. 7-1-83.

Wis. Admin. Code § Adm 11.03 Definitions {#sec-adm-11.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 11.03}

(1) “Department” means the department of administration.

(2) “State property” means all materials, supplies, equipment and other property of a state agency, regardless of value, except real property.

History

Cr. Register, June, 1983, No. 330, eff. 7-1-83.

Wis. Admin. Code § Adm 11.04 Primary responsibility {#sec-adm-11.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 11.04}

(1) The department shall approve declaration of and authorize disposal of all state property.

(2) This primary responsibility may be delegated to agencies in writing by the department. Notice of delegation to each agency shall specify what types of state property are included.

History

Cr. Register, June, 1983, No. 330, eff. 7-1-83.

Wis. Admin. Code § Adm 11.05 Declaration of surplus {#sec-adm-11.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 11.05}

(1) Each agency shall regularly inspect its state property to determine if any should be declared surplus. State property may be declared surplus for the following reasons:

(a) It is not needed by the agency to carry out program responsibilities in the foreseeable future;

(b) It is obsolete, broken or otherwise not useful to the agency in carrying out the program responsibilities.

(c) It is beyond the date specified for replacement on an established agency replacement schedule, or meets criteria established by the department for disposition; or

(d) It is no longer useable for its intended purpose.

(2) Property may be declared surplus if any state agency reports the property as surplus on the prescribed form to the department. The declaration as surplus by the state agency shall be effective when approved by the department.

Note: Different forms are used for reporting state surplus property depending on the transaction. Copies of the current forms may be obtained by writing to the Department of Administration, Division of Agency Services, P.O. Box 7867, Madison, Wisconsin 53707.

History

Cr. Register, June, 1983, No. 330, eff. 7-1-83.

Wis. Admin. Code § Adm 11.06 Methods of disposal {#sec-adm-11.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 11.06}

All surplus state property shall be disposed of by one of 7 methods.

(1) Transfer or sale to another state agency. The department shall assist agencies in locating potential users of surplus state property.

(2) Transfer or sale to a municipality, as defined in s. 66.0301 (1) (a), Stats., other than a state agency.

(3) Sale to the public by one of 4 methods:

(a) Soliciting competitive bid offers from the public.

(b) Offering to the public at a fixed sale price established by the department by appraisal, market survey or other means.

(d) Arriving at a negotiated sale price which is determined by open documented negotiation, for example, blue book value.

(4) Trade-in on replacement equipment.

(5) Sale for salvage value.

(6) Scrapping for no value or limited value.

(7) Destruction when security or confidentiality is required, when disposition by any other method might be hazardous to the public, or when attempts to dispose of the property by all other methods have failed.

History

Cr. Register, June, 1983, No. 330, eff. 7-1-83; correction in (2) made under s. 13.93 (2m) (b) 7., Stats.

Wis. Admin. Code § Adm 11.07 Proceeds from disposal {#sec-adm-11.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 11.07}

(1) Credit from the disposal of surplus state property, less handling and selling costs, shall be provided to the originating agency, pursuant to s. 16.72 (4) (b), Stats.

(2) Agencies to which the sale or trade-in of surplus state property has been delegated, in s. Adm 11.04 (2), shall regularly report all proceeds to the department.

History

Cr. Register, June, 1983, No. 330, eff. 7-1-83.

Chapter Adm 12 ELECTRONIC RECORDS MANAGEMENT- STANDARDS AND REQUIREMENTS

Wis. Admin. Code § Adm 12.01 Authority {#sec-adm-12.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 12.01}

This chapter is promulgated under the authority of s. 16.611, Stats., state public records, s. 16.612, Stats., local government records, and s. 227.11 (2) (a), Stats., to implement s. 16.61, Stats.

History

Cr. Register, November, 2000, No. 539, eff. 5-1-01.

Wis. Admin. Code § Adm 12.02 Purpose {#sec-adm-12.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 12.02}

The purpose of this chapter is to ensure that public records in electronic format are preserved and maintained and remain accessible for their designated retention period.

History

Cr. Register, November, 2000, No. 539, eff. 5-1-01.

Wis. Admin. Code § Adm 12.03 Scope {#sec-adm-12.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 12.03}

This chapter establishes defined requirements, standards and guidelines for state and local government accessibility of electronic public records from creation through active use, long-term management, preservation and disposition. This chapter does not require an agency to maintain public records in electronic format.

History

Cr. Register, November, 2000, No. 539, eff. 5-1-01.

Wis. Admin. Code § Adm 12.04 Definitions {#sec-adm-12.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 12.04}

In this chapter:

(1) “Accessible” means information arranged, identified, indexed or maintained in a manner that permits the custodian of the public record to locate and retrieve the information in a readable format within a reasonable time.

(2) “Accurate” means all information produced exhibits a high degree of legibility and readability and correctly reflects the original record when displayed on a retrieval device or reproduced on paper.

(3) “Authentic” means the retained electronic record correctly reflects the creator’s input and can be substantiated.

(4) “Content” means the basic data or information carried in a record.

(5) “Context” means the relationship of the information to the business and technical environment in which it arises. “Context” can include, but is not limited to, such elements as: the origin of the record; date and time the record was created; identification of the record series to which the information belongs.

(6) “Electronic format” includes information created, generated, sent, communicated or stored in electrical, digital, magnetic, optical, electromagnetic or similar technological form.

(7) “Information system” means a system for generating, sending, receiving, storing or otherwise processing data.

(8) “Legible” means the quality of the letters, numbers or symbols can be positively and quickly identified to the exclusion of all other letters, numbers or symbols when displayed on a retrieval device or retrieved by device or reproduced on paper.

(9) “Life cycle” means all phases of a record’s existence: creation, active use, preservation and management through to disposition. “Disposition” includes permanent preservation as well as designation for destruction.

(10) “Meaning” means a record carries its original content, context and structure throughout its life cycle.

(11) “Public record” has the meaning given in s. 16.61 (2) (b), Stats.

(12) “Readable” means the quality of a group of letters, numbers or symbols is recognized as words, complete numbers or distinct symbols.

(13) “Reliable” means the electronic record produced correctly reflects the initial record each time the system is requested to produce that record.

(14) “Structure” means the appearance or arrangement of the information in the record. “Structure” can include, but is not limited to, such elements as heading, body and form.

History

Cr. Register, November, 2000, No. 539, eff. 5-1-01.

Wis. Admin. Code § Adm 12.05 Provisions {#sec-adm-12.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 12.05}

State and local agencies shall comply with all statutes and rules relating to public records. With regard to public records stored exclusively in electronic format, state and local agencies shall do all of the following:

(1) Maintain electronic public records that are accessible, accurate, authentic, reliable, legible, and readable throughout the record life cycle.

(2) Document policies, assign responsibilities, and develop appropriate formal mechanisms for creating and maintaining electronic public records throughout the record life cycle.

(3) Maintain confidentiality or restricted access to records or records series maintained in electronic format, limiting access to those persons authorized by law, administrative rule or established agency policy.

(4) Utilize information systems that accurately reproduce the records they create and maintain.

(5) Describe and document public records created by information systems.

(6) Document authorization for the creation and modification of electronic public records and, where required, ensure that only authorized persons create or modify the records.

(7) Design and maintain new information systems so that these systems can provide an official record copy for those business functions accomplished by the system.

(8) Develop and maintain information systems that maintain accurate linkages, electronically or by other means, to transactions supporting the records created where these linkages are essential to the meaning of the record.

(9) Utilize information systems that produce records that continue to reflect their meaning throughout the record life cycle.

(10) Utilize information systems that can delete or purge electronic records created in accordance with the approved retention schedule.

(11) Utilize information systems that can export records that require retention to other systems without loss of meaning.

(12) Utilize information systems that can output record content, structure and context.

(13) Utilize information systems that allow records to be masked to exclude confidential or exempt information.

History

Cr. Register, November, 2000, No. 539, eff. 5-1-01.

Wis. Admin. Code § Adm 12.06 Initial applicability {#sec-adm-12.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 12.06}

This rule first applies to public records stored exclusively in electronic format and to information systems acquired or substantially modified after the effective date of the rule.

History

Cr. Register, November, 2000, No. 539, eff. 5-1-01.

Chapter Adm 20 SELECTING AND CONTRACTING ARCHITECT/ENGINEER SERVICES

Wis. Admin. Code § Adm 20.01 Authority {#sec-adm-20.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.01}

(1) Section 16.004, Stats., empowers the department of administration to adopt rules for administering the department and performing the duties assigned to it.

(2) These rules shall apply whenever the department of administration exercises its powers and duties prescribed in s. 16.85, Stats., to award and contract to a private architect/engineer who will be retained to provide professional services to the state of Wisconsin.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79.

Wis. Admin. Code § Adm 20.02 Definitions {#sec-adm-20.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.02}

In this chapter:

(1) “Approval” means the written or electronic procedure for evaluation and acceptance.

(2) “Architect/engineer” means a member of the design profession, registered under ch. 443, Stats., and is meant to refer to either an architect or an engineer, whichever is appropriate. The term shall apply to an individual or firm which provides architectural or engineering services, or both, and is not intended to impose the requirement of both registrations on an individual or individuals within a design firm.

(3) “Architect/engineer data record form” means a form upon which architects/engineers shall provide specific data requested by the department which will facilitate evaluation of architect/engineer eligibility, performance capabilities, experience, personnel and staff and statistics on past and present projects.

(4) “Architect/engineer proposal” means those documents submitted by an architect/engineer, indicating interest in providing professional services to the state for a specific project. The documents may include a fully executed architect/engineer data record form, a tentative schedule to include the method and staff that would be employed to meet the requirements of the proposed projects and such other materials as requested by the selection committee in the advertisement for architect/engineer proposals.

(5) “Department” means the department of administration. This also includes any organizational entity of the department of administration, which is assigned the responsibility for providing and supervising the architectural and engineering services performed by, or for, the state, as provided for in s. 16.85, Stats.

(6) “Eligible architect/engineer” means an architect/engineer who meets or exceeds the following criteria in order to be considered by the selection committee for a project:

(a) Has more than one architect/engineer as a responsible member of the firm.

(b) Has been in business for a period of not less than 3 years.

(c) Has a permanent office within Wisconsin, where responsible direction of all services will be based. Out-of-state firms will be considered when the selection committee determines there are no Wisconsin firms qualified or available to provide the services required.

(d) Has been responsible for the design and substantial completion of a similar project with a total construction cost or size of at least 50% as large as the construction cost or size of the project under consideration.

(e) For construction projects less than $1,000,000 or when it becomes apparent to the selection committee that a project is of such a size or has such unique characteristics that special architect/engineer project responsibility is warranted, the selection committee, by vote, may set appropriate standards of acceptability different from pars. (a), (b) and (d).

Note: The department will post additional information regarding selection committee requirements for projects at the time of project advertising. Additional information regarding selection committee policy and procedures maybe be obtained at the department website, www.doa.state.wi.us/dsf.

(7) “Selection committee” means a standing group composed of 5 state employees appointed by the secretary of the department of administration including one who shall also be designated as chairperson, and a minimum of 3 who shall be registered architects/engineers. The agency for which the project is to be constructed will be requested to appoint 2 representatives to serve as additional members on the committee for the selection of an architect/engineer for that project. If after appropriate notice, the agency fails to have any representative at the selection committee meeting, such absence shall be considered a waiver of their vote on the architect/engineer selection for that project. Each committee member shall have one vote.

History

Cr. Register, August, 1979, No. 284. eff. 9-1-79; CR 05-069: r. and recr. Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.03 Convening of selection committee {#sec-adm-20.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.03}

(1) At the call of the chairperson, or the chairperson’s designee, the selection committee shall convene for the purpose of initiating and carrying out the process of selecting architects/engineers for projects approved by the state building commission.

(2) An agenda will be furnished to the selection committee prior to their meeting to allow committee members an opportunity to obtain background information. The agenda shall provide the following information:

(a) Project identification

(b) Estimated project budget

(d) Status of program requirements for the project.

(e) Other pertinent project information.

(3) The selection committee shall be responsible for reviewing the requirements of each project and the qualifications of architect/engineers and recommending the selection of an architect/engineer considered to be the most appropriate for each project.

(4) The chairperson of the selection committee, or the chairperson’s designee, may nominate an architect/engineer for emergency projects approved by the governor under s. 16.855 (16) (b) 2., Stats., without solicitation or selection committee action. The chairperson, or chairperson’s designee, shall notify the selection committee of any emergency nomination action at the next scheduled selection committee meeting.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; CR 05-069: am. (1); cr. (2) (e) and (4) Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.04 Selection procedures {#sec-adm-20.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.04}

(1) When selecting an architect/engineer for a project when the estimated project cost is less than $5,000,000, the selection committee may utilize the simplified selection by nomination procedure specified in s. Adm 20.05.

(2) When selecting an architect/engineer for a project that has an estimated project cost of $5,000,000 or more, the selection committee shall require the more detailed procedure for selection by advertisement, review and interview as specified in ss. Adm 20.06, 20.07 and 20.08.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; CR 05-069: am. (1) and (2) Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.05 Selection by nomination {#sec-adm-20.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.05}

(1) The department shall solicit for architects/engineers by posting an advertisement for the project on the department’s official website. The advertisement shall include a project description, proposed budget, schedule and a contact name for questions during the solicitation period. Architects/engineers who are interested in a project may submit a letter of interest through the website for review by the selection committee.

(2) An architect/engineer responding to the project solicitation shall provide all of the following information in the letter of interest:

(a) Completed and updated architect/engineer data record form, if one has not previously been provided.

(b) List of similar projects the architect/engineer has, at minimum, substantially completed, including approximate project square footage or cost of project.

(d) Schedule indicating when the architect/engineer can begin project work.

(e) Any other pertinent information indicating the architect’s/engineer’s qualifications and experience.

(3) The department shall make copies of the data record forms and the submitted architect/engineer letters of interest available to the selection committee for consideration for each project.

(4) The selection committee’s evaluation of all interested architects/engineers shall also give consideration to the qualification criteria stated in s. Adm 20.07 (3).

(5) The selection committee shall submit its first and second recommendations for selection of an architect/engineer to the secretary of the department, or the secretary’s designee, accompanied with justification supporting their recommendations.

(6) The selection committee shall keep the minutes of the selection committee meeting and shall record the name of the architects/engineers considered for each project and the action taken by the selection committee and justification supporting the selection committee recommendations.

(7) The secretary of the department, or the secretary’s designee, shall consider the selection committee’s recommendations, and inform the selection committee of the approval or disapproval of the recommended architect/engineer.

(8) The department shall repeat the selection process if the secretary of the department, or the secretary’s designee, does not accept the selection committee’s recommendations.

(9) When the selection of an architect/engineer has been finalized, the department shall establish a time and date for the architect/engineer to meet with the department’s designated representative to negotiate a contract. If negotiations with the selected architect/engineer firm do not reach consensus, negotiations may be initiated with the second qualified architect/engineer firm as determined by the selection committee.

(10) The department shall post the results of the selection on the department’s official website.

(11) If at any time during the selection process the department determines submitted materials misrepresent qualifications, the department may reject the letter of interest of a recommended architect/engineer.

Note: The Wisconsin Department of Administration Division of State Facilities official website is www.doa.state.wi.us/dsf. Forms, publications and information regarding architect/engineer selection and proposed projects may be obtained from this website.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; CR 05-069: r. and recr. Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.06 Selection by advertisement {#sec-adm-20.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.06}

(1) For all projects having an estimated project cost of 5,000,000 or more, an invitation for architects/engineers to submit proposals for consideration by the selection committee, shall be published in a class 2 notice under ch. 985, Stats., in the official state newspaper. The notice shall contain as a minimum the following information:

(a) Project title and location.

(b) Identity of owner.

(d) Description of services required.

(e) Project description, estimated project budget and schedule.

(f) Location where proposals will be received and the date and time receipt of proposals will close.

(g) Criteria used in ranking architects/engineers to qualify for the interview process.

(h) Other information pertinent to the solicitation regarding the qualifications of the architect/engineer firm.

(2) In addition to the class 2 notice required in sub. (1), the department may solicit and advertise for proposals by, but not restricted to, either or both of the following methods:

(a) An invitation for proposals may be placed in trade publications, or newspapers within the locale of the project, which would have the potential of reaching prospective architects/engineers.

(b) An invitation for proposal may be mailed directly to potential architects/engineers, if such measure is deemed necessary to assure an adequate number of interested architects/engineers available for consideration by the selection committee.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; CR 05-069: am. (1) (intro.), r. and recr. (1) (c) and (e), cr. (1) (g) and (h) Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.07 Eligibility and qualification review {#sec-adm-20.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.07}

(1) Proposals received from architects/engineers will be opened by the selection committee after the date and time set forth in the advertisement.

(2) The first phase of the review shall be directed to establishing eligible architects/engineers, as defined in s. Adm 20.02 (4), by screening the information provided in the architects/engineers data record form submitted with each proposal.

(3) Proposals submitted by those architects/engineers meeting eligibility criteria shall then be reviewed for the following qualification criteria:

(a) Past performance on projects for which the architect/engineer has been responsible.

(b) Production capabilities.

(d) Experience or specialization in the type or function of the project being considered.

(e) Geographic proximity.

(f) Other information pertinent to the review of architect/engineer qualifications.

(4) Consideration may be given to associations consisting of 2 or more architect/engineer firms organized for the purposes of furnishing professional services as a single entity, providing the assignment of and provisions for continuity of the various responsibilities within the association are approved by the selection committee and further providing that the combination of the qualifications of the individual firms constituting the association makes the team eligible for selection as defined in s. Adm 20.02 (4) and the qualification requirements indicated in sub. (3). Those firms that are party to an association that are invited to interview in accordance with s. Adm 20.08 (1) shall submit at the interview an executed draft association agreement in principal between the parties. Firms that are party to an association, selected in accordance with s. Adm 20.08 (6), shall submit a final executed association agreement between the parties prior to execution of a contract in accordance with s. Adm 20.09. The association agreement shall indicate how responsibilities will be shared, how tasks will be divided and the firms or individuals that will be assigned the responsibilities and tasks.

(5) Upon completion of the review, all architects/engineers who submitted a proposal will be notified of the review results.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; CR 05-069: cr. (3) (f), am. (4) Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.08 Interview {#sec-adm-20.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.08}

(1) Those architects/engineers deemed to be the best qualified, shall be notified and date and time shall be arranged for them to appear before the selection committee for the purpose of presenting their understanding of the scope of services required and their proposed method of meeting the program, including appropriateness and adherence to project budget and schedule. A copy of the evaluation form and interview questionnaire used by the selection committee will be furnished to the architect/engineer at least 10 days prior to their scheduled appearance.

(2) During the architect/engineer presentations, selection committee members will be free to ask pertinent questions of the architect/engineer. Each member of the selection committee shall independently complete a pre-developed evaluation form on each architect/engineer appearing before the panel.

(3) Upon completion of architect/engineer presentations, the selection committee will discuss the overall conclusions derived from presentations and independently complete the evaluation forms.

(4) The selection committee’s recommendation for selection shall be the 2 architect/engineer firms receiving the highest scores.

(5) The selection committee will submit their first and second recommendation for selection of an architect/engineer to the secretary of the department or the secretary’s designee.

(6) The secretary of the department, or the secretary’s designee, will consider the selection committee’s recommendations, and inform the selection committee of the results of that consideration.

(7) The department will confirm the selection with the approved architect/engineer. If deemed necessary, the department may request additional information prior to confirmation.

(8) Negotiations for contract shall be conducted in the same manner as that specified in s. Adm 20.05 (9).

(9) After confirmation of the selection, the department shall notify all interviewed architects/engineers informing them of the selection committee action and post results of selection on the department’s official website. Any architect/engineer who was interviewed may upon request, inspect the selection committee interview evaluation of their firm.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; correction in (8) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1999, No. 520; CR 05-069: am. (1), (5), (6), (8) and (9) Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.09 Contract processing {#sec-adm-20.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.09}

(1) The department will prepare contracts and submit them to the architect/engineer for signature.

(2) Final approval authority for contracts shall be guided by all of the following:

(a) The approving authority for contracts less than the threshold prescribed in s. 16.87 (3), Stats., is vested in the department secretary, or the secretary’s designee.

(b) Contracts of the threshold prescribed in s. 16.87 (3), Stats., or more must be signed by the department secretary, or the secretary’s designee, and forwarded to the governor for approval.

(3) Change orders to the architect/engineer contract shall be governed by the following:

(a) The request for a change order to the architect/engineer contract may be initiated by either the architect/engineer or the department representative assigned to coordinate the project implementation.

(b) Change order requests shall be reviewed by the appropriate department representative coordinating the project implementation and by that employee’s supervisor. If the request is approved by the department representative’s supervisor, the recommendation shall be processed in the form of a change order and submitted to the department secretary, or the secretary’s designee, in accordance with s. 16.87 (3), Stats., for approval.

(c) A change order to the architect/engineer contract shall contain: specific information which will document the reason for the contract change, a description of the work involved, any change to the schedule, and the maximum cost limit.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; CR 05-069: am. (2) (a) and (b) and (3) (b) and (c) Register May 2006 No. 605, eff. 6-1-06.

Wis. Admin. Code § Adm 20.10 Performance reporting {#sec-adm-20.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 20.10}

(1) Upon award of the construction contracts and upon completion of the construction phase, and at any other time deemed necessary, department staff members involved in specific phases of the work will submit independent written evaluations of the architect’s/engineer’s performance of the professional service to the department’s representative who is responsible for the general supervision of project implementation. Similar performance evaluations shall be completed on the consultant(s) of the architect/engineer.

(2) Individual performance evaluation reports shall be based on evaluation of professional contract services such as, but not limited to the following:

(a) Design ability to meet program, schedules, and budgets.

(b) Accuracy and completeness of contract documents as evidenced by the number and character of addenda and change orders required.

(c) Administration of contracts, payments and construction documents as evidenced by the timeliness of the service rendered.

(d) Responsiveness to field observations and construction activities and requirements as evidenced by the timeliness of the service rendered.

(e) Overall professional responsibilities demonstrated.

(3) The performance evaluation reports shall be the basis for the evaluation summary, prepared by the department.

(4) The evaluation summary shall contain the significant evaluations of strengths and weaknesses and shall be utilized as a report to the selection committee and a basis for review with the architect/engineer. The summary shall be placed in the evaluation file.

(5) The evaluation summary will be reviewed with the architect/engineer upon request. An entry may be made in the evaluation file to acknowledge the review with the architect/engineer, rating information, summary, or corrective measures to be taken as pertinent to providing good performance services, and any comments the architect/engineer desires to include as part of the record. The architect/engineer may appeal to the department any portion of the evaluation summary within a period of 30 calendar days after the architect/engineer has been notified of the evaluation.

(6) The department person who is assigned the responsibility shall present the evaluation summary to the members of the selection committee at the appropriate time.

(7) The file copy of the evaluation summary shall be available for review by the selection committee, secretary of the department of administration, members of the Wisconsin state building commission, examining board of architects, professional engineers, designers and land surveyors, and the state auditor. The material contained in the evaluation summary may be treated as confidential if it appears that it may unduly damage the reputation of the architect/engineer, and its use by all recipients is to be limited to discussions related to the selection of the architect/engineer for state projects. If it appears that the material contained in the evaluation summary will not unduly damage reputations then it will be open for public inspection and copying pursuant to s. 19.21, Stats., and department policy and procedure.

History

Cr. Register, August, 1979, No. 284, eff. 9-1-79; CR 05-069: am. (4) and (5) Register May 2006 No. 605, eff. 6-1-06.

Chapter Adm 21 ADVERTISING, BIDDING AND AWARD OF CONSTRUCTION CONTRACTS

Wis. Admin. Code § Adm 21.01 Authority {#sec-adm-21.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.01}

(1) Section 16.855 (15), Stats., empowers the department to adopt rules to implement the advertising and award of contracts for construction projects.

(2) These rules shall apply to all state construction projects when the estimated construction cost exceeds the threshold prescribed in s. 16.855 (1m), Stats.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; CR 05-069: am. (2) Register May 2006 No. 605, eff. 6-1-06; CR 08-025: am. (1) Register August 2010 No. 656, eff. 9-1-10; correction in (2) under s. 13.92 (4) (b) 7., Stats., Register July 2014 No. 703.

Wis. Admin. Code § Adm 21.02 Definitions {#sec-adm-21.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.02}

In this chapter:

(1) “Advertise for proposals” means a written notice announcing that sealed bids will be received for a specific construction project, inviting prospective bidders to obtain or review drawings and specifications for the purpose of submitting a bid to do work. The advertisement for proposals shall contain as a minimum, the following information:

(a) Location of the work.

(b) Identification of owner.

(c) Scope of the work, which describes such items as square footage, number of floors and primary function(s) of the project.

(d) A 10% bid guarantee is required.

(e) Date and time receipt of bids will close and public opening will occur.

(f) Location where bids will be received.

(g) Date and place where drawings and specifications will be available.

(2) “Bid” means the completed standard bid form on which the bidder has set forth the price or prices for which the bidder is willing to enter into a contract to perform and complete the work bid, in full compliance with the contract documents.

(3) “Bid guarantee” means a properly executed department form of bid bond, a bank certified check, or a cashier’s check, in an amount equal to 10% of the highest combination base bid(s) and alternate bids submitted. In the event the federal government participates in a state project, the bid guarantee shall be as specified by the federal government, but not less than 10%.

(4) “Bidder” means an individual, partnership, or corporation that submits a bid.

(5) “Bidder’s authorized representative” means an individual who has been provided in writing, the authority to act in the bidder’s behalf.

(6) “Bidding period” means that time span from the date of first publication of the advertisement for proposals to the date of bid opening.

(7) “Department” means the Wisconsin department of administration.

(8) “Lowest qualified responsible bidder” shall be defined to include all of the following which must be met to be considered for award of contract:

(a) Lowest bidder. The lowest bidder is one whose bid contains the lowest total dollar amount when compared with other bids submitted for the same work. Should the specifications require evaluation of other factors in conjunction with lowest dollar amount to determine the lowest bidder, a formula shall be specified which will permit the conversion of evaluation factors to a dollar value.

(b) Qualified bidder. A qualified bidder is one who meets the following conditions:

Has completed one or more projects of at least 50% of the size or value of the division of work being bid and the type of work completed is similar to that being bid. If a greater magnitude of experience is deemed necessary, other than size or value of the work, such requirements will be described in the specifications.
Has access to all necessary equipment and has organizational capacity and technical competence necessary to enable performance of the work properly and expeditiously.
Consideration will be given to associations consisting of 2 or more contracting firms organized for the purpose of entering into a construction contract as a single entity, providing the assignment of and provisions for continuity of the various responsibilities within the association are agreed upon prior to award of contract and further providing that either of the individual firms constituting the association is qualified as defined herein.
In the event that the project is of such magnitude as to limit competition as a result of the conditions established for qualification, the department may waive the condition for bidder qualification.
The department may require bidders to submit sworn statements as to financial ability, equipment and experience in construction and require other such information as may be necessary to determine their competency. Bidders failing to submit required sworn statements shall be deemed not qualified.

Maintains a permanent place of business.
Provides a sworn statement upon request, which evidences the bidder has adequate financial resources to complete the work being bid, as well as all other work the bidder is presently under contract to complete.
Is bondable for the terms of the proposed contract.
Has a record of satisfactorily completing past projects. Criteria which will be considered in determining satisfactory completion of projects by contractors and subcontractors will include:

a. Completed contracts in accordance with drawings and specifications.

b. Diligently pursued execution of the work and completed contracts according to the established time schedule unless extensions are granted by the owner.

c. Fulfilled guarantee requirements of the contract documents.

d. Established and diligently maintained a satisfactory affirmative action program in accordance with the contract provisions.

e. Established and diligently maintained a satisfactory safety program in accordance with the contract provisions.

Is not presently on an ineligible list maintained by the department for noncompliance with equal employment opportunities and affirmative action requirements as provided for in s. 16.765 (9), Stats., or on any other agency list for construction related violation of statutes or administrative rules.

(9) “Omission, error or mistake” are terms used interchangeably and synonymously, constituting a neglect to provide something that is required or a departure from accuracy.

(10) “Supporting documents” means those documents packaged with a bid including, but not limited to, bid guarantee, power of attorney if bid bond is submitted as bid guarantee, affidavit form and other information specifically requested. Materials submitted with the bid form that are unsolicited are deemed to be fugitive materials and shall not be considered in determining the lowest bidder or award of contract.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; r. (1) (c), renum. (1) (d) to (h) to be (1) (c) to (g), Register, October, 1983, No. 334, eff. 11-1-83; CR 05-069: r. and recr. Register May 2006 No. 605, eff. 6-1-06; CR 08-025: am. (3), renum. (7) to (9) to be (8) to (10) and am. (8) (c) 5., cr. (7) Register August 2010 No. 656, eff. 9-1-10.

Wis. Admin. Code § Adm 21.03 Advertising {#sec-adm-21.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.03}

(1) All drawings and specifications for the project shall be available for distribution to prospective bidders on or before the date upon which the advertisement for proposals will be published.

(2) The department shall advertise for proposals by publication of a class 1 notice under ch. 985, Stats., in the official state newspaper. The notice shall be published a minimum of 30 days prior to bid opening, unless the department indicates in writing that the bidding period will be for a lesser period of time.

(3) In addition to the class 1 notice required in sub. (2), the department may solicit and advertise for proposals by either or both of the following methods:

(a) An advertisement for proposals may be placed in trade publications, or newspapers within the locale of the project, which would have the potential of reaching prospective bidders.

(b) An advertisement for proposal may be mailed directly to potential bidders, if such measure is deemed necessary to encourage adequate competition in bidding.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; CR 08-025: am. (2) and (3) (intro.) Register August 2010 No. 656, eff. 9-1-10.

Wis. Admin. Code § Adm 21.04 Issuance of addenda {#sec-adm-21.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.04}

(1) The department may issue addenda during the bidding period to correct, alter, or to provide clarification of the drawings and specifications for the project being bid or to extend the bidding period. No oral correction, alteration or clarification of said documents shall be considered valid.

(2) Each addendum issued shall be identified by project number and title, date of addenda, and assigned an addendum number which will indicate consecutive issue.

(3) Addenda shall be distributed to every recipient of drawings and specifications for the project being bid including all locations where drawings and specifications are available for public inspection.

(4) No addenda shall be issued during the last 7 calendar days prior to the published bid opening date, unless such addenda include an extension of the bid opening date for a minimum of 7 additional calendar days.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; am. (4), Register, October, 1983, No. 334, eff. 11-1-83; CR 08-025: am. (1) Register August 2010 No. 656, eff. 9-1-10.

Wis. Admin. Code § Adm 21.05 Submittal and receipt of bids {#sec-adm-21.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.05}

(1) All bids shall be submitted electronically or in sealed envelopes.

(a) Electronic bids received by the department shall be submitted via a secured, authorized electronic transfer that provides for time and date verification as well as proper security in the transfer of data and information. Bids shall conform to project specification bid forms and include all information required by the specification as well as this section. The bidder shall submit all supporting and original documentation requested by the department within 3 calendar days of the request.

(b) Sealed envelope bids shall be enclosed in distinctly marked special envelopes provided by the department. Should the bidder not possess the special envelope provided by the department, the bidder shall place all of the following information on the face of the outermost envelope containing the bidder’s proposal:

This envelope contains a sealed bid.
Project name.
Project number.
Location of project.
Division(s) of work being bid.
Bid date.
Name and address of bidder.

(2) The bidder is responsible for the bid described in sub. (1) (a) or (b) being delivered to the place designated in the published advertisement for proposals, on or before the date and time specified.

(3) All bids received by the department shall be stamped electronically or upon the face of the envelope indicating the date and time the bid was received.

(4) Bids received by the department after the date and time designated in the advertisement for proposal shall be returned to the bidder unopened.

(5) The department shall determine bids that conform with this section in the best interests of the state.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; CR 05-069: am. (2) and (5) Register May 2006 No. 605, eff. 6-1-06; CR 08-025: r. and recr. Register August 2010 No. 656, eff. 9-1-10.

Wis. Admin. Code § Adm 21.06 Withdrawal of bids {#sec-adm-21.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.06}

(1) At any time prior to the date and time of bid opening, a bidder or the bidder’s representative may withdraw the bid without prejudice to the right of the bidder to submit a new bid. Withdrawal of a bid may be accomplished in one of the following methods:

(a) A written request submitted by the bidder on the bidder’s letterhead stationery.

(b) Personal appearance of the bidder or the bidder’s authorized representative, whereby the identity and authority of the person may be ascertained by the department. After authority and identity is established, the individual shall be required to sign a receipt for the withdrawn bid.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; CR 08-025: am. (1) (b) Register August 2010 No. 656, eff. 9-1-10.

Wis. Admin. Code § Adm 21.07 Bid opening {#sec-adm-21.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.07}

(1) A representative of the department shall preside at the bid opening as the bidding officer. At the date and time for bid opening, the bidding officer shall announce the following to those in attendance:

(a) Bidding is officially closed and public opening and reading of bids will commence.

(b) The following rules will be observed when reading the bids:

Following identification of each bid to be read, it shall be publicly stated whether bid guarantee has or has not accompanied the bid. If bid guarantee has not accompanied the bid, the remainder of the bid contents shall not be read.

(2) The bidding officer shall identify the project title for which the bid shall be read and the category of work being bid, prior to the reading of bids grouped under each category of work.

(3) The following bid information shall be publicly read aloud by the bidding officer and recorded in the official bid tabulation form as bids are read:

(a) The name of bidder whose bid is being read.

(b) State whether a bid guarantee has or has not accompanied the bid. If the bid guarantee has not accompanied the bid, the remainder of the bid shall not be read.

(d) If offered, the price quotation of a combined bid and identification of the base bids which constitute the work proposed under the combined bid submitted.

(4) Upon completing the public reading of bids, the bidding officer shall announce that the bid opening for the specific project is officially closed and the results of the bid opening will be available at a later date after bidding information has been checked and validated. The disposition of any informalities, omissions, errors or mistakes shall be resolved during the validation of bids. Refer to s. Adm 21.02 for definition.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; r. (5), Register, October, 1983, No. 334, eff. 11-1-83; CR 08-025: am. (1) (intro.), (3) (c) and (d), r. (1) (b) 2. Register August 2010 No. 656, eff. 9-1-10.

Wis. Admin. Code § Adm 21.08 Rejection of bids {#sec-adm-21.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.08}

(1) The department shall reject any bid which evidences any of the following conditions:

(a) The base bid amount(s) and alternate bid(s) amounts as requested in the specifications have not been entered on the bid form.

(b) The bid form has not been signed by the bidder.

(d) Receipt of an addendum applicable to the award of contract has not been acknowledged on the bid form.

(e) The bid form has been altered or changed in such a way that it incorporates unsolicited material, either directly or by reference, which would alter any essential provision of the contract documents or require consideration of the unsolicited material in determining the award of contract.

(f) The bid is submitted by a bidder who, through investigation, is found not to be qualified or responsible within the definition of these rules, s. Adm 21.02 (8) (b) and (c).

(2) The department may reject any bid if the included documents have any of the following informalities, unless such informalities are waived by the department and corrected by the bidder within 3 working days from date and time of bidder notification:

(a) Submittal of bid bond on a form other than that contained in the specification volume.

(b) No power of attorney submitted with bid bond.

(d) Bonding company is not licensed to do business in Wisconsin.

(e) Failure to submit an affidavit, affirming that bidder is not guilty of collusion or fraud with regard to bid submittal.

(f) Failure to submit any other document which is specifically requested in the specifications to be submitted with the bid form, acceptance of which would not constitute a correction or alteration of the bid.

(3) The department may reject all low bids constituting the total lowest construction cost when such amount exceeds the authorized funds available.

(4) The department reserves the right to reject any or all bids, if in the opinion of the department the best interest of the state will be served.

(5) Rejection of either a combined bid or the separate bids which correspond to the combined bid, as submitted by the bidder, shall not invalidate the other.

(6) The reason(s) for rejection of a bid, if due to any of the conditions stated in this section, shall be sent to the bidder in writing within 30 calendar days after the date of bid opening.

(7) The department, with the approval of the attorney general, may settle or dispose of cases or issues arising out of errors, omissions, or mistakes contained in a bid which result in the bidder giving written notice of the bidder’s intent not to execute the contract. However, if no such settlement is obtained, the bidder is not entitled to recover the bid guarantee unless the bidder proves in circuit court for Dane county that in making the mistake, error or omission the bidder was free from negligence.

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; CR 08-025: am. (1) (intro.), (f), (2) (intro.), (3), (4) and (7) Register August 2010 No. 656, eff. 9-1-10.

Wis. Admin. Code § Adm 21.09 Award of contracts {#sec-adm-21.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 21.09}

(1) The department will award contracts to the lowest qualified responsible bidder or bidders that result in the lowest total construction cost for the project and such amount does not exceed the available funds authorized for the project. Final determination as to which bidders are the lowest qualified responsible bidders is vested with the department.

(2) In cases where the bidding documents provide a formula for evaluation analysis in conjunction with the base bid or alternate bid(s), the department will award to the lowest qualified responsible bidder(s) whose bid(s) produce the lowest bid when combined with the dollar value derived from the formula for converting evaluation factors. (See s. Adm 21.02 (8) (a).)

(3) Factors which may be the subject of evaluation include, but are not limited to the following:

(a) Low net annual operating cost.

(b) Low unit cost of capacity.

(d) Annual maintenance and service costs.

(4) Should the total of the proposals submitted by the lowest qualified responsible bidder(s) exceed the limits imposed by authorized funds, the department may negotiate deductive changes in the lowest qualified bid for each contract to bring the bids within funding limits.

(5) The department may consider any unsolicited material accompanying the bid of the lowest qualified responsible bidder only after contracts have been awarded on the basis of the information contained in the bid form. Such consideration may be given to unsolicited material only if it is in the best interest of the state to do so, and does not warrant rejection due to any of the conditions stated in s. Adm 21.08 (1) (e).

(6) Award of a contract will not be finalized until the required performance payment bond and certificate of insurance have been received and approved by the department.

(7) Any contractor or subcontractor who enters into a contract on a state construction project shall assume an obligation to take whatever affirmative action is necessary to assure equal employment opportunity in all aspects of employment, irrespective of age, race, religion, color, disability, sex, physical condition, developmental disability as defined in s. 51.01 (5), Stats., or national origin. It is expected that all contractors and subcontractors will carry out that part of their contract pertaining to equal employment opportunity and affirmative action with the same amount of thought and diligence as with any other part of the contract.

Note: See Adm 21.02 (8) (c) 5. and 21.08 (1) (f).

History

Cr. Register, March, 1979, No. 279, eff. 4-1-79; am. (6) and (7), Register, October, 1983, No. 334, eff. 11-1-83; CR 05-069: am. (4) Register May 2006 No. 605, eff. 6-1-06; CR 08-025: am. (1), (2), (4), (5) and (6) Register August 2010 No. 656, eff. 9-1-10; CR 21-110: am. (7) Register June 2022 No. 798, eff. 7-1-22.

Chapter Adm 24 DEBARMENT, SUSPENSION AND INELIGIBILITY OF DEPARTMENT OF ADMINISTRATION CONTRACTORS

Wis. Admin. Code § Adm 24.01 Scope and policy {#sec-adm-24.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 24.01}

(1) Scope of chapter. This chapter:

(a) Prescribes certain policies and procedures governing the debarment and suspension of contractors from contracts pursuant to subch. V of ch. 16, Stats.

(b) Provides for the listing of suspended or debarred contractors and subcontractors, and of contractors declared ineligible for department engineering-related contracts.

(2) Policy.

(a) The department shall solicit bids from, award contracts to, and approve subcontracts with only responsible, qualified business entities and individuals. Debarment and suspension are appropriate means to effectuate this policy.

(b) Debarment and suspension are serious actions imposed to protect the public interest.

History

CR 10-063: cr. Register December 2010 No. 660, eff. 1-1-11.

Wis. Admin. Code § Adm 24.02 Definitions {#sec-adm-24.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 24.02}

In this chapter:

(1) “Adequate evidence” means information sufficient to support a reasonable belief that a particular act or omission has occurred.

(2) “Affiliate” means a business entity or individual having a relationship whereby one directly or indirectly controls or can control the other or whereby a third business entity or individual directly or indirectly controls or can control the subject business entity or individual.

(3) “Civil judgment” means a judgment in a civil action by any court of competent jurisdiction.

(4) “Consolidated list” means a list compiled and maintained by the department and containing the names of contractors that have been debarred or suspended under this chapter or that have been declared ineligible under statute, rule, order or legal authority other than this chapter.

(5) “Contractor” means any individual or any legal entity, including its officers and directors, that submits bids or proposals for, or is awarded or may reasonably be expected to submit bids or proposals for or be awarded a department contract. “Contractor” includes any subcontractor of a contractor that conducts business with the department as an agent or representative of a contractor and any individual or legal entity that conducts business with the department as an agent or representative of a contractor.

(6) “Conviction” means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea and includes a conviction entered upon a plea of no contest.

(7) “Debarment” means action taken by the department under s. Adm 24.05 to exclude a contractor from contracting with the department and from department-approved subcontracting for a specified period. A contractor so excluded is “debarred.”

(8) “Department” means the Wisconsin department of administration.

(9) “Hearing examiner” means a designee of the secretary who is authorized to conduct a fact-finding hearing and to prepare written findings of fact and who may be authorized to issue debarment and suspension decisions pursuant to this chapter.

(10) “Indictment” includes an indictment for a criminal offense, an information or any other filing by a competent authority charging a criminal offense that results in finding probable cause to believe a felony has been committed and in binding the defendant over for trial.

(11) “Ineligible” means excluded from contracting with the department and, if appropriate, from department-approved subcontracting, under statute, rule, order or legal authority other than this chapter.

Note: Examples of reasons for ineligibility are wage-rate violations, civil rights violations and deficient progress.

(12) “Secretary” means the secretary of the department or an authorized representative or designee.

(13) “Suspension” means action taken by the department under s. Adm 24.06 to exclude a contractor from contracting with the department or from department-approved subcontracting temporarily pending the completion of an investigation or of a debarment decision-making proceeding. A contractor so excluded is “suspended.”

History

CR 10-063: cr. Register December 2010 No. 660, eff. 1-1-11.

Wis. Admin. Code § Adm 24.03 List and records of debarred and suspended contractors {#sec-adm-24.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 24.03}

(1) List.

(a) The department shall compile and maintain a current, consolidated list of debarred, suspended and ineligible contractors.

(b) The department shall use the consolidated list to ensure that it does not solicit offers from, award contracts to, or consent to subcontract with listed contractors, except as otherwise provided in this chapter.

(2) Records. The department shall maintain records relating to each debarred or suspended contractor. Records shall contain all of the following:

(a) Names and addresses of all debarred or suspended contractors.

(b) Cause or causes for each debarment or suspension.

(d) Effective date of the debarment or suspension and, in the case of a debarment, during the term of the contract.

History

CR 10-063: cr. Register December 2010 No. 660, eff. 1-1-11.

Wis. Admin. Code § Adm 24.04 Treatment of listed contractors {#sec-adm-24.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 24.04}

(1) Effect.

(a) The department may not knowingly solicit bids from, award contracts to, renew an existing contract with, or consent to subcontracts with a debarred or suspended contractor, unless the secretary determines, in writing, that a compelling reason for such dealing with the contractor exists.

(b) The department may not enter a contract with an ineligible contractor and, if applicable, shall exclude ineligible contractors from subcontracts under the conditions and for the period set forth in the applicable statutes, rules, orders or other legal authority. The department may not knowingly solicit bids from, award contracts to, renew an existing contract with, or consent to subcontract with these contractors except in accord with the applicable statutes, rules, orders or other legal authority.

(2) Current contract continuation.

(a) Notwithstanding the listing of a contractor, the department may continue contracts or subcontracts in existence at the time the contractor was debarred or suspended, unless the secretary determines that contract termination is in the public interest.

(b) Contract termination decisions under par. (a), if any, may be made only after review by and consultation with both department contracting personnel and department legal counsel to assure the propriety of the proposed contract termination.

(c) The department may not renew existing contracts or subcontracts with debarred or suspended contractors, unless the secretary determines and states in writing a compelling reason for the contract renewal or extension.

(3) Subcontract restrictions. When a debarred or suspended contractor is proposed as a subcontractor for any subcontract subject to department approval, the department may not give approval unless the secretary determines and states in writing a compelling reason for the approval.

History

CR 10-063: cr. Register December 2010 No. 660, eff. 1-1-11.

Wis. Admin. Code § Adm 24.05 Debarment {#sec-adm-24.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 24.05}

(1) General.

(a) The department may, in the public interest, debar a contractor for any of the causes contained in sub. (2), using the procedures in sub. (3). The existence of a cause for debarment as specified in sub. (2), however, shall not necessarily require that a contractor be debarred; the seriousness of any contractor’s acts or omissions and any mitigating factors shall be considered in making any debarment decision.

(b) Debarment of a contractor constitutes debarment of all divisions or other organizational elements of the debarred contractor, unless the debarment is explicitly limited to specific divisions or organizational elements.

(c) The department may extend the debarment to include any affiliates of a debarred contractor, if the affiliates are specifically named and are given written notice of the proposed debarment and an opportunity to respond pursuant to sub. (4).

(d) When no suspension is in effect pursuant to s. Adm 24.06 at the time the department contemplates debarment of a contractor, no contracts shall be awarded to, and no subcontracts shall be approved for, the contractor, pending a debarment decision by the department.

(2) Causes for debarment. The secretary may debar a contractor for any one or more of the following causes:

(a) Conviction, civil judgment or admission of:

Fraud, collusion or any criminal offense in connection with obtaining, attempting to obtain or performing a public contract or subcontract;
Violation of any federal or state antitrust statute relating to the submission of bids or proposals;
Embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, receiving stolen property or obstruction of justice; or
Any other offense indicating a lack of business integrity or of business honesty which offense seriously and directly affects the responsibility of the contractor or subcontractor.

(b) Violation of the terms of any government contract or subcontract when that violation is so serious as to justify debarment, including:

Willful failure to perform in accordance with a contract; or
A history of failure to perform or of unsatisfactory performance of one or more contracts.

(c) Any other cause that is so serious or compelling that it affects the ability of a contractor or subcontractor to meet all contract requirements.

(d) Debarment for any of the above causes listed in pars. (a) to (c) by another state or federal entity.

(3) Procedures for debarment.

(a) Referral. Department and other state employees having information appropriate for department consideration under this section shall promptly report that information to the secretary.

(b) Decision-making process; fact finding.

The debarment decision-making process shall be as informal as practicable, consistent with fundamental due process of law principles. The debarment decision-making process shall permit contractors and any specifically named affiliates to submit information and arguments in opposition to a proposed debarment. The department may require that a contractor’s opposition be submitted in writing or may permit an oral presentation in person or through a representative.
Whenever a proposal to debar is based upon a conviction, civil judgment, admission or debarment by another state or federal entity for any of the causes listed in sub. (2), the department need not conduct a fact-finding hearing.
Whenever a proposal to debar is not based upon a conviction, civil judgment, admission or debarment by another state or federal entity, and if the department finds that the contractor’s opposition raises a genuine dispute over facts relevant to the proposed debarment, the department shall conduct a fact-finding hearing. A department hearing examiner shall:

a. Permit the contractor to appear with counsel, to submit documents, to present witnesses and to confront and cross-examine any person the department presents;

b. Ensure that a transcript of the hearing is prepared and made available to the contractor at a reasonable cost, unless the contractor and the department mutually waive the transcript requirement; and

c. Act in accord with and have the authority provided by s. 227.46, Stats.

(4) Notice of proposal to debar. The department shall initiate a debarment proceeding by informing the involved contractor and any specifically named affiliate by certified mail return receipt requested. The mailed notice shall state:

(a) That the department is considering a debarment;

(b) The reasons for the proposed debarment in terms sufficient to notify the contractor of the conduct or transaction upon which debarment is proposed;

(d) That the contractor may submit, within 15 days after the date of the department’s mailed notice, a written response providing information or argument in opposition to the proposed debarment;

(e) The department’s procedures governing debarment decision-making as specified in sub. (5);

(f) The potential effect of the proposed debarment as provided under s. Adm 24.04; and

(g) That pending a debarment decision, no contract will be awarded to, and no subcontracts will be approved for, the contractor.

(5) Department’s debarment decision.

(a) In debarment actions based upon a conviction, civil judgment, or admission or upon debarment by another state or federal entity for any of the causes listed in sub. (2) or in debarment actions in which no dispute exists over facts relevant to the proposed debarment, the secretary shall make a debarment decision based upon the information in the administrative record, including any submission made by the affected contractor. If no suspension is in effect under s. Adm 24.06, the debarment decision shall be made within 30 days after the secretary receives the written response providing information or argument in opposition to the proposed debarment as provided for in sub. (4) (d).

(b) In debarment actions in which a fact-finding hearing is necessary under sub. (3) (b) 3., the designated hearing examiner shall prepare written findings of fact, and the secretary or designee shall render a debarment decision based upon those written findings of fact. A cause for debarment shall be established by a preponderance of the evidence. The debarment decision shall be made after the conclusion of the proceedings with respect to the disputed facts.

(6) Notice of department decision.

(a) If debarment is imposed, the department shall promptly notify the contractor and any affiliates involved by certified mail return receipt requested. The notice shall contain the following:

Reference to the notice of proposed debarment that initiated the action under sub. (4);
Reasons for debarment; and
Period of debarment, specifying the effective date.

(b) If debarment is not imposed, the department shall give prompt notice of that fact to the contractor and any affiliates involved by certified mail return receipt requested.

(7) Period of debarment.

(a) Debarments shall be for a period commensurate with the seriousness of the cause or causes for debarment. Generally, debarment shall not exceed 3 years. If suspension precedes a debarment, the suspension period shall be considered in determining the debarment period.

(b) After the department imposes a debarment period upon a contractor, the department may extend that period if it determines that an extension is necessary to protect the public interest. However, an extension may not be based solely on the facts and circumstances upon which the initial debarment was based. Any extension proposed shall follow the procedures in sub. (3) above.

(c) The department may terminate a debarment or may reduce the period or extent of a debarment, upon the contractor’s request, for reasons considered appropriate by the department, such as:

Newly discovered relevant evidence;
Reversal of the conviction or civil judgment upon which debarment was based;
A bona fide change in ownership or management of the contractor; or
Elimination of the cause or causes for which debarment was imposed.

(8) Imputed conduct.

(a) The fraudulent, criminal or other seriously improper conduct of any officer, director, shareholder, partner, employee or other individual associated with a contractor may be imputed to the contractor when the conduct occurred in connection with the individual’s performance of duties for or on behalf of the contractor, or with the contractor’s knowledge, approval or acquiescence. The contractor’s acceptance of the benefits derived from the conduct shall be evidence of the contractor’s knowledge, approval or acquiescence.

(b) The fraudulent, criminal or other seriously improper conduct of a contractor may be imputed to any officer, director, shareholder, partner, employee or other individual associated with the contractor who participated in, knew of or had reason to know of the contractor’s conduct.

(c) The fraudulent, criminal or other seriously improper conduct of one contractor participating in a joint venture or similar arrangement may be imputed to other participating contractors if the conduct occurred for or on behalf of the joint venture or similar arrangement or with the knowledge, approval or acquiescence of those contractors. Acceptance of the benefits derived from the conduct shall be evidence of the contractor’s knowledge, approval or acquiescence.

History

CR 10-063: cr. Register December 2010 No. 660, eff. 1-1-11.

Wis. Admin. Code § Adm 24.06 Suspension {#sec-adm-24.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 24.06}

(1) General.

(a) The department may, in the public interest, suspend a contractor for any of the causes contained in sub. (2), using the procedures in sub. (3).

(b) Suspension may be imposed only on the basis of adequate evidence of one or more of the causes set out in sub. (2), pending completion of investigation or legal proceedings, when immediate action is necessary to protect the public interest. In assessing the adequacy of the evidence, the department may consider the amount of available information, the credibility of that information, whether important allegations are corroborated, and what reasonable inferences can be drawn. The department’s assessment may include examination of available basic documents such as contracts, inspection reports and correspondence.

(c) Suspension of a contractor constitutes suspension of all divisions or other organizational elements of the suspended contractor, unless the suspension is explicitly limited to specific divisions or organizational elements.

(d) The department may extend the suspension to include any affiliates of a suspended contractor if the affiliates are specifically named and are given written notice of the proposed suspension and an opportunity to respond.

(2) Causes for suspension.

(a) The department may suspend a contractor whenever it finds adequate evidence that the contractor has engaged in one or more of the following:

Fraud, collusion or any criminal offense in connection with obtaining, attempting to obtain or performing a public contract or subcontract;
Violation of any federal or state antitrust statute relating to the submission of bids or proposals;
Embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, receiving stolen property or obstruction of justice; or
Any other offense indicating a lack of business integrity or of business honesty, seriously and directly affecting the responsibility of the contractor or subcontractor.

(b) An indictment for any of the causes set forth in par. (a) may constitute adequate evidence for suspension.

(c) The department may suspend a contractor whenever it finds adequate evidence of any other cause of so serious or compelling a nature that it affects the ability of a contractor or subcontractor to meet all contract requirements.

(d) The department may suspend a contractor based upon a suspension or debarment imposed by another state or federal entity for any of the causes in par. (a), (b), or (c).

(3) Procedures for suspension.

(a) Referral. Department employees and all other persons having information appropriate for department consideration under this section shall promptly report that information to the secretary.

(b) Decision-making process; fact-finding.

The suspension decision-making process shall be as informal as practicable, consistent with fundamental due process of law principles. The suspension decision-making process shall permit contractors and any specifically named affiliates to submit information and arguments in opposition to a proposed debarment. The department may require that a contractor’s opposition be submitted in writing or may permit an oral presentation in person or through a representative.
Whenever a proposal to suspend is not based upon an indictment or a suspension or debarment imposed by another state or federal entity, and if the department finds that the contractor’s opposition raises a genuine dispute over facts relevant to the proposed suspension, and if no determination is made on the basis of advice from the department of justice or other prosecuting official that substantial interests of the government in pending or contemplated legal proceedings based upon the same facts as the suspension would be prejudiced, the department shall conduct a fact-finding hearing. A department hearing examiner shall conduct the fact-finding hearing and shall:

a. Permit the contractor to appear with counsel, to submit documents, to present witnesses and to confront and cross-examine any person the department presents;

c. Act in accord with and have the authority provided by s. 227.46, Stats.

(c) Notice of suspension. If suspension is imposed, the department shall promptly notify the contractor and any affiliates involved by certified mail return receipt requested. The notice shall state the following:

A decision to suspend has been made, and it was made based upon one or more of the causes enumerated in sub. (2), which cause or causes shall be sufficiently described to notify the contractor but shall not disclose government evidence unnecessarily.
The suspension is temporary pending the completion of an investigation and of whatever legal proceedings may follow.
The effect of the suspension as provided for under s. Adm 24.04 (1).
The contractor may submit within 15 days, or such lesser time as the department shall state, after the date of the department’s certified mailing a written response providing information or argument in opposition to the suspension.
A fact-finding hearing to determine disputed relevant facts shall be conducted under par. (b), unless:

a. The suspension is based upon an indictment or upon a suspension or debarment imposed by another state or federal entity; or

b. A determination is made, on the basis of advice from the department of justice or another prosecuting official, that substantial interests of the government in pending or contemplated legal proceedings based upon the same facts as the suspension would be prejudiced.

If a fact-finding hearing is required, the department shall schedule a hearing within 30 days after the secretary receives the last written response providing information or argument in opposition to the suspension, as provided for in subd. 4.

(d) Department’s suspension decision.

In suspension or debarment actions based upon an indictment or a suspension by another state or federal entity for any of the causes enumerated in sub. (2), in suspension actions in which no dispute exists over facts relevant to the suspension or in suspension actions in which a fact-finding hearing to determine disputed relevant facts is denied on the basis of advice from the department of justice or other prosecuting official, the secretary shall make a decision based upon the information in the administrative record, including any submission made by the affected contractor. The suspension decision shall be made within 30 days after the secretary receives the written response providing information or argument in opposition to the proposed suspension as provided in par. (c) 4.
In suspension actions in which a fact-finding hearing is necessary under par. (b) 2., the designated hearing examiner shall prepare written findings of fact, and the secretary or designee shall render a decision based upon those written findings of fact. The suspension decision shall be made as soon as can reasonably be done after the conclusion of the proceedings with respect to the disputed facts.
The department may modify, terminate or leave in effect a suspension for the reasons set forth in s. Adm 24.05 (7) (c) for modifying or terminating a debarment.
A prompt written notice of the department’s decision shall be sent to the contractor by certified mail return receipt requested.

(4) Period of suspension.

(a) Suspension shall be for a temporary period pending completion of investigation and any following legal proceedings unless sooner terminated by the department or as provided in par. (b).

(b) A suspension shall not continue for more than 6 months from its effective date, unless civil or criminal action regarding the violation or debarment proceedings have been initiated. The suspension may continue until the legal proceedings or debarment proceedings are completed.

(5) Scope of suspension. The scope of suspension shall be the same as that set forth for debarment in s. Adm 24.05 (8).

History

CR 10-063: cr. Register December 2010 No. 660, eff. 1-1-11.

Chapter Adm 30 PAYROLL DEDUCTIONS FOR CHARITABLE PURPOSES

Wis. Admin. Code § Adm 30.01 Authority {#sec-adm-30.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.01}

Section 20.921 (1) (a) 4., Stats., authorizes state employees to designate payroll deductions for charitable purposes approved by the department of administration and the governor.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80.

Wis. Admin. Code § Adm 30.02 Purposes {#sec-adm-30.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.02}

The purpose of this chapter is to ensure that:

(1) Only approved charitable organizations are permitted to be designated for payroll deductions by state employees.

(2) The funds contributed by state employees by means of payroll deductions are used for the announced purposes of the charitable organizations.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80; am. (1) and (2), Register, March, 1982, No. 315, eff. 4-1-82.

Wis. Admin. Code § Adm 30.03 Definitions {#sec-adm-30.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.03}

In this chapter, unless the context requires otherwise:

(1) “Charitable organization” means any corporation or other entity described in internal revenue code section 501 (c) (3) and exempt from federal income tax under internal revenue code section 501 (a) and supported in part by voluntary contributions from the public and which, unless exempt by state law, is registered with the department of safety and professional services as a charitable organization.

(2) “Contribution” means money or property, including the promise to pay, or payments for merchandise, advertising or other rights when a representation is made by or on behalf of a seller or solicitor that the whole or any part of the consideration will be given to a charitable organization. “Contribution” does not mean funds obtained by a charitable organization through grants from a governmental agency. The amount of the contribution when a sale is made is the sale price less the cost to the charitable organization of the item sold.

(3) “Secretary” means the secretary of the department of administration.

(4) “Umbrella organization” means an entity which serves as the agent of a group of charitable organizations. An umbrella organization shall endorse the program objectives of the other charitable organizations for which it acts as agent, and shall accept responsibility to ensure that the charitable organizations for which it acts as agent comply with all the requirements of this chapter. The umbrella organization shall be a charitable organization.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80; am. (4), Register, July, 1986, No. 367, eff. 8-1-86; correction in sub. (1) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 30.04 Approval {#sec-adm-30.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.04}

Only those charitable organizations which have been approved by the secretary pursuant to the requirements of this chapter may be designated by state employees for a payroll deduction.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80.

Wis. Admin. Code § Adm 30.05 Requirements {#sec-adm-30.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.05}

(1) Type of organization. Only charitable organizations are eligible for approval.

(2) Umbrella organization. Only charitable organizations that are members of an umbrella organization will be approved for a payroll deduction. Each umbrella organization must have as members at least 5 charitable organizations, each of whom must meet all of the requirements of this chapter. Any charitable organization may, under the provisions of this chapter and in conjunction with 4 other charitable organizations, form an umbrella organization.

(3) Federal exemption. Each charitable organization must submit a copy of the internal revenue service ruling indicating that it is an exempt organization under internal revenue code section 501 (c) (3). An advance ruling on its exempt status shall meet this requirement.

(4) Registration and reporting. Each charitable organization shall have registered as a charitable organization with the department of safety and professional services, unless specifically exempt from registration by state law, and shall have filed all required reports within any established time limits.

(5) Integrity of operations. Funds contributed to charitable organizations by state employees must be used for the announced purposes.

(9) Finances. Each charitable organization shall obtain annually from an independent licensed certified public accountant, an audit opinion which indicates that financial statements have been prepared in accordance with generally accepted accounting principles applicable to the nature of the organization. The charitable organization must conduct its fiscal operations in accordance with a detailed annual budget which is prepared and approved at the beginning of each fiscal year by the board of directors. Prior authorization by the board of directors shall be required for any significant variation from the approved budget.

(10) Fund raising practice.

(a) The charitable organization’s fund raising practice shall include the following safeguards:

Publicity and promotional activities shall be based upon the actual program and operations of the charitable organization.
The charitable organization shall not sell or otherwise permit others to use lists of its contributors.
There shall be no mailing of unordered tickets or merchandise with a request for money in return.

(b) Except for the requirement of par. (a) 1., any of the requirements of this section may be waived by the secretary if the charitable organization is otherwise in compliance with this chapter and the charitable organization has presented a reasonable justification for a fund raising practice otherwise prohibited hereunder.

(11) Nondiscrimination. The charitable organization shall have a policy and procedure of nondiscrimination in regard to race, color, religion, national origin, disability, age, or sex applicable to persons served by the charitable organization, applicable to charitable organization staff employment, and applicable to membership on the charitable organization’s governing board.

(12) Annual reports. The charitable organization shall prepare an annual report available to the general public which includes a full description of the charitable organization’s activities including types of solicitation for contributions, the names of its chief administrative personnel, and a full disclosure of the source and use of contributions. The charitable organization shall also prepare and make available to the general public an annual financial report which shall be certified by an independent certified public accountant.

(13) Special report. To determine compliance with this chapter and upon request, the charitable organization shall submit a special report giving such information as may be requested by the secretary.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80; am. (2), (3), (5) and (13), r. (6) to (8), (10) (a) 3. and 5. and (14), Register, March, 1982, No. 315, eff. 4-1-82; am. (9), Register, July, 1986, No. 367, eff. 8-1-86; correction in sub. (4) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672; CR 21-110: am. (11) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 30.06 Application {#sec-adm-30.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.06}

To be considered for eligibility for payroll deduction initially, the charitable organization must do the following:

(1) Separate application. Each charitable organization must complete a separate application. Umbrella organizations may make application on behalf of member charitable organizations.

(2) Place of filing. Two copies of the application shall be filed with the office of the secretary.

(3) Time of filing. Applications must be received on or before February 1 of any year in order for a charitable organization to be considered for eligibility for payroll deduction during the following year.

(4) Content of application. The application shall include the following information, documents and data:

(b) Requirements. Information shall be provided showing that the applicant meets the requirements of s. Adm 30.05.

(d) Salaries. A list shall be submitted showing the individual salaries and positions of directors, executives and other administrative personnel earning in excess of $20,000 per year.

(f) Finances. Information shall be furnished, with a certification by an independent certified public accountant showing compliance with the standards described in s. Adm 30.05 (9).

(g) Fund raising practice. A statement of compliance with all factors indicated in s. Adm 30.05 (10) shall be furnished.

(h) Nondiscrimination. A written assurance of nondiscrimination as required by s. Adm 30.05 (11) shall be furnished.

(i) Annual reports. A copy of the most recent annual report as required by s. Adm 30.05 (12) shall be furnished.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80; cr. (intro.), r. and recr. (3), r. (4) (a), (c) and (e), Register, March, 1982, No. 315, eff. 4-1-82; am. (3) (a), r. (3) (b), Register, December, 1983, No. 336, eff. 1-1-84.

Wis. Admin. Code § Adm 30.07 Eligibility decisions {#sec-adm-30.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.07}

Decisions as to eligibility are made by the secretary. The secretary shall establish an advisory eligibility committee of active or former state employees and employee organization members. The secretary’s decisions shall be based upon the information filed with the charitable organization’s application and any recommendation of the eligibility committee after its review of each application.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80.

Wis. Admin. Code § Adm 30.08 Eligibility committee actions and activities {#sec-adm-30.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.08}

The eligibility committee shall:

(1) Review all initial requests for authorization for payroll deduction filed pursuant to s. Adm 30.06.

(2) Check each applicant’s status with the department of safety and professional services.

(4) Investigate past fund raising and expenditures of any applicant.

(5) Determine if the applicant meets all the requirements of this chapter.

(6) Make written recommendations regarding eligibility for payroll deduction authorization for charitable organizations to the secretary.

(7) Review and recommend discontinuance of payroll deduction for any charitable organization which, after approval, ceases to comply with this chapter.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80; am. (1) and r. (3), Register, March, 1982, No. 315, eff. 4-1-82; correction in sub. (2) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 30.085 Eligibility committee {#sec-adm-30.085 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.085}

The eligibility committee may waive the requirements of s. Adm 30.06 (3) for good cause shown and if the review of the late application or part of the application can be completed by the eligibility committee before the final format for the printed materials is established for use in the state employees combined campaign which is held in October and November of each year.

History

Cr. Register, December, 1983, No. 336, eff. 1-1-84.

Wis. Admin. Code § Adm 30.09 Eligible charitable organizations {#sec-adm-30.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.09}

The secretary shall issue a list, which shall be kept current, indicating the names of all charitable organizations recognized for payroll deduction.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80.

Wis. Admin. Code § Adm 30.10 Distribution of payroll deductions {#sec-adm-30.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.10}

The secretary may, as a matter of administrative convenience, determine that there will be only one payroll deduction for charitable contributions from each employee’s paycheck, and that the total amounts deducted from state employees’ salaries for charitable purposes, either on a state-wide or area-wide basis, shall be paid to one umbrella organization for distribution. If this procedure is followed, the total charitable contributions shall be sent to the umbrella organization designated by all umbrella organizations as their agent for this purpose, and the actual distribution to each umbrella organization or charitable organization shall be the responsibility of the designated umbrella organization.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80.

Wis. Admin. Code § Adm 30.11 Removal from list {#sec-adm-30.11 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.11}

The secretary may, at any time, remove the name of a charitable organization from the list of eligible charitable organizations upon request of the charitable organization, or if the secretary determines that the charitable organization has ceased to comply with this chapter. After removal, no further payroll deduction shall be permitted for the charitable organization.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80.

Wis. Admin. Code § Adm 30.12 Effect of approval {#sec-adm-30.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.12}

Approval by the secretary for payroll deduction shall not constitute an endorsement by the state of Wisconsin of any charitable organization so approved, and no person or charitable organization shall intentionally claim or imply directly or indirectly any such endorsement.

History

Cr. Register, March, 1980, No. 291, eff. 4-1-80.

Wis. Admin. Code § Adm 30.13 Eligibility after initial acceptance {#sec-adm-30.13 omnilex-key=us-wi-regs-official--agency-adm--Adm 30.13}

To be considered for eligibility for payroll deduction after initial acceptance, the following procedure must be followed:

(1) By February 1 of any year, the umbrella organization must certify in writing to the secretary that the charitable organization is in compliance with all provisions of this chapter in order for that charitable organization to be considered for eligibility for payroll deduction during the following year.

(2) The information required by this chapter must be on file in the office of the umbrella organization at the time the certification required by sub. (1) is made.

(3) The information referred to in sub. (2) must be maintained in the file of the umbrella organization for 2 years.

(4) The information required by this chapter must be available for audit by the secretary or his or her designee with 24 hours advance notice to the umbrella organization by the secretary or his or her designee.

(5) The secretary shall, by May 1 of each year, notify the umbrella organization in writing of the acceptance or rejection for payroll deduction of each charitable organization.

History

Cr. Register, March, 1982, No. 315, eff. 4-1-82; am. (5), Register, December, 1983, No. 336, eff. 1-1-84.

Chapter Adm 35 ENVIRONMENTAL IMPROVEMENT FUND

Wis. Admin. Code § Adm 35.01 Purpose {#sec-adm-35.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.01}

The purpose of this chapter is to establish rules under ss. 281.58, 281.59, and 281.61, Stats., for the administration of a program to provide financial assistance for costs incurred to abate pollution of the waters of the state or to provide drinking water.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; CR 22-079: am. Register July 2023 No. 811, eff. 8-1-23.

Wis. Admin. Code § Adm 35.02 Definitions {#sec-adm-35.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.02}

In this chapter, the following terms shall have the respective meanings:

(2) “Department” means the department of administration.

(2m) “Environmental improvement fund” means the fund established under s. 25.43, Stats.

(3) “Financial assistance” means assistance from the environmental improvement fund under s. 281.58 (6) (b), 281.59 (12), or 281.61 (2r), Stats., including assistance that the department does not require the recipient to repay.

(3m) “Financial assistance agreement” means an agreement entered into by the department pursuant to s. 281.59 (11) (a), Stats., including an amendment to a financial assistance agreement.

(4) “Market interest rate” has the meaning given in s. 281.59 (1) (b), Stats.

(5) “Municipality” has the meaning given in s. 281.59 (1) (c), Stats.

(7) “Obligation” means financial assistance that the recipient must repay. Obligations include a recipient’s debts guaranteed or insured by the environmental improvement fund that the recipient must repay to another lender.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; correction in (7) made under s. 13.93 (2m) (b) 7., Stats., Register February 2002 No. 554; CR 22-079: renum. (1) to (2m) and am., r. and recr. (3), cr. (3m), am. (4), (5), r. (6), r. and recr. (7) Register July 2023 No. 811, eff. 8-1-23; correction in (3) made under s. 35.17, Stats., Register July 2023 No. 811.

Wis. Admin. Code § Adm 35.03 Conditions of financial assistance {#sec-adm-35.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.03}

(3)

(a) The department may not enter into a financial assistance agreement unless the recipient demonstrates to the satisfaction of the department that the recipient has the financial capacity to assure sufficient dedicated sources of revenue to operate and maintain the system as long as an obligation is outstanding for the project and to pay the debt service, including funding and maintaining any debt service reserve, on its obligation.

(b) The department shall require an opinion of counsel or bond counsel, acceptable to the department, to the effect that the obligation of the recipient is valid and enforceable.

(c) The department may require the opinion of counsel or bond counsel under par. (b) to include a statement that interest on the obligation is excluded from gross income for federal income tax purposes.

(4)

(a) The department may not enter into a financial assistance agreement unless the recipient establishes one or more dedicated sources of revenue that the department deems sufficient for repayment of the obligation.

(b) The dedicated source of revenue pledged to repayment of the obligation shall include one or more of the following:

For a general obligation, an irrevocable pledge of ad valorem taxes.
For a revenue obligation, a pledge of net revenues available to the utility, including user fees, a pledge of special assessments, municipal payments, other income, or a combination thereof.
For a metropolitan sewerage district organized under ss. 200.21 to 200.65, Stats., a general obligation pledge of ad valorem taxes.
Any other dedicated source of revenue that the department deems satisfactory.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; correction in (4) (b) 3. made under s. 13.93 (2m) (b) 7., Stats., Register February 2002 No. 554; CR 22-079: am. (title), r. (1), (2), am. (3) (a), (b), cr. (3) (c), am. (4) (a), (b) (intro.), cr. (4) (b) 4. Register July 2023 No. 811, eff. 8-1-23.

Wis. Admin. Code § Adm 35.04 Credit and security {#sec-adm-35.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.04}

(2) A recipient may not pay the principal of an obligation prior to the payment schedule specified in the financial assistance agreement, except in accordance with the financial assistance agreement and the obligation.

(3) In administration of its powers and duties under s. 281.59 (11) (b), Stats., the department shall deduct, as a first charge against state payments due the municipality, any amounts due to the environmental improvement fund.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; CR 22-079: r. (1), r. and recr. (2), am. (3) Register July 2023 No. 811, eff. 8-1-23.

Wis. Admin. Code § Adm 35.05 Disbursement of financial assistance {#sec-adm-35.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.05}

(1) The department may disburse the financial assistance to the recipient upon receiving a determination from the department of natural resources that the financial assistance requested by the recipient is eligible for disbursement under ch. NR 162 or 166 and the financial assistance agreement.

(2) The department may only disburse financial assistance in accordance with a financial assistance agreement.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; CR 22-079: am. (title), (1), r. and recr. (2), r. (3) Register July 2023 No. 811, eff. 8-1-23; correction in (1) made under s. 35.17, Stats., Register July 2023 No. 811.

Wis. Admin. Code § Adm 35.06 Interest rates {#sec-adm-35.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.06}

(1) The department shall periodically review, and may periodically change, the market interest rate. The market interest rate set by the department under this section shall be the market interest rate for the purpose of ss. 281.58 (12) and 281.61 (11), Stats. The department may consider any of the following factors when establishing or changing the market interest rate:

(a) Municipal bond market indexes.

(b) Comparable bond market transactions.

(d) Effective interest rates for environmental improvement fund revenue obligations issued under s. 281.59 (4), Stats.

(e) Efficient administration of the environmental improvement fund.

(2) The department may review and change the market interest rate at any time as necessary to aid the purposes of ss. 281.58, 281.59, and 281.61, Stats.

(3) The department may set multiple market interest rates applicable to different types of obligations, including the following:

(a) Obligations of different final or average maturity.

(b) Taxable obligations as compared to tax-exempt obligations.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; CR 22-079: r. (intro.), renum. (1) to (1) (intro.) and am., cr. (1) (a) to (e), r. and recr. (2), (3) Register July 2023 No. 811, eff. 8-1-23.

Wis. Admin. Code § Adm 35.07 Accountability for financial assistance {#sec-adm-35.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.07}

(1) A financial assistance agreement shall require a recipient of financial assistance to do all of the following:

(a) Maintain project accounts in accordance with the financial assistance agreement.

(b) For financial assistance involving an obligation, provide, if available, audited financial statements upon request from the department and at least annually while the recipient has an obligation outstanding.

(c) Take no action to reduce the adequacy of the dedicated source of revenue established for repayment of the project in accordance with s. 281.58 (14) (b) 1. or 281.61 (8m) (a), Stats.

(2) The department may require or perform financial audits prior to, during or at the end of the term of the obligation.

(3) A recipient of financial assistance designated as federal equivalency by the department of natural resources shall comply with the federal Single Audit Act, 31 USC 7501 to 7507, and Office of Management and Budget Uniform Guidance.

(4) The department may rely on a commissioned audit unless it finds that the audit was not performed in accordance with state or federal auditing standards. The department may perform, or commission others to perform an additional audit or audits to supplement work done in a single audit, to the extent it deems necessary.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; CR 22-079: am. (1) to (3) Register July 2023 No. 811, eff. 8-1-23; correction in (1) (c) made under s. 35.17, Stats., Register July 2023 No. 811.

Wis. Admin. Code § Adm 35.08 Financial assistance amendments {#sec-adm-35.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.08}

Neither the recipient nor the department may enter into an amendment to a financial assistance agreement, except in accordance with the terms of the financial assistance agreement. The recipient may not amend the obligation, except in accordance with the terms of the obligation.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; CR 22-079: r. and recr. Register July 2023 No. 811, eff. 8-1-23.

Wis. Admin. Code § Adm 35.09 Variances {#sec-adm-35.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 35.09}

The department may approve a variance from requirements of this chapter when the department determines that the variance is essential to provide financial assistance within the scope and intent of the environmental improvement fund, or that the variance is in the best interest of the state. In approving a variance, the department may take into account such factors as good cause, circumstances beyond the control of the recipient or the department and financial hardship. A request by a recipient for a variance shall include a description of the nature of the variance and the circumstances leading to the request.

History

Cr. Register, September, 1991, No. 429, eff. 10-1-91; CR 22-079: am. Register July 2023 No. 811, eff. 8-1-23.

Chapter Adm 40 ENERGY INFORMATION

Wis. Admin. Code § Adm 40.01 Authority {#sec-adm-40.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 40.01}

Upon declaration of an energy alert by the governor, s. 16.955 (1), Stats., authorizes the department to issue general orders or emergency rules to compel disclosure of information relating to existing and future energy supplies.

History

Cr. Register, December, 1979, No. 288, eff. 1-1-80.

Wis. Admin. Code § Adm 40.02 Purpose {#sec-adm-40.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 40.02}

The purpose of this chapter is to compel disclosure of information so the department can prepare and maintain contingency plans for responding to critical energy shortages so that when the shortages occur, they can be dealt with quickly and effectively.

History

Cr. Register, December, 1979, No. 288, eff. 1-1-80.

Wis. Admin. Code § Adm 40.03 Definitions {#sec-adm-40.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 40.03}

In this chapter:

(1) “Bulk storage facility” means a facility which is primarily used for storage and/or marketing of gasoline, kerosene, distillate, and residual fuel oils and which:

(a) Has total bulk storage capacity of 70,000 gallons or more, or

(b) Receives its petroleum products by tanker, barge, or pipeline.

(2) “Department” means the department of administration.

(3) “Finished petroleum products” means any liquid hydrocarbon from oil or gas field gases which is processed through a distillation unit or topping plant and includes, without limitation because of enumeration, gasoline, kerosene, middle distillate (including number 2 fuel oil and diesel fuels), liquid petroleum gas and refined lubricating oils.

(4) “Refinery” means an industrial plant, regardless of capacity, processing crude oil feedstock and manufacturing finished petroleum products, except when such plant is a petrochemical plant.

History

Cr. Register, December, 1979, No. 288, eff. 1-1-80.

Wis. Admin. Code § Adm 40.04 Reports {#sec-adm-40.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 40.04}

Every refinery and bulk storage facility selling, marketing or distributing finished petroleum products in the state of Wisconsin shall on or before the eighth day of each month file with the department a report showing all stocks of finished petroleum products held in custody or in transit, other than by pipeline, as of midnight on the last day of each month.

History

Cr. Register, December, 1979, No. 288, eff. 1-1-80.

Wis. Admin. Code § Adm 40.05 Information to be confidential {#sec-adm-40.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 40.05}

All information furnished under this chapter shall be considered a confidential trade secret and may be compiled or published only for purposes of general statistical comparison. The information may be disclosed to agencies of the state or of the federal government, under the same or similar rules of confidentiality.

History

Cr. Register, December, 1979, No. 288, eff. 1-1-80.

Wis. Admin. Code § Adm 40.06 Penalties and judicial relief {#sec-adm-40.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 40.06}

Any person or agent of a person who violates this chapter shall be subject to the penalties and judicial relief as provided in s. 16.955 (3), Stats.

History

Cr. Register, December, 1979, No. 288, eff. 1-1-80.

Chapter Adm 42 NUCLEAR POWER PLANTS

Wis. Admin. Code § Adm 42.01 Authority {#sec-adm-42.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 42.01}

Section 16.115, Stats., requires the department of administration to establish a schedule of fees to be paid by nuclear power plant operators.

Note: s. 16.115 (2), Stats., directs the department to establish a second schedule of annual fees which shall begin with the operation of a regional low-level radioactive disposal facility.

History

Cr. Register, May, 1985, No. 353, eff. 6-1-85.

Wis. Admin. Code § Adm 42.02 Schedule of fees {#sec-adm-42.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 42.02}

(1) The following is the schedule of fees to be paid by nuclear power plant operators for each nuclear reactor:

(a) Fiscal year 1986-87 = $9,950.00

(b) Fiscal year 1987-88 = $12,450.00

(d) Fiscal year 1989-90 = $30,200.00

(e) Each fiscal year thereafter = $2,925.00

Note: Fiscal years run from July 1 of the first year, through June 30 of the second year.

(2) The amounts in the schedule shall be due and payable to the department of administration before the end of the appropriate fiscal year.

History

Cr. Register, May, 1985, No. 353, eff. 6-1-85; am. Register, April, 1987, No. 376, eff. 5-1-87.

Chapter Adm 43 NON-MUNICIPAL ELECTRIC UTILITY LOW INCOME ASSISTANCE FEE

Wis. Admin. Code § Adm 43.01 Authority {#sec-adm-43.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.01}

Sections 16.004 (1) and 16.957 (2) (c) and (4) (b), Stats., authorize the department to promulgate rules for non–municipal electric utility low-income assistance fees.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.02 Purpose {#sec-adm-43.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.02}

The purposes of this chapter are to establish the low-income assistance fee to be collected by each non–municipal electric utility from its customers, and to provide procedures for collecting that fee.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.03 Definitions {#sec-adm-43.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.03}

In this chapter:

(2) “Commission” means the public service commission.

(3) “Customer” means the party billed for electric services.

(4) “Customer class” means any grouping of electric customers in the state that is billed for electric service under the same tariff that has been approved by the Commission.

(5) “Department” means the department of administration.

(6) “Electric provider” has the meaning specified in s. 16.957 (1) (f), Stats.

(7) “Electric utility” has the meaning specified in s. 16.957 (1) (g), Stats.

(7m) “Estimated invoiced amounts” means that portion of the low-income assistance program funding level that is approved and annually estimated by the department to be collectable by each non–municipal electric utility from its customers.

(8) “Fiscal year” means the period beginning on July 1 and ending on June 30.

(9) “Fixed charge” means a fixed amount within an electric tariff that is charged periodically to a customer without regard to energy demand or consumption.

(9g) “Low-income assistance fee” means that amount determined by formula that a non-municipal electric utility allocates to and collects from a customer, and may include approved reasonable and prudent expenses.

(9r) “Low-income assistance program funding level” means the total funds to be collected by all electric providers annually under s. 16.957 (4) and (5), Stats.

(10) “Low-income household” has the meaning set forth in s. 16.957 (1) (m), Stats.

(11) “Low-income need” has the meaning set forth in s. 16.957 (1) (n), Stats.

(12) “Municipal utility” has the meaning specified in s. 16.957 (1) (q), Stats.

(13) “Non-municipal electric utility” means any electric utility that is not a municipal utility.

(14) “Non-residential customer” means any customer in this state that receives metered electric services under a commercial or industrial tariff and that is assessed a fixed customer charge at the meter’s location.

(17) “Residential customer” means any customer in this state that receives metered electric services under a residential or farm tariff.

(18) “Retail electric cooperative” has the meaning specified in s. 16.957 (1) (t), Stats.

(19) “Tariff” means a rate schedule and general terms and conditions under which electric service is supplied.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: renum. (1), (15) and (16) to be (7m), (9g) and (9r) and am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.04 Estimating low-income need data {#sec-adm-43.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.04}

The department shall estimate the data required to compute the low-income need annually as directed in s. 16.957 (2) (c) 5., Stats., by the following means:

(1) Total low-income energy bill data shall be estimated by totaling all home energy bills of all low-income households as shown by the most recent data available on or before March 1 from the department’s division of energy.

(2) Average annual income of low–income household data shall be estimated using the annual income of all households at or below 150% of the poverty threshold as shown by the most recent data available on or before March 1.

(3) The number of low–income households shall be estimated by totaling the number of households at or below 150% of the poverty threshold as shown by the most recent data available on or before March 1.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. (2) and (3) Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.05 Establishing the low-income assistance program funding level {#sec-adm-43.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.05}

(1) Annually on or before March 1 the department shall determine, in accordance with s. 16.957 (4) and (5), Stats., the low-income assistance program funding level for the following fiscal year.

(2) When establishing the low-income assistance program funding level, the department shall determine the number of residential and non–residential customers served by each electric provider based on the most recent data available on or before April 1.

(3) After establishing the low-income assistance program funding level, the department, using the formulas provided in s. 16.957 (4) (c) and (5), Stats., shall determine the portion of the low-income assistance program funding level that the non–municipal electric utilities shall collect each fiscal year. The department shall allocate 70% of this portion to be collected from residential customers and 30% to be collected from non–residential customers.

(4) After determining the residential and non-residential amounts to be collected, the department shall make a determination as to the ability to collect the full amounts as determined by the formula. The basis of the determination shall be multiplying the most recent gross sales of the non-municipal electric utilities by the cap of 3%. If the department determines that the result exceeds the non-municipal electric utility’s ability to collect, the department may reduce the amount to be collected to a level the department believes can be collected.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: r. and recr. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.06 Allocating the amount invoiced {#sec-adm-43.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.06}

(1) The department shall annually determine the number of residential and non-residential customers for each non-municipal electric utility based upon the most recent data available on or before April 1.

(2)

(a) The department shall calculate the amount to be collected by determining a residential component and a non-residential component and adding those components together.

(b) The residential component shall be estimated by calculating each non-municipal electric utility’s percentage of the total number of residential customers served by all non-municipal electric utilities. This percentage shall be multiplied by the amount allocated to all residential customers under s. Adm 43.05 (3).

(c) The non-residential component shall be estimated by calculating each non-municipal electric utility’s percentage of total non-residential customers served by all non-municipal electric utilities. This percentage shall be multiplied by the amount allocated to all non-residential customers under s. Adm 43.05 (3).

(d) In cooperation with the non–municipal electric utilities, the department may adjust the estimated residential component to minimize any inequities resulting from the application of the restrictions in s. 16.957 (4) (c) 3., Stats., in order to produce a more uniform low-income assistance fee. The adjustment process may change the amount of the residential component allocated to a non–municipal electric utility, but shall not change the total residential component.

(e) In cooperation with the non–municipal electric utilities, the department may adjust the estimated non–residential component to minimize any inequities resulting from the application of the restrictions in s. 16.957 (4) (c) 3., Stats., in order to produce a more uniform low-income assistance fee. The adjustment process may change the amount of the non–residential component allocated to a non–municipal electric utility, but shall not change the total non–residential component.

(3) The department shall provide all calculations and related information in writing to each non–municipal electric utility in the form of a single annual notification on or before May 15. This documentation shall include an itemization of the residential and non–residential components based on the proportions prescribed in s. 16.957 (4) (b) 2., Stats.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. (1), (2) (a), (d), (e) and (3) Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.07 Collecting the low-income assistance fee {#sec-adm-43.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.07}

(1) Deadlines. The department may, at its discretion, modify any deadlines contained in this rule upon notification to the appropriate affected parties.

(2) Collection plan. On or before June 1, each individual non–municipal electric utility shall submit a collection plan and supporting documentation to the department for collecting the following fiscal year’s amount invoiced and for recovering reasonable and prudent expenses. The low-income assistance fee collection plan shall be based on the calculations and related information provided by the department under s. Adm 43.06. Each non–municipal electric utility shall submit documentation that demonstrates its implementation plan and a budget of expenses necessary to comply with the requirements in s. Adm 43.09.

(3) Charges billed. Each customer bill that includes a low-income assistance fee shall identify the low-income assistance fee as a “state low-income assistance fee.” All charges relating to the cost of supplying electric service to a residential or non–residential customer shall constitute the basis for calculating the limit on customer bill increases specified in s. 16.957 (4) (c) 3., Stats.

(4) Equitable allocation. Each non–municipal electric utility shall submit documentation with its low-income assistance fee collection plan that demonstrates that the amounts of the low-income assistance fee it intends to bill its residential and non–residential customers equitably allocates the amount constituting the residential component among its residential customer classes, and the amount constituting the non–residential component among its non–residential customer classes. The amount of the low-income assistance fee may vary between customer classes, but shall be uniform within a customer class, except for variations due to the maximum bill increase restrictions in s. 16.957 (4) (c) 3., Stats.

(5) Request for rebate. A customer that pays one or more bills to a single non–municipal electric utility for meters located within that utility’s service territory, may present documentation to and request relief from that non–municipal electric utility if the low-income assistance fees paid by the customer within that utility’s service territory, when aggregated by the customer, exceed $750 in any month. The non–municipal electric utility shall rebate that portion of the low-income assistance fee that exceeds $750 in any month. Any amount so rebated to a customer under this provision shall be treated as an under–collection for purposes of s. Adm 43.08 (3).

(6) Department review. On or before June 10, the department shall approve, modify, or deny each proposed collection plan and notify each non–municipal electric utility accordingly. The department shall provide reasons for a denial or modification in writing. A non–municipal electric utility may protest a denial or modification of its collection plan under the procedures set forth in s. Adm 43.12.

(7) Plan implementation. Each non–municipal electric utility shall implement an approved or modified low-income assistance fee collection plan at the start of the first monthly or periodic billing cycle of the following fiscal year. A modified collection plan shall be implemented even if a protest has been filed under s. Adm 43.12.

(8) Department denial.

(a) If the department denies a proposed low-income assistance fee collection plan, the non–municipal electric utility shall resubmit a collection plan to the department on or before June 20 for the department’s approval even if a protest has been filed under s. Adm 43.12. A resubmitted collection plan must address all comments and suggestions provided by the department in its denial.

(b) If the department denies a resubmitted collection plan, the non–municipal electric utility shall collaborate with the department to prepare a collection plan acceptable to the department. If the parties are unable to reach an agreement on or before June 25, the department shall issue a collection plan for the non–municipal electric utility to implement the following fiscal year.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.08 Payment and reconciliation of the low-income assistance fee {#sec-adm-43.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.08}

(1) Payment due dates. Each non–municipal electric utility shall make payments to the department of the estimated invoiced amount, no later than the 15th day of each month.

(2) Late payments. Payments received after the 15th day of each month shall be assessed interest at the rate required by the commission for customer deposits for residential service set forth in s. PSC 113.0402 (9) (b).

(3) Reconciliation of collected fees.

(a) The department and each non-municipal electric utility shall at a minimum, once per year reconcile actual residential collections less total reasonable and prudent expenses approved by the department, with estimated invoiced amounts. All collections that exceeded the estimated invoiced amounts will be collected through an adjustment to the next invoice. A non-municipal electric utility that collected less than the estimated invoiced amount will receive a credit to their next invoice in the amount of the under collection. In the event that overall collections are significantly under the total estimated invoiced amount the department may postpone crediting the following invoice until the next reconciliation period if the department determines substantial harm would be done to the operation of the low-income programs.

(b) Once in any fiscal year, a non–municipal electric utility may submit a written request to the department to adjust its low-income assistance fee collection plan. The request shall contain the current amount that has been over–collected or under–collected and the amount that is forecasted to be over–collected or under–collected for the remainder of the fiscal year, the reasons for the differences and the non–municipal electric utility’s proposed adjustments to its approved low-income assistance fee collection plan. The department shall indicate its approval or disapproval of the proposed adjustments in writing within 30 days of receipt of the request. The non–municipal electric utility may implement the collection plan adjustment immediately upon department approval. If the department does not approve a collection plan adjustment, the affected non–municipal electric utility may protest under procedures set forth in s. Adm 43.12.

(c) The department shall adjust a non–municipal electric utility’s low-income assistance fee collection plan effective on the beginning of the fiscal year for which the collection plan was submitted, upon a successful appeal filed under s. Adm 43.12.

(4) Accounts receivable and uncollectible accounts. A non–municipal electric utility’s reconciliation statement may include an estimation of the uncollected amount of its preceding year’s low-income assistance fee that is recorded as an accounts receivable. A non–municipal electric utility’s reconciliation statement may also include an estimated amount of its low-income assistance fee that was recorded in a previous fiscal year as accounts receivable and has been subsequently recognized as uncollectible revenues. The cost of uncollectible revenues may be included in a request for reasonable and prudent expenses in s. Adm 43.09.

(5) Records. Each non-municipal electric utility shall maintain accurate records that allow the amount billed to and the amount collected from its residential and non-residential customers in each fiscal year to be measured against the amount invoiced, plus the total reasonable and prudent expenses approved by the department. The records shall be organized by customer class for residential customers and non-residential customers.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. (title), (1), (3) (b) and (4), r. and recr. (3) (a), r. (3) (c), renum. (3) (d) to be (3) (c) and am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.09 Requesting approval for reasonable and prudent expenses {#sec-adm-43.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.09}

(1) A non–municipal electric utility may request recovery of reasonable and prudent expenses incurred in the development and implementation of its low-income assistance fee collection plan. The request shall be submitted in writing to the department for approval on or before February 15. The request shall include an accounting of actual costs for the previous calendar year. The non–municipal electric utility may include approved expenses in its low-income assistance fee collection plan for the following fiscal year.

(2) The department shall determine the amount of reasonable and prudent expenses that may be recovered and shall notify the non-municipal electric utility in writing of that amount on or before March 15.

(3) Requests for expenses that are recovered by a non-municipal electric utility in a current tariff shall be denied.

(4) A non-municipal electric utility may appeal a denial of expenses under the procedures set forth in s. Adm 43.12.

(5) A non-municipal electric utility shall document all reasonable and prudent expenses it seeks to include in the low-income assistance fee.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. (1) and (5) Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.10 Voluntary contributions {#sec-adm-43.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.10}

(1) Annual opportunity. At least annually, each electric utility shall provide its residential and non-residential customers an opportunity to make voluntary contributions to the trust fund established under s. 25.96, Stats., to fund their choice of programs established in s. 16.957 (2) (a), Stats. An electric utility shall provide the opportunity for its residential and non-residential customers to make such voluntary contributions by including an insert and return envelope in the mailing containing the annual public benefits report required by s. 16.957 (4) (am), Stats. Each electric utility may provide opportunities for its residential and non-residential customers to make voluntary contributions to an energy assistance fund administered by the electric utility at other times and by other methods.

(2) Designee for receipt. The department may provide a designee to receive voluntary contributions from an electric utility’s customers. Each electric utility shall forward to the department or its designee any voluntary contributions it receives for the utility public benefits fund. The department’s designee shall receive, process and keep records of all voluntary contributions.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. (1) Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.11 Reports and annual statements {#sec-adm-43.11 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.11}

(1) Financial report. No later than 60 days after the end of each fiscal year, each non–municipal electric utility shall submit to the department a complete financial report of its low-income assistance fees. The report shall include a complete explanation of the collection reconciliation and the balance as of the end of the fiscal year, an assessment of the implementation of its low-income assistance fee collection plan, the amount collected by customer class, and any other matter the department determines necessary.

(2) Department statement. The department shall provide each non-municipal electric utility with an annual statement within 120 days of the end of each fiscal year identifying the total amount of the annual amount invoiced to each non-municipal electric utility, and describing the programs for which the low-income assistance fees were used.

(3) Non-municipal electric utility statement. Each non-municipal electric utility shall distribute the department’s annual statement to each of its residential and non-residential customers. No non-municipal electric utility may be required to provide an individual customer the specific amount of low-income assistance fees assessed to that customer when it distributes the department’s annual statement.

(4) Reports in electronic format. Each non-municipal electric utility shall submit the report in sub. (1), using an electronic format specified by the department.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: r. (1), renum. (2) to (4) to be (1) to (3) and am., cr. (4) Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 43.12 Appeals {#sec-adm-43.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 43.12}

(1) Right to protest. A non–municipal electric utility that disputes the department’s denial or modification of its proposed low-income assistance fee collection plan, the denial of an expense request, or the denial of a reconciliation statement may protest to the department. The non–municipal electric utility shall serve the protest in writing on the administrator of the department’s division of energy within 15 days of the receipt of the department’s denial or modification of the proposed low-income assistance fee collection plan under s. Adm 43.07, the reconciliation statement under s. Adm 43.08, or the expense claim under s. Adm 43.09.

(2) Authority to resolve protests. The administrator of the department’s division of energy shall have the authority to settle and resolve any protest brought under this subsection. If the protest is not resolved by mutual agreement, the division administrator shall promptly issue a written decision to the protesting utility.

(3) Appeal. A protesting utility may appeal the decision of the division administrator by alleging a violation of statute or a provision of this chapter to the secretary of the department within 30 calendar days of issuance of the administrator’s decision. The secretary or secretary’s designee shall take necessary action to settle and resolve the appeal and shall promptly issue a decision in writing which shall be mailed or otherwise served on the protesting utility.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-078: am. (1) and (2) Register August 2008 No. 632, eff. 9-1-08.

Chapter Adm 45 LOW-INCOME ASSISTANCE

Wis. Admin. Code § Adm 45.01 Authority {#sec-adm-45.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 45.01}

Sections 16.004 (1) and 16.957 (2) (c) 2., Stats., authorize the department to promulgate rules for low-income assistance programs.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-080: am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 45.02 Purpose {#sec-adm-45.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 45.02}

The purpose of this chapter is to establish general eligibility and application requirements and procedures for assistance under a low-income assistance program established under s. 16.957 (2) (a), Stats.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-080: am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 45.03 Definitions {#sec-adm-45.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 45.03}

In this chapter:

(1) “Approving authority” means the department or a contractor responsible for application review and program eligibility determination designated by the department.

(2) “Benefit” means an award of financial or other assistance by the department or a contractor designated by the department to an eligible household under a low-income assistance program.

(3) “Contractor” means a community action agency described in s. 49.265 (2) (a) 1., Stats., a nonstock, nonprofit corporation organized under ch. 181, Stats., or a local unit of government under contract with the department that provides services under a low-income assistance program.

(4) “Department” means the department of administration.

(5) “Household” has the meaning set forth in s. 16.27 (1) (c), Stats.

(5m) “Juvenile correctional facility” has the meaning specified in s. 938.02 (10p), Stats.

(6) “Low income assistance program” means a program established in accordance with s. 16.957 (2) (a), Stats.

(7) “Person” has the meaning set forth in s. 990.01 (26), Stats.

(8) “Secured child caring institution” has the meaning specified in s. 938.02 (15g), Stats.

(10) “State prison” has the meaning specified in s. 302.01, Stats.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-080: am. (2), (3), (6) and (9) Register August 2008 No. 632, eff. 9-1-08; corrections in (3) and (5) made under s. 13.92 (4) (b) 7., Stats., and (9) renum. to (5m) under s. 13.92 (4) (b) 1., Stats., Register August 2008 No. 632.

Wis. Admin. Code § Adm 45.04 Eligibility requirements {#sec-adm-45.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 45.04}

(1) A person or household eligible to receive fuel bill payment assistance, early identification crisis assistance, weatherization or conservation services, and similar low-income assistance from federally funded programs specified in ss. 16.26 and 16.27, Stats., shall be eligible for assistance through a low-income assistance program.

(2) The following are not eligible for assistance under a low-income assistance program:

(a) A person or household eligible to receive low-income assistance from a municipal utility or retail electric cooperative that elects to operate a commitment to community program as specified in s. 16.957 (5) (b) 1., Stats.

(b) A person who is imprisoned in a state prison or a person placed at a juvenile correctional facility or a secured child caring institution.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-080: am. (1), (2) (intro.) and (b) Register August 2008 No. 632, eff. 9-1-08; correction in (2) (a) made under s. 13.92 (4) (b) 7., Stats., Register August 2008 No. 632.

Wis. Admin. Code § Adm 45.05 Program elements {#sec-adm-45.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 45.05}

The department shall annually announce new or continued programs offered by the department that will provide low-income assistance. The department shall also provide specific information on the application process, where to obtain an application, the eligibility criteria, and where to file the application for each program created or continued under s. 16.957 (2) (a), Stats.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-080: am. Register August 2008 No. 632, eff. 9-1-08.

Wis. Admin. Code § Adm 45.06 Application requirements {#sec-adm-45.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 45.06}

(1) A person or household may apply for a benefit from a low-income assistance program by completing an application on forms prescribed by the department. At a minimum an application shall contain the names and ages of all household members, residence address, actual or estimated fuel use, documentation of income, the names of home energy providers and the social security number of the head-of-household.

(2) An application shall be submitted to the approving authority identified on the form. All applications shall be executed by at least one individual from the eligible person or household.

(3) An application shall be approved or denied within 45 days of the receipt of the completed application by the approving authority.

(4) A person or household whose application is denied may request the approving authority to review the application for accuracy of information and the appropriateness of designation.

History

Cr. Register, November, 2000, No. 539, eff. 12-1-00; CR 07-080: am. (1) Register August 2008 No. 632, eff. 9-1-08.

Chapter Adm 46 HIGH-VOLTAGE TRANSMISSION LINE FEE

Wis. Admin. Code § Adm 46.01 Authority {#sec-adm-46.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 46.01}

Sections 16.004 (1) and 16.969 (2), Stats., authorize the department to promulgate rules for payment of annual and one-time environmental impact fees by persons issued a certificate for construction of high-voltage transmission lines.

History

CR 01-048: cr. Register January 2002 No. 553, eff. 2-1-02.

Wis. Admin. Code § Adm 46.02 Purpose {#sec-adm-46.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 46.02}

The purpose of this chapter is to establish a process for billing, collecting and distributing annual and one-time environmental impact fees to be paid to the department by persons issued a certificate by the commission for the construction of high voltage transmission lines.

History

CR 01-048: cr. Register January 2002 No. 553, eff. 2-1-02.

Wis. Admin. Code § Adm 46.03 Definitions {#sec-adm-46.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 46.03}

In this chapter:

(1) “Certificate” means a certificate of public convenience and necessity issued under s. 196.491 (3) (a), Stats.

(2) “Commission” means the public service commission.

(3) “Department” means the department of administration.

(4) “Eligible municipality” means a county, town, village or city through which a high-voltage transmission line is routed, as identified by the commission under s. 196.491 (3) (gm), Stats.

(5) “High-voltage transmission line” has the meaning given in s. 16.969 (1) (b), Stats.

(6) “Initial year of construction” means the calendar year in which construction of a high-voltage transmission line begins, as determined by the commission.

(7) “Person” includes all individuals, partnerships, associations, limited liability companies and bodies politic or corporate.

History

CR 01-048: cr. Register January 2002 No. 553, eff. 2-1-02.

Wis. Admin. Code § Adm 46.04 Annual impact fee, invoice and payment {#sec-adm-46.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 46.04}

(1) Initial year of construction. In the initial year of construction, no more than 60 days after construction has begun and the commission transmits to the department the determination of the cost of construction for a high-voltage transmission line, identification of eligible municipalities, and allocation of the associated amount of investment, the department shall invoice the person issued a certificate the annual impact fee in an amount equal to 0.3 % of the cost of the high-voltage transmission line as determined by the commission under s. 196.491(3) (gm), Stats. The department shall prorate the annual impact fee in the initial year of construction based upon the proportion of the year remaining after the date construction begins. Payment of the fee in the initial year of construction shall be due 45 days after the date the invoice is mailed by the department.

(2) Subsequent year invoice and payment. On or before March 1 in each calendar year after the initial year of construction, the department shall invoice a person issued a certificate in an amount equal to 0.3 % of the cost of the high-voltage transmission line as determined by the commission under s. 196.491(3) (gm), Stats. Payment of the fee in subsequent years shall be due on or before May 1 of each year.

(3) Fee adjustment. The department shall adjust any subsequent annual impact fee as necessary upon receipt from the commission of adjusted costs of construction after completion of the construction of a high-voltage transmission line.

History

CR 01-048: cr. Register January 2002 No. 553, eff. 2-1-02.

Wis. Admin. Code § Adm 46.05 One-time environmental impact fee {#sec-adm-46.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 46.05}

(1) In the calendar year in which construction of a high-voltage transmission line begins, a person issued a certificate shall pay a one-time environmental impact fee in the amount of 5 % of the cost of the high-voltage transmission line, as determined by the commission under s. 196.491(3) (gm), Stats. The department shall invoice this fee no more than 60 days after the commission transmits the required information to the department under s. Adm 46.04. Payment of the fee shall be due 60 days after receipt of the invoice.

(2) The department shall adjust the one-time environmental impact fee as necessary upon receipt from the commission of adjusted costs of construction after completion of the construction of a high-voltage transmission line if the adjusted costs exceed the initial cost determination made by the commission under s. 196.491 (3) (gm), Stats.

History

CR 01-048: cr. Register January 2002 No. 553, eff. 2-1-02.

Wis. Admin. Code § Adm 46.06 Distribution of fees {#sec-adm-46.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 46.06}

(1) Annual impact fees. No more than 60 days after receipt of the fee under s. Adm 46.04, the department shall distribute the fee to each town, village and city that is an eligible municipality in proportion to the amount of investment allocated to each eligible municipality by the commission under s. 196.491 (3) (gm), Stats.

(2) One-time environmental impact fee. No more than 60 days after receipt of the fee under s. Adm 46.05, the department shall distribute 50% of the fee to each county that is an eligible municipality, and 50% of the fee to each town, village and city that is an eligible municipality, in proportion to the amount of investment allocated to each by the commission under s. 196.491 (3) (gm), Stats.

History

CR 01-048: cr. Register January 2002 No. 553, eff. 2-1-02.

Wis. Admin. Code § Adm 46.07 Late payments {#sec-adm-46.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 46.07}

Annual impact fee payments received by the department more than 45 days after the date the invoice is mailed in the initial year of assessment, or after May 1 in subsequent years, shall be assessed interest at a rate, and in the same manner, as required by the commission for customer deposits for residential service as specified in s. PSC 113.0402 (9) (b).

History

CR 01-048: cr. Register January 2002 No. 553, eff. 2-1-02.

Chapter Adm 47 WISCONSIN LAND INFORMATION PROGRAM GRANTS-IN-AID TO LOCAL GOVERNMENT

Wis. Admin. Code § Adm 47.01 Purpose and authority {#sec-adm-47.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 47.01}

This chapter is promulgated under the authority of ss. 16.004 (1) and 227.11, Stats., to implement s. 16.967 (7), Stats.

History

Cr. Register, May, 2000, No. 533, eff. 6-1-00.

Wis. Admin. Code § Adm 47.02 Definitions {#sec-adm-47.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 47.02}

In this chapter:

(1) “Applicant” means a local governmental unit as defined in s. 59.72 (1) (c), Stats., applying for a grant under this chapter.

(2) “County-wide plan for land records modernization” means the plan under s. 59.72 (3) (b), Stats., approved by the department under s. 16.967 (3) (e), Stats.

(3) “Department” means the department of administration.

(4) “Eligible applicant” means a local governmental unit as defined in s. 59.72 (1) (c), Stats., located wholly or partially within a county that has established a land information office under s. 59.72 (3), Stats., and has in effect a county-wide plan for land records modernization.

(5) “Fiscal year” has the meaning given in s. 20.902, Stats.

(6) “Land information” has the meaning given in s. 16.967 (1) (b), Stats.

(7) “Land information system” has the meaning given in s. 16.967 (1) (c), Stats.

(8) “Land records” has the meaning given in s. 16.967 (1) (d), Stats.

(9) “Land records modernization” means the process by which land information can ultimately be shared through the implementation of automated land information systems.

(10) “Systems integration” has the meaning given in s. 16.967 (1) (e), Stats.

History

Cr. Register, May, 2000, No. 533, eff. 6-1-00; CR 06-084: r. (2), renum. (3) to (11) to be (2) to (10) and am. (2), Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 47.03 Eligible projects and activities {#sec-adm-47.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 47.03}

A county may apply to the department for a grant for any of the following projects:

(1) The design, development and implementation of a land information system as provided by s. 16.967 (7) (a) 1., Stats.

(2) The preparation of parcel property maps as provided by s. 16.967 (7) (a) 2., Stats.

(3) The preparation of maps that are suitable for use by local governmental units for planning purposes as provided by s. 16.967 (7) (a) 3., Stats.

(4) The design, development and implementation of systems integration projects as provided by s. 16.967 (7) (a) 4., Stats.

(5) The training and education of eligible applicants as defined in s. 59.72 (1) (c), Stats., involved in the design, development and implementation of land information systems and systems modifications.

History

Cr. Register, May, 2000, No. 533, eff. 6-1-00; CR 06-084: am. (intro.) Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 47.04 Grants {#sec-adm-47.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 47.04}

Subject to availability of funds, the department shall determine annual grant amounts for eligible projects under s. Adm 47.03, by October 15, of each year. A grant may not exceed $100,000. The department may award more than one grant to a county board. Any funds not granted in any given year shall remain available for general distribution to eligible local units of government, at the discretion of the department in future grant cycles. In carrying out its duties under this section, including setting priorities for grant funding, the department may seek advice and assistance from state agencies, local governmental units, and other experts involved in collecting and managing land information. The department may provide the following grant categories:

(1) Training and education grants as provided in s. Adm 47.03 (5), shall be available to provide the county land information officer or the officer’s designee with training for the design, development and implementation of a land information system. A county may receive up to $300 to participate in workshops and courses provided by institutions of higher education, professional land information organizations or land information system vendors.

(2) Land information system base budget grants for eligible projects and activities provided in s. Adm 47.03 (1) through (5), shall be available to provide a minimum funding level to enable a county land information office to develop, maintain and operate a basic land information system. To be eligible for this category, the fees that a county retained under the provisions of s. 59.72 (5) (b), Stats., shall be less than $50,000 for the preceding fiscal year.

(3) Local government contribution based grants shall be available to fund eligible projects and activities as provided in s. Adm 47.03 (1) through (5), that are consistent with the countywide plan for land records modernization. A county may receive an amount equal to the available funds divided proportionately according to the rate of county fee submittals under s. 59.72 (5) (a), Stats., for the preceding fiscal year.

(4) Strategic initiative grants for eligible projects and activities as provided in s. Adm 47.03 (1) through (5), for expediting and fostering statewide and regional strategic initiatives consistent with specific statutory requirements and standards adopted by the department.

Note: The Wisconsin Land Information program statutes and the standards adopted by the Department may be obtained from the Department’s Land Information Program at P.O. Box 8944, Madison, Wisconsin or at the following website: http://www.doa.state.wi.us/dir/index.asp.

History

Cr. Register, May, 2000, No. 533, eff. 6-1-00; CR 06-084: am. (intro.), (2) and (4), Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 47.05 Grant application {#sec-adm-47.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 47.05}

All applications shall be submitted on the authority of the county board on behalf of an eligible applicant. Application authority shall be obtained by specific action of the county board. The department may request evidence of such authority. County boards may delegate their authority to apply for grants to the entity responsible for administration of the county land information office established under s. 59.72 (3), Stats. Any such delegation shall be explicit. All applications shall be fully completed and submitted on forms provided by the department before the deadline established by the department. Applications shall be executed under the authority of both the county or delegated authority and the eligible applicant. The department shall give notice of application periods to county land information offices at least 90 days prior to the deadline for submission of applications.

Note: Grant Applications can be obtained by calling or writing the Wisconsin Land Information Program, Department of Administration, P. O. Box 8944, Madison, WI 53708-8944 (telephone 608/267-3369). The application may also be viewed and printed at the following website: http://www.doa.state.wi.us/dir/index.asp.

History

Cr. Register, May, 2000, No. 533, eff. 6-1-00; CR 06-084: am. Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 47.06 Evaluation criteria {#sec-adm-47.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 47.06}

Grant requests shall be reviewed and evaluated by department staff for department approval. All grant applications shall be evaluated on the applicant’s responsiveness to the following requirements:

(1) Applicants shall evidence specific plans for cooperation and partnership with local units of government, located fully or partially within the geographic borders of the county making application, to collect, maintain, integrate and share land information, data and associated metadata.

(2) Projects shall meet or exceed all relevant statutory requirements and standards established by the department under s. 16.967 (3) (c) and (e), Stats.

(3) Projects shall be consistent with the countywide plan for land records modernization.

(4) Applicants shall complete and submit an annual land information program survey.

(5) Applicants shall subscribe to and participate in the Wisconsin land information program’s internet land information officers technical assistance email list serve.

History

Cr. Register, May, 2000, No. 533, eff. 6-1-00; CR 06-084: am. (intro.) and (2), Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 47.07 Grant agreements {#sec-adm-47.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 47.07}

Grants are contingent upon the execution of a grant agreement. Failure of a grantee to execute a grant agreement shall result in withdrawal of the offer. The department and the grantee may negotiate the specific budget items, project goals, and other terms and conditions prior to the department approving the grant. Terms of a grant award shall be administered through the grant agreement.

History

Cr. Register, May, 2000, No. 533, eff. 6-1-00; CR 06-084: am. Register December 2006 No. 612, eff. 1-1-07.

Chapter Adm 48 COMPREHENSIVE PLANNING AND TRANSPORTATION PLANNING GRANTS PROGRAM

Wis. Admin. Code § Adm 48.01 Purpose and authority {#sec-adm-48.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.01}

This chapter is promulgated under the authority of ss. 16.004 (1) and 227.11, Stats., to implement ss. 16.965 and 16.9651, Stats.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02; correction made under s. 13.92 (4) (b) 7., Stats., Register July 2011 No. 667.

Wis. Admin. Code § Adm 48.02 Definitions {#sec-adm-48.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.02}

In this chapter:

(1) “Applicant” means a local governmental unit as defined in ss. 16.965 (1) (a) and 16.9651 (1), Stats., applying for a grant under this chapter.

(2) “Base funding level” means the levels found in the table in s. Adm 48.05 (1).

(3) “Comprehensive plan” means a plan as defined in s. 66.1001 (1) (a), Stats.

(4) “Council” means the Wisconsin land council as defined in s. 15.107 (16), Stats.

Note: Section 15.107 (16), Stats., Wisconsin Land Council, was repealed in 2011 Wisconsin Act 257. Section 48.02 (4) will be modified accordingly in future rule-making by the Department.

(5) “Department” means the department of administration.

(6) “Grantee” means an applicant that has been awarded a grant under a signed grant agreement with the department.

(7) “Grant agreement” or “agreement” means a contract signed by the local governmental unit to complete a comprehensive plan under s. 66.1001, Stats., and the department.

(8) “Grant period” means the period of time specified in s. Adm 48.09 (2).

(9) “In-kind services” means services rendered by the local governmental unit defined in s. 66.1001 (1) (b), Stats. Federal grant funds are not included as in-kind services.

(10) “Multi-jurisdictional plan” means 2 or more local governmental units participating in the development of a single comprehensive plan that covers the jurisdictions of those local governmental units which is adopted separately by each unit under s. 66.1001, Stats. A county comprehensive plan is a multi-jurisdictional plan if the county and 2 or more local governmental units located in the county participate and adopt the plan.

(11) “Plan” and “planning effort” means a comprehensive plan as defined in s. 66.1001 (1) (a), Stats.

(12) “Plan update” means a revision to an existing county development plan under s. 59.69 (3), Stats., or to a master plan under ss. 62.23 (2) or (3) or 66.0309 (8), (9) or (10), Stats., to comply with the comprehensive plan provisions of s. 66.1001, Stats. A plan update may include a revision to an existing comprehensive plan under s. 66.1001, Stats.

(13) “Planning grant manual” means the document published annually by the department which includes the grant application, instructions, application and scoring timelines, detailed scoring, application review process, funding availability, and other pertinent information relating to the current grant cycle.

(14) “Planning grant priority list” means the department’s ranking of grant applications by the numeric order of the scores.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Wis. Admin. Code § Adm 48.03 Eligible activities {#sec-adm-48.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.03}

(1) An applicant may apply to the department for a grant to develop a plan or plan update for any of the following activities:

(a) Services and activities included in ss. 16.965 (2) and 16.9651 (2), Stats., including contracting for planning consultant services, public planning sessions, educational activities, and purchase of computerized planning data, planning software and hardware required to utilize planning data or software.

(b) Development of the plan document including printing costs.

(c) Public participation and outreach activities including educational materials, citizen surveys, internet activities and newsletters.

(d) Development, purchase and documentation of data, maps and computerized information used within the plan or plan update as follows:

Digital mapping and data development activities funded under this grant such as geographic information system development shall be consistent with applicable county land records modernization plans developed under s. 59.72 (3) (b), Stats.
Digital mapping and data development activities funded under this grant may not duplicate efforts funded through the Wisconsin land information program under s. 16.966, Stats.

Note: Approved land records modernization plans and the planning grant manual can be obtained from the Comprehensive Planning Grant Program, Department of Administration, P.O. Box 8944, Madison, WI 53707 (telephone 608/267-3369).

(e) Other activities that the applicant deems necessary in the preparation of a plan or plan update except ineligible activities noted under s. Adm 48.03 (2).

(2) The following activities are ineligible for funding under this grant:

(a) Segmented activities not related to the development of a plan or plan update such as highway corridor plans, outdoor recreational plans and recreational trail plans.

(b) Planning activities and plan development costs incurred by the applicant prior to the council approving the grant priority list under s. Adm 48.08.

Note: Section 15.107 (16), Stats., Wisconsin Land Council, was repealed in 2011 Wisconsin Act 257. Pursuant to s. 16.9651 (2), Stats., “Prior to awarding a grant under this section, the department shall forward a detailed statement of the proposed expenditures to be made under the grant to the secretary of transportation and obtain his or her written approval of the proposed expenditures.” Section 48.03 (2) (b) will be modified accordingly in future rule-making by the Department.

(d) Activities undertaken by applicants that have received a fully funded planning grant under s. Adm 48.05 within the previous ten years.

(e) Purchase of property or land.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Wis. Admin. Code § Adm 48.04 Grant application {#sec-adm-48.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.04}

(1) The department shall make the planning grant manual available by September 1st of each year.

(2) All grant applications shall be completed on forms provided by the department and follow instructions according to the planning grant manual.

(3) All grant applications shall be approved by specific action of each governmental unit participating.

(4) The department shall review the submitted application for consistency with eligible activity requirements and may delete parts of the request for grant funding that do not reasonably relate to the development and adoption of a plan.

(5) Signed grant applications must be received by the department by November 1st.

(6) The department shall make copies of submitted application materials available to the public after the planning grant priority list has been approved under s. Adm 48.08 (1).

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Wis. Admin. Code § Adm 48.05 Planning grants {#sec-adm-48.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.05}

(1) The department shall provide grants based on the population from the department’s official population estimates of the local governmental unit and the base funding level noted in the table below.

(2) Subject to availability of funds, applicants shall be eligible for not less than 50% of the base funding level noted in sub. (1) except as provided in sub. (3).

(3) When an applicant’s cost for the comprehensive plan is less than the base funding level noted in sub. (1), the community shall be eligible for up to 75% of the actual plan costs not to exceed the eligible grant amount in sub. (2).

Example: A town’s population is 300. The town’s proposed cost of plan is $12,000. The town would be eligible for up to a $9,000 grant.

(4) When the population of the applicant is within 5% of the next higher population category, the applicant’s base funding level shall be the average of the 2 categories.

Example: A village’s population is 1,993. The eligible base funding level of the village is $25,000

(5) For a multi-jurisdictional plan, each local governmental unit participating within the application shall add together the base funding levels of each unit participating plus add an additional 10% incentive of the total base funding level for each city, village and town.

(6) For a multi-jurisdictional plan where all towns within a county participate jointly under a county plan and are included within a single grant application, the maximum grant award shall also include a 10% incentive of the county base funding level.

Note: In s. Adm 48.05 (5), Example 2, if all towns in Holstein Co. participate, the maximum grant award increases by the additional $20,000 incentive (10% of $200,000 = $20,000).

(7) A grantee’s local match is the difference between the total cost for the comprehensive plan development and the grant provided under this chapter. A grantee’s local match may be financed in the annual budget, by in-kind services and through grants from other sources. Not more than 50% of the local match may be through federal grants.

(8) The grant may contain multiple state and federal funding sources. The department shall comply with the requirements and provisions of the funding sources and shall require grantees to comply with any requirements related to the funding sources. Requirements of these funding sources shall be outlined in the planning grant manual.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Wis. Admin. Code § Adm 48.06 Grant application scoring criteria {#sec-adm-48.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.06}

The grant application scoring criteria is based upon preferences in s. 16.965 (4), Stats., and shall be scored as follows:

(1) Thirty percent of the total points available shall be assigned to addressing the interests of overlapping or neighboring jurisdictions. Applications may be evaluated based on the applicant:

(a) Providing a list of participants anticipated within the development of a plan or plan update and addressing coordination efforts within the planning process with these participants.

(b) Identifying the process to review existing plans of these participants and identifying discrepancies between plans.

(d) Addressing implementation efforts to minimize conflicts between jurisdictions.

(e) Including proposals for coordination within extraterritorial boundaries through intergovernmental cooperation techniques.

(f) Including proposals for cooperative agreements.

(g) Engaging in a multi-jurisdictional plan as defined in s. Adm 48.02 (10).

(2) Twenty-five percent of the total points available shall be assigned to providing a specific description of the means by which all of the local, comprehensive planning goals specified in s. 16.965 (4), Stats., will be achieved. Applications may be evaluated based on the applicant:

(a) Addressing each of the goals and discussing the specific elements within s. 66.1001, Stats., in which each of these goals will be addressed.

(b) Describing specific locational issues within the discussion of the goals such as population changes, transportation needs, environmental issues, housing issues and other planning issues.

(3) Twenty percent of the total points available shall be assigned to providing a description of the process to identify smart growth areas. Under s. 16.965, Stats., a smart growth area is an area that will enable the development and redevelopment of lands with existing infrastructure and municipal, state and utility services, where practicable, or that will encourage efficient development patterns that are both contiguous to existing development and at densities which have relatively low municipal, state governmental and utility costs. Applications may be evaluated based on the applicant:

(a) Identifying the planning process for identifying potential smart growth areas and the policy implications for implementing these areas.

(b) Describing the implementation of smart growth areas.

(d) Identifying demographic, social and economic changes within the past 10 years.

(4) Twelve percent of the total points available shall be assigned to including planning efforts, including subsequent updates and amendments, that include development of implementing ordinances, including ordinances pertaining to zoning, subdivisions and land division. Applications may be evaluated based on the applicant:

(a) Addressing the process of developing or updating ordinances and other implementation strategies that are consistent with the provisions of the plan or plan update.

(b) Identifying land use issues related to new, anticipated, or potential transportation facilities or improvements.

(c) Identifying innovative plan implementation techniques such as improved processes and coordination techniques among neighboring and overlapping jurisdictions, community design guidelines and other techniques.

(d) Describing the level of applicant’s zoning authority.

(5) One percent of the total points available shall be assigned to including planning efforts contemplated for completion within 30 months from the date the grant is awarded.

(6) Twelve percent of the total points available shall be assigned to including planning efforts that provide opportunities for public participation throughout the planning process. Applications may be evaluated based on the applicant:

(a) Identifying the process for determining and adopting public participation procedures and address all requirements found in s. 66.1001 (4) (a), Stats.

(b) Proposing creative and innovative public participation efforts.

(d) Providing opportunities for neighboring and overlapping jurisdictions to participate.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Wis. Admin. Code § Adm 48.07 Grant application evaluation {#sec-adm-48.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.07}

(1) The department shall evaluate and score applications based on the scoring under s. Adm 48.06.

(2) When developing the planning grant priority list, the department through a peer review process identified within the planning grant manual, shall rank all applications according to the applicant’s total score received.

(3) The department shall establish the threshold in the planning grant priority list for determining which applications will be funded on the basis of the grant evaluation under this section and the availability of grant funds.

(4) The department shall prepare a detailed summary of expenditures for proposed grant awardees identified under sub. (3), including funding sources and any funding source requirements. The department shall forward the summary to the council as required by s. 16.965, Stats., the department of transportation as required by s. 16.9651, Stats., and any other agency as necessary due to funding sources.

Note: Section 15.107 (16), Stats., Wisconsin Land Council, was repealed in 2011 Wisconsin Act 257. Section 48.07 (4) will be modified accordingly in future rule-making by the Department.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Wis. Admin. Code § Adm 48.08 Grant awards {#sec-adm-48.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.08}

(1) The council shall review and approve or disapprove by resolution, the grant priority list including activities proposed to be funded in compliance with ss. 16.965 (4) and 16.9651 (2), Stats. The department shall receive approval from the council before awarding a grant.

Note: Section 15.107 (16), Stats., Wisconsin Land Council, was repealed in 2011 Wisconsin Act 257. Pursuant to s. 16.9651 (2), Stats., “Prior to awarding a grant under this section, the department shall forward a detailed statement of the proposed expenditures to be made under the grant to the secretary of transportation and obtain his or her written approval of the proposed expenditures.” Section 48.08 (1) will be modified accordingly in future rule-making by the Department.

(2) The department shall provide the department of transportation and other agencies, where required, with the detailed summary of activities proposed to be funded through transportation planning grants in compliance with s. 16.9651 (2), Stats. The department shall receive written approval from the secretary of the department of transportation before awarding a transportation planning grant.

(3) Grant awards are contingent upon the execution of a grant agreement. Failure of an applicant to execute a grant agreement shall result in withdrawal of the offer. The department and the applicant may negotiate the specific budget items, and other terms and conditions prior to executing the grant agreement. Terms of a grant award shall be administered through the grant agreement.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Wis. Admin. Code § Adm 48.09 Grant administration {#sec-adm-48.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 48.09}

(1) Accounting for all project funds shall be in conformance with generally accepted accounting principles and practices, and shall be recorded by the grantee. Supporting records of expenditures shall be maintained in sufficient detail to show that costs were incurred for the purposes for which the grant was made. Grant records shall be maintained for a period of 3 years after the grant award.

(2) The grant period extends from the date that the department executes the grant agreement to the date the local governmental unit submits the adopted plan to the department in compliance with s. 66.1001 (4) (b), Stats. The contract dates shall not extend beyond time limits for a comprehensive plan under s. 66.1001 (3), Stats. Unless the applicant commits to a shorter time in the application, the applicable grant period assigned in the grant agreement shall be as follows:

(3) The grantee may submit claims for payment to the department on forms provided by the department. The grantee shall submit at least one claim during each 12-month time period commencing with the date the department signs the grant agreement. The department shall reimburse awardees not more than quarterly. All claims shall be consistent with the grant agreement relative to expenditures within the scope of work and estimated costs. All claims shall include documentation of progress under the terms of the grant agreement.

(4) The department shall withhold 25% of the grant award as final payment until all of the following occur:

(a) The grantee provides the department with a copy of the adopted plan as provided by s. 66.1001 (4) (b), Stats., and the department verifies the plan meets all provisions of s. 66.1001, Stats.

Note: This verification does not indicate a certification of compliance with s. 66.1001, Stats. This verification also does not indicate department approval of the plan content or policies. It is an indication that the grantee has completed the plan within the statutory requirements.

(b) The provisions of the grant agreement are met.

(5) In developing digital map data, the grantee shall adhere to widely accepted standards and use appropriate existing source data referenced in the planning grant manual.

(6) The local governmental unit shall make data developed under this grant available for public dissemination.

(7) For multi-jurisdictional plans, where one or more of the local governmental units participating in the grant have not adopted the plan by the end of the grant period, that unit or units award amount shall be withheld from the final payment under s. Adm 48.09 (4).

(8) If the department finds that the project has not been completed pursuant to sub. (4), by the end of the grant period, the department may seek repayment of the state share or a portion of the state share previously distributed to the grantee.

History

CR 01-086: cr. Register February 2002 No. 554, eff. 3-1-02.

Chapter Adm 49 PLAT REVIEW FEES

Wis. Admin. Code § Adm 49.01 Applicability {#sec-adm-49.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 49.01}

The department shall review preliminary, final or assessor’s plats under s. 70.27 or ch. 236, Stats., upon payment of the fees specified in this chapter.

History

CR 07-106: cr. Register June 2008 No. 630, eff. 7-1-08.

Wis. Admin. Code § Adm 49.02 Definitions {#sec-adm-49.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 49.02}

In this chapter:

(1) “Department” means the Wisconsin department of administration.

(2) “Parcel” means a lot, outlot or public dedication. ‘Public dedication’ includes parks, greenways and other similar dedications but does not include streets or easements.

(3) “Plat” means the total assemblage of sheets comprising a preliminary or final subdivision or assessor’s plat.

(4) “Sheet” includes each page of a preliminary or final plat drawing.

History

CR 07-106: cr. Register June 2008 No. 630, eff. 7-1-08.

Wis. Admin. Code § Adm 49.03 Review fee {#sec-adm-49.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 49.03}

(1) The following fee schedule applies to the submission of plats to the department, either as copies under s. 236.12 (2), Stats., or as original drawings under s. 236.12 (3), Stats.

(a) Initial filing fee for preliminary, final or assessor’s plats $125.00.

(b) Preliminary plat (each submission) $100.00 per plat.

(2) The following additional fees, to cover reproduction and postage costs, apply to the submission to the department of an original drawing of a preliminary or final plat under s. 236.12 (3), Stats.

(a) Preliminary plat (each submission) $40.00 per sheet.

(b) Final plat or assessor’s plat (each submission) $40.00 per sheet.

(3) The following additional fees, to cover copy and postage costs, apply to the submission to the department of copies of a preliminary or final plat under s. 236.12 (2), Stats.

(a) Final (each submission) $40.00 per sheet.

(b) Preliminary (each submission) $40.00 per sheet.

(4) The fee for review of a certified survey map $100.00.

(5) If a subdivider or agent seeks an advisory opinion relative to conditions affecting a proposed plat which requires staff research and written response in the form of a presubmission consultation, the fee is $50.00, $25.00 of which the department shall credit toward the review fee when the plat is submitted.

History

CR 07-106: cr. Register June 2008 No. 630, eff. 7-1-08; correction in (1) and (2) made under s. 13.92 (4) (b) 7., Stats., Register May 2015 No. 713.

Wis. Admin. Code § Adm 49.06 Procedure for fee submission {#sec-adm-49.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 49.06}

(1) The subdivider or the subdivider’s agent shall provide required fees in the form of a check or money order and may use a credit card or electronic payment with each plat submittal.

(2) The department may not accept any plat submitted to it until it receives all fees required for processing of that plat from the subdivider or agent. None of the time periods specified by ch. 236 or s. 70.27 (8), Stats., for plat review shall commence until the department receives the required fees.

(3) When warranted by unusual circumstances, the department may waive part or all of the fees required under s. Adm 49.03. The subdivider or the subdivider’s agent shall obtain any such waiver in writing from the department prior to plat submittal.

History

CR 07-106: cr. Register June 2008 No. 630, eff. 7-1-08.

Chapter Adm 50 CONTRACT COMPLIANCE

Wis. Admin. Code § Adm 50.01 Authority {#sec-adm-50.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.01}

Section 16.765 (5), Stats., authorizes the department of administration to promulgate such rules as may be necessary for the department to administer a program of nondiscrimination and affirmative action for contractors who contract with state agencies.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81.

Wis. Admin. Code § Adm 50.02 Purpose {#sec-adm-50.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.02}

The purpose of this chapter is to:

(1) Aid state agencies and contractors in implementing equal employment opportunity and affirmative action practices; and

(2) Encourage and foster to the fullest extent practicable the employment of all properly qualified persons regardless of their age, race, religion, color, disability, sex, physical condition, developmental disability, sexual orientation, as defined in s. 111.32 (13m), Stats., or national origin.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81; am. (2), Register, September, 1984, No. 345, eff. 10-1-84; CR 21-110: am. (2) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 50.03 Definitions {#sec-adm-50.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.03}

In this chapter:

(1) “Balanced work force” means an equitable representation of qualified persons with disabilities, minorities and women in each level of a work force which approximates the percentage of persons with disabilities, minorities and women available for jobs at any particular level from the relevant labor market. For construction work, the relevant labor market consists of all craft journeypersons, all craft indentured apprentices and all qualified apprentice applicants available for employment for a specific project. Persons in the construction workforce shall be excluded from the labor market where the contractor can show that these persons are unwilling to make themselves available at the job site for employment on a regular and ongoing basis.

(2) “Contracting agency” means any department, commission, board or other agency of state government with authority to purchase or contract for equipment, construction work, materials, supplies, or contractual services as defined in s. 16.70 (3), Stats.

(3) “Contractor” means any person, or entity providing equipment, construction work, materials, supplies, contractual services or leasing real property to a contracting agency of the state.

(4) “Construction work” means all labor and materials used in the framing or assembling of component parts in the erection, installation, enlargement, alteration, repair, moving, conversion, razing, demolition or removal of any appliance, device, equipment, building, structure or facility as defined in s. 16.87 (1) (a), Stats.

(5) “Department” means the department of administration.

(6) “Disability” means, with respect to an individual, any of the following applies:

(a) A physical or mental impairment which substantially limits one or more of the major life activities of such individual.

(b) A record of such an impairment.

(7) “Minorities” means persons whose race or ethnic group is either:

(a) American Indian or Alaskan Native—persons with origins in any of the original peoples of North America, and who maintain cultural identification through tribal affiliation or community recognition;

(b) Asian or Pacific Islander—persons having origins in the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands;

(d) Hispanic—individuals of Mexican, Puerto Rican, Caribbean, Central or South American or other Spanish culture or origin, regardless of race.

(8) “Qualified person with a disability” means, with respect to employment, a person with disabilities is capable of performing the essential functions of the job for which the person is being considered with reasonable accommodation to the person’s disability; and with respect to employment-related training programs, a person with a disability who meets both the eligibility requirements for participation in the program and valid job or training qualifications with reasonable accommodation.

(9) “Reasonable accommodation” means the changes and modifications that could be made in the structure of a job or employment and training program, or in the manner in which a job is performed or employment and training is conducted, unless it would impose an undue hardship on the operation of the contractor’s or subcontractor’s business.

Note: Reasonable accommodation may include making the facilities used by the employers or employees, including hallways, restrooms, cafeterias and lounges readily accessible to persons with disabilities. It also may include job restructuring, part-time or modified work schedules, acquisition or modification of equipment or devices, the provision of readers or interpreters, and other similar action.

(10) “Subcontractor” means a person or company that assumes by secondary contract some or all of the obligations of an original contractor.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register July 2011 No. 667; CR 21-110: am. (1), (6), (8) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 50.04 Contract provisions {#sec-adm-50.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.04}

(1) In addition to the requirement of s. 16.765 (2), Stats., every contracting agency of the state shall include in all contracts executed by it, provisions which are in substantial conformity with the following:

(a) The contractor agrees to make every reasonable effort to develop a balance in either its total workforce or in the project-related workforce that is based on a ratio of work hours performed by persons with disabilities, minorities, and women except that, if the department finds that the contractor is allocating its workforce in a manner which circumvents the intent of this chapter, the department may require the contractor to attempt to create a balance in its total workforce. The balance shall be at least proportional to the percentage of minorities and women present in the relevant labor markets based on data prepared by the department of workforce development, the office of federal contract compliance programs or by another appropriate governmental entity. In the absence of any reliable data, the percentage for qualified persons with disabilities shall be at least 2% for whom a contractor must make a reasonable accommodation.

(b) The contractor shall develop and submit to the department, within 15 working days after the commencement date set in the official notice to proceed for construction work or 15 days after the date the contract is awarded for all other contracts, one copy of the written affirmative action plan or a copy of a current plan which has been approved by an agency of the federal, state or local government.

(c) Within 15 days after awarding each subcontract, the contractor shall submit one copy of the affirmative action plan of each subcontractor to the department.

(2) The contractor shall, in all solicitations or advertisement for employees placed by it or on its behalf, state that all qualified applicants shall receive consideration for employment without regard to age, race, religion, color, disability, sex, physical condition, developmental disability as defined in s. 51.01 (5), Stats., sexual orientation as defined in s. 111.32 (13m), Stats., or national origin.

(3) The contractor shall furnish all information and reports required by the department and shall permit access to payroll records and accounts for purposes of investigations to ascertain compliance.

(4) In the event the contractor is found not to be in compliance with the nondiscrimination and affirmative action provisions of this contract, the contractor shall be given 30 working days from the date of notice to meet the compliance requirements. Should the contractor fail to comply within 30 working days, the department shall initiate action as provided by s. 16.765, Stats., and these rules.

(5) The contractor shall regularly submit an employment report as required by the department showing the number of contractor’s employees by sex and ethnic background as well as employees with disabilities for each job category established by the U.S. office of federal contract compliance programs.

(6) The contractor shall invite all employees to voluntarily identify themselves if they have a disability, to the contractor. The invitation shall state that the information is voluntarily provided, that it will be kept confidential except for the purposes of this chapter, and that refusal to provide it will not subject the employee to any adverse treatment.

(7) The contractor shall include the provisions of s. 16.765 (2), Stats., and subs. (1) through (6) in every subcontract so that such provisions will be binding upon each subcontractor.

(8) Upon petition of a contractor, the department may waive inclusion in an affirmative action plan of data represented to be confidential, where disclosure would disadvantage the contractor. Waiver shall not be granted when information is essential to the evaluation of affirmative action programs or the completion of a compliance review.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81; corrections in (1) and (7) made under s. 13.93 (2m) (b) 7., Stats., Register, July, 1999, No. 523; CR 21-110: am. (1) (a), (2), (5), (6) Register June 2022 No. 798, eff. 7-1-22; correction in (1) (a) made under s. 13.92 (4) (b) 6., Stats., Register June 2023 No. 810.

Wis. Admin. Code § Adm 50.05 Affirmative action plan {#sec-adm-50.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.05}

The affirmative action plan which is required by s. Adm 50.04 (1) (b) shall meet the following minimum requirements:

(1) Policy statement. The affirmative action plan shall include an equal employment opportunity policy for all personnel including a statement that:

(a) The contractor shall not engage in discrimination and shall take action to achieve a balanced work force.

(b) Indicates which persons are responsible for the affirmative action program.

(c) The contractor shall comply with s. 16.765, Stats., state regulations and all applicable federal contract compliance laws and shall work cooperatively with the department and other interested parties in ensuring equal employment and advancement opportunities.

Note: The following is an example of an acceptable policy statement: It is the policy of (name of firm) not to discriminate against any employee or applicant for employment because of age, race, religion, color, disability, sex, physical condition, developmental disability, sexual orientation, as defined in s. 111.32 (13m), Stats., or national origin. This policy shall include, but not be limited to the following: employment, upgrading, demotion or transfer; recruitment or other compensation; and selection for training, including apprenticeship. Except with respect to sexual orientation, this company further agrees to take affirmative action to ensure equal employment opportunities. (Name of executive and title) has been appointed equal opportunity officer and is responsible for the planning, implementation and day-to-day monitoring of the affirmative action program. All personnel responsible for hiring and promotion of employees and the development and implementation of programs and activities are charged to support this program and shall provide leadership in carrying out the goals and objectives. During the life of the contract, the (name of firm) shall comply with s. 16.765, Stats., state regulations and federal law, and shall continue to work cooperatively with governmental and community organizations in ensuring equal employment and advancement opportunities.

(2) Dissemination of policy. The affirmative action plan shall include a description of the means by which the contractor proposes internal and external dissemination of the company policy regarding affirmative action. The means of dissemination shall include, as a minimum, the following:

(a) Posting in conspicuous places both the provisions of company policy regarding equal employment opportunity for all persons, and the affirmative action plan;

(b) Frequently including as items on the agenda of executive and staff meetings the topics of equal employment and the progress of the affirmative action program;

(c) Making available to employees such elements of the affirmative action program as will enable them to know and avail themselves of its benefits including notification to employees that any complaints regarding the affirmative action program may be filed with the department at 101 E. Wilson St., Madison, Wisconsin 53702;

(d) Informing employment sources verbally and in writing of company policy to actively recruit and refer qualified persons with disabilities, minorities and women for all positions listed. All solicitations or advertisements for employees placed by or on behalf of the company shall state that qualified applicants will receive consideration for employment without regard to age, race, religion, color, disability, sex, physical condition, developmental disability, sexual orientation, as defined in s. 111.32 (13m), Stats., or national origin; and

(e) Communicating to prospective employees the existence of the company’s affirmative action policy in sufficient detail to enable them to make use of its benefits including notification to prospective employees that any complaints regarding the company’s affirmative action policy may be filed with the department at 101 E. Wilson St., Madison, Wisconsin 53702.

(3) Analysis of work force. The affirmative action plan shall include an analysis of the contractor’s work force by job categories and organizational units. The job categories shall be those currently in use for construction and procurement by the U.S. equal employment opportunity commission. The work force analysis shall specifically indicate for each job category the following:

(a) Total number of employees;

(b) Total number of males;

(d) Total number of minority males;

(e) Total number of minority females;

(f) Total number of persons with disabilities.

(4) Goals and objectives. The affirmative action plan shall include goals directed toward the achievement of a balanced work force within a reasonable period of time. A reasonable period shall normally be in the range of 6 months to no more than 2 years. Previous affirmative action plans submitted to the department under other contracts shall be considered in determining a reasonable period.

(5) Monitoring. The affirmative action plan shall include a description of a planned internal system to monitor and evaluate regularly the results achieved by the company in the implementation of its affirmative action plan. This system will include evaluation of the results regarding minorities, women and persons with disabilities including those actions taken to provide reasonable accommodation for qualified persons with disabilities.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81; correction made under s. 13.93 (2m) (b) 6., Stats., Register, March, 1993, No. 447; CR 21-110: am. (2) (d), (3) (f), (5) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 50.06 Compliance review {#sec-adm-50.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.06}

The department shall, on its own initiative, undertake a compliance review to determine if contractors are complying with s. 16.765, Stats., this chapter and all nondiscrimination provisions of these contracts. If the department finds evidence of noncompliance, the department shall proceed as provided in s. 16.765, Stats., and ss. Adm 50.04 (4), 50.09, and 50.10.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81.

Wis. Admin. Code § Adm 50.07 Records {#sec-adm-50.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.07}

The department shall maintain current information on contracts which are subject to this chapter. This information shall be made available for inspection and copying by any member of the general public.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81.

Wis. Admin. Code § Adm 50.08 Complaint procedure {#sec-adm-50.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.08}

(1) Any complaint authorized by s. 16.765 (6), Stats., shall be filed with the contract compliance office of the department at 101 E. Wilson St., Madison, Wisconsin 53702.

(2) The complaint shall be in writing and shall state the basis for the complaint. The department shall offer to assist the complainant in drafting the complaint.

(3) The complainant and the contractor shall be kept informed of the status of the matter by the department after a complaint is filed. A copy of the investigative report and notice of final disposition of the complaint shall be given to the complainant and the contractor.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81; correction made under s. 13.93 (2m) (b) 6., Stats., Register, March, 1993, No. 447.

Wis. Admin. Code § Adm 50.09 Investigations {#sec-adm-50.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.09}

(1) The department shall, within 30 working days after receipt of a complaint or a finding of noncompliance pursuant to s. Adm 50.06, issue an investigative report or letter to the contractor containing a narrative of the facts and a listing of the action, if any, required to bring the contractor into compliance. The contractor, if found not to be in compliance, shall have 30 working days to obtain compliance as provided in s. Adm 50.04 (4).

(2) During the investigation, the identity and statement of any person interviewed shall be confidential.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81.

Wis. Admin. Code § Adm 50.10 Hearings {#sec-adm-50.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 50.10}

Any person who is dissatisfied with the results of an investigation as provided in s. Adm 50.09 may request a hearing pursuant to ch. 227, Stats.

History

Cr. Register, July, 1981, No. 307, eff. 8-1-81.

Chapter Adm 60 WISCONSIN ENVIRONMENTAL POLICY ACT, PROCEDURES FOR DEPARTMENT ACTIONS

Wis. Admin. Code § Adm 60.01 Purpose {#sec-adm-60.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.01}

The purpose of this chapter is to:

(1) Establish a policy to assure departmental consideration of the short and long term environmental and economic effects of department actions upon the human environment.

(2) Provide principles, objectives, definitions and criteria to be used by the department in the implementation of s. 1.11, Stats. Implementation includes the evaluation of proposed actions; the study, development and description of alternatives where proposed actions involve unresolved conflicts in the use of available resources; and the preparation and review of environmental impact statements.

(3) Establish the identification of major actions significantly affecting the quality of the human environment and the need for an environmental impact statement.

(4) Provide an opportunity for public input to the decision-making process.

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Wis. Admin. Code § Adm 60.02 Definitions {#sec-adm-60.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.02}

(1) “Action” means any activity, initiated by the department or initiated by someone outside state government, which could not have occurred but for the department and which may affect the human environment.

(2) “Alternatives” means other actions or activities which may be reasonably available to achieve the same or altered purpose of the proposed action, including the alternative of no action.

(3) “Department” means the department of administration.

(4) “EA” or “environmental assessment” means a documented brief but comprehensive analysis of a proposed Type II action to determine its environmental impact; to study, develop, and thoroughly describe alternatives; and to determine whether the proposed action constitutes a major state action significantly affecting the quality of the human environment or involving unresolved conflicts in the use of available resources.

(5) “EIS” or “environmental impact statement” means a written report prepared pursuant to s. 1.11, Stats., which contains an analysis of anticipated impacts of a proposed action, and alternatives to the proposed action, upon the human environment. The draft environmental impact statement (DEIS) is a preliminary version of the final environmental impact statement (FEIS).

(6) “Finding of no significant impact” means a completed environmental assessment which indicates that the proposed action is not a major action which will significantly affect the quality of the human environment and that no EIS is required.

(7) “Human environment” means the totality of conditions and influences, both natural and artificial, which surround and affect all organisms, including people.

(8) “Major action” means an action which will significantly affect the quality of the human environment.

(9) “Resources” means financial, cultural and natural matter and forms as well as labor and materials used and affected by a proposed action if permitted.

(10) “Significant effects” means the considerable and important impacts, beneficial or adverse, of actions on the quality of the human environment.

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Wis. Admin. Code § Adm 60.03 Department action type list {#sec-adm-60.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.03}

The department has categorized its actions into the following type list which shall determine or aid in the determination of the need for an EIS. Type I actions shall always require an EIS. Type II actions may or may not require an EIS, depending on the significance of the action, or may or may not involve unresolved conflicts in the use of available resources. All Type II actions shall be evaluated by using an EA. Type III actions normally do not have the potential to cause significant environmental effects and normally do not involve unresolved conflicts in the use of available resources. Unless the department determines otherwise, these actions will not require an EA or EIS. If a particular Type III action or a particular uncategorized action is found by the department to involve unresolved conflicts in the use of available resources, the department shall comply with s. Adm 60.04 (3).

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Wis. Admin. Code § Adm 60.04 Determination of need for an EIS {#sec-adm-60.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.04}

(1) During the early planning stages, the department shall determine the need for preparing an EIS on its actions. The action type list shall be used to determine the category of the proposed action.

(2) In determining whether a Type II action is a major action that will significantly affect the quality of the human environment, or is a proposed course of action which involves unresolved conflicts concerning alternative uses of available resources, the department shall base its decision on an environmental assessment (EA) which shall contain the following information:

(a) A brief description of the proposed action including maps and graphs if applicable.

(b) A brief description of those factors in the human environment affected by the proposed action.

(c) A brief evaluation of significant primary and secondary environmental effects that would result if the proposal were implemented.

(d) A brief study, development and description of reasonable alternatives to the proposed action and a brief evaluation of the significant environmental or other effects of these alternatives.

(e) A listing of other agencies or groups contacted and the comments of and other pertinent information from these agencies and groups.

(f) An evaluation section which contains brief discussions of the following specific factors:

Stimulation of secondary (indirect) effects.
Creation of a new environmental effect.
Impacts on geographically scarce environmental features.
Precedent-setting nature of the action.
Significant controversy associated with the action.
Conflicts with official agency plans or local, state, or national policy.
Cumulative impacts of repeated actions of this type.
Foreclosure of future options.

(g) An identification and brief discussion of appropriate alternatives to proposed Type II actions that may involve unresolved conflicts concerning alternative uses of available resources, including the alternative of no action. A proposed action involves unresolved conflicts concerning alternative uses of available resources when

The proposed action may reasonably be expected to materially use or affect a resource, temporarily or permanently; and
The resource is reasonably suited to one or more other uses; and
There is a discernible conflict, competition, difference or incompatibility between the use to be made of the resource by the proposed action and another use, including the present use, to which the resource is reasonably suited; and
The conflict, competition, difference, or incompatibility between the proposed action’s use and the other uses to which the resource is reasonably suited cannot be avoided or resolved if the proposed action is implemented.

(3) If it is determined that there are unresolved conflicts concerning alternative uses of available resources in a proposed Type II action, then the department shall study, develop and thoroughly describe the appropriate alternatives.

(4) The department shall issue a news release to news media in the vicinity of the proposed action for each EA, including the following information:

(a) A brief description of the project, including location.

(b) A contact person within the department who can provide copies of the EA and answer questions.

(c) A date by which the department will receive and consider comments before making its final decision on the need for an EIS.

(5) Following the deadline for receipt of public comment on the EA, the department shall review the assessment, consider all public comments, make required comments, and approve the assessment. A public hearing may be held to receive public input and aid in the review of and decision on the need for an EIS.

(6) If a finding is made in the EA that no EIS is required for a proposed Type II action, the original EA shall then be filed by the department in its Madison, Wisconsin office as a finding of no significant impact. The assessment is a public record which is available for review upon request.

(7) If a finding is made in the EA that an EIS is required for a proposed Type II action, the department shall prepare a DEIS and an FEIS.

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Wis. Admin. Code § Adm 60.05 Scoping {#sec-adm-60.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.05}

(1) As soon as possible after the decision to prepare an EIS, the department shall inform the public and affected agencies that an EIS will be prepared and that the process of identifying potential major issues, called scoping, is beginning.

(2) The scoping process shall include, to the extent possible, affected and other interested persons. The process may consist of meetings, hearings, workshops, surveys, questionnaires, interagency committees, or other appropriate methods or activities, and may be integrated with other public participation requirements.

(3) The department shall use the scoping process to accomplish any of the following:

(a) Determine the scope and the significant issues to be analyzed in depth in the EIS.

(b) Identify and eliminate from detailed study the issues which are not significant or which have been covered by prior environmental review. This will narrow the discussion of these issues in the EIS to a brief presentation of why they will not have a significant effect on the human environment or a reference to their coverage elsewhere.

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Wis. Admin. Code § Adm 60.06 Contents of an EIS {#sec-adm-60.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.06}

(1) When an EIS is required, a DEIS and an FEIS shall be prepared by the department or prepared for the department under contract by a consultant with supervision and final editorial review by the department. The DEIS shall emphasize significant environmental issues identified during the scoping process. The FEIS shall be based in part upon comments received on the DEIS and on information received from other sources. An EIS shall provide analysis of the environmental and economic implications of a proposed action contemplated by the department. An EIS shall include the following:

(a) A description of the proposed action and of the affected environment including the project location, type of facility, time schedules, maps and diagrams deemed relevant, and other pertinent information which will adequately allow an assessment of the potential environmental impact by persons who want to make comments.

(b) The probable impact of the proposed action on the human environment. An evaluation will be made of the positive and negative effects of the proposed action as it relates to the environment. Secondary as well as primary consequences to the environment will be included wherever possible.

(c) Alternatives to the proposed action, including a rigorous exploration and objective evaluation of the environmental impacts of all reasonable alternatives, particularly those that might avoid all or some of the adverse environmental effects of the proposed action. Consideration will be given to the economic advantages and disadvantages and energy impacts of each alternative wherever possible.

(d) Probable adverse environmental effects which cannot be avoided should the proposal be implemented. Protective and mitigative measures to be taken as part of the proposed action shall be identified.

(e) The relationship between short-term uses of the environment and the maintenance and enhancement of long-term productivity. The EIS shall describe the extent to which the proposed action involves tradeoffs between short-term economic gains at the expense of long-term environmental productivity or vice versa, and the extent to which the proposed action forecloses future options.

(f) Significant irreversible and irretrievable commitments of resources that would be involved in the proposed action if implemented, including a statement identifying the extent to which the proposed action irreversibly curtails the range of potential uses of the environment.

(g) A summary of the scoping process used and the major issues identified for detailed analysis in the EIS.

(h) The FEIS shall discuss at appropriate points any responsible opposing view not adequately discussed in the DEIS.

(i) If the department makes substantial changes in the proposed action that are relevant to environmental concerns, or if there are significant new circumstances or information relevant to environmental concerns that have bearing on the proposed action or its impacts, that arise after preparation of the FEIS, but before substantial implementation of the action, the department shall prepare supplements to the FEIS. If a supplement is prepared it shall be distributed and reviewed in the same manner as a DEIS or a FEIS as provided in s. Adm 60.07.

(2) The EIS shall be an analysis document that enables environmental factors to be considered in the development of a proposed action. It shall be considered by the department in the decision-making process.

(3) The EIS is not a document of justification. Furthermore, disclosure of adverse environmental effects shall not necessarily require that a proposed action be denied or terminated.

(4) Environmental impact statements shall be written in plain language and should use appropriate graphics to aid decision-makers and the public. Where appropriate, an EIS may be combined with other required environmental or planning documents.

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Wis. Admin. Code § Adm 60.07 Distribution and review of the DEIS and FEIS {#sec-adm-60.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.07}

(1) Distribution and review of the DEIS.

(a) Copies of the DEIS shall be distributed as follows:

The governor’s office.
State, federal and local government agencies having special expertise, interest or jurisdiction.
Regional and county planning agencies located within the proposed project or action area.
The department of natural resources.
Libraries:

a. For proposed actions affecting a local area, the nearest library. In addition, the county clerk or town clerk will be requested to make the document available in the county courthouse, city hall or town hall.

b. For projects of regional importance, public libraries with geographic distribution which provides public access without undue travel.

c. Projects having statewide significance, public libraries providing reasonable access by the individuals who would be potentially affected by the proposed action.

(b) An announcement sheet giving a brief description of the proposed action, a description of the administrative procedures to be followed, the date by which comments on the DEIS are to be submitted to the department, and the location where copies of the DEIS are available for review, shall be circulated as follows:

All local and regional units of government which have jurisdiction over the area that may be affected by the proposed action. A request will be made for posting the announcement sheet at the place normally used for public notices.
Local and regional news media in the vicinity of the proposed action.
Groups or individuals which have demonstrated an interest and have requested receipt of this type of information.
All participants in the scoping process not covered in subd. a. through c.

A minimum of 45 days from the date the DEIS is mailed shall be allowed for the receipt of comments. Depending upon the length and complexity of the DEIS, the department may establish an initial review period up to a total of 90 days. A reasonable request for extension, up to 15 days beyond the initial review period, may be granted by the department for the review of the DEIS.
If the department determines that a review period of less than 45 days will suffice for the DEIS, the department may limit the review period to no less than 20 days. The DEIS, announcement sheet and public notices shall call attention to the reduced review period and shall specify the date by which comments on the DEIS must be submitted to the department if they are to be considered in developing the FEIS.

(2) Distribution and review of the FEIS.

(a) The FEIS shall be distributed in the same manner as the DEIS, and shall also be distributed to any person, organization or agency that submitted comments on the DEIS.

(b) The availability of the FEIS shall be announced through a notice of public hearing or through an announcement sheet similar to the announcement of the availability of the DEIS.

(c) A period of not less than 30 days and not more than 90 days from the date the FEIS is mailed, depending on the length and complexity of the FEIS, shall be allowed for receipt of comments from state and federal agencies and the public. A reasonable request for an extension, up to 15 days beyond the initial review period, may be granted by the department for the review of the FEIS.

History

Cr. Register, February, 1982, No. 3l4, eff. 3-1-82; correction in (1) (b) made under s. 13.93 (2m) (b) 1., Stats., Register, March, 1993, No. 447.

Wis. Admin. Code § Adm 60.08 Public hearings on the DEIS and FEIS {#sec-adm-60.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.08}

(1) Whenever a proposed action requires a DEIS and an FEIS, the department shall hold a public hearing on the DEIS, no sooner than 30 days after its issuance, and shall also hold a public hearing on the FEIS, no sooner than 30 days after its issuance and prior to making a final decision. These hearings shall be noticed and conducted in the same manner as a contested case proceeding under ch. 227, Stats. The final draft of the EIS issued by the department, and the record of decision provided in s. Adm 60.09, are intended to satisfy the decision requirement of s. 227.47, Stats.

(2) The hearings shall be held in the locality affected; on actions of statewide significance, the hearing may be held in Madison.

(3) The department shall issue a news release to news media in the vicinity of the proposed action for each public hearing on a DEIS or FEIS. Notice shall also be mailed to all known departments and agencies required to grant any approval necessary for the proposal; to any regional planning commission within which the affected area lies; to the governing bodies of all towns, villages, cities and counties within which any part of the proposal lies; to the governing bodies of any towns, villages or cities contiguous to any town, village or city within which any part of the proposal lies; and to interested persons who have requested such notification. Persons, organizations or agencies that attended the DEIS public hearing shall also receive notice of the FEIS public hearing.

(4) After the FEIS public hearing provided in sub. (1), the department shall carefully review the hearing record and summarize the comments received on the DEIS and the FEIS.

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Wis. Admin. Code § Adm 60.09 Record of decision {#sec-adm-60.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 60.09}

Where an EIS is prepared, the department shall also, at the time of its final decision, prepare a record of decision. The record of decision shall identify all alternatives considered in the order of their environmental preference. The record of decision shall state whether for the alternative selected, all practicable means to avoid or minimize environmental harm have been adopted, and if not, why they were not.

History

Cr. Register, February, 1982, No. 314, eff. 3-1-82.

Chapter Adm 70 ELECTRONIC RECORDING OF DOCUMENTS IN WISCONSIN COUNTY REGISTER OF DEEDS OFFICES

Wis. Admin. Code § Adm 70.01 Purpose {#sec-adm-70.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.01}

The purpose of this chapter is to establish uniform recording standards and practices, provide for integrity and security of transmissions and promote efficiencies and improved service for electronic recording of documents in Wisconsin county register of deeds offices.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09.

Wis. Admin. Code § Adm 70.02 Definitions {#sec-adm-70.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.02}

In this chapter:

(1) “Council” means Wisconsin electronic recording council.

(2) “Department” means the Wisconsin department of administration.

(3) “PRIA” means the property records industry association.

(4) “Trusted submitter” means a party that has a trusted submitter agreement accepted by and on file with the council in order to record documents electronically with a register of deeds.

(5) “Trusted submitter agreement” means the agreement to be signed by any party who wishes to become a trusted submitter.

(6) “UETA” or “uniform electronic transaction act” has the meaning specified in ch. 137, Stats.

(7) “URPERA” or “uniform real property electronic recording act” has the meaning specified in s. 706.25, Stats.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09.

Wis. Admin. Code § Adm 70.03 Standards {#sec-adm-70.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.03}

A trusted submitter shall submit an electronic recording file to a county register of deeds in a manner that is consistent with state statutes and the technical standards contained in How to Get Ready for eRecording, Submitters’ Guide and How to Get Ready for eRecording, Recorders’ Guide, July 14, 2009, both developed by PRIA. The council shall annually review these standards and guidelines and propose, to the department, necessary amendments to the standards and guidelines adopted in this section.

Note: Copies of the PRIA technical standards and guidelines imported by reference in s. Adm 70.03 and business requirements imported by reference in s. Adm 70.04 may be obtained from PRIA at:

Property Records Industry Association 110 Horizon Dr., Ste. 210 Raleigh, NC 27615 Telephone: 919.459.2081 FAX: 919.459.2075

Website: http://www.pria.us/

Locally copies may be obtained from the legislative reference bureau or from the council at the mailing address and website shown in s. Adm 70.04.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09; CR 22-003: am. Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 70.04 Business requirements and guidelines {#sec-adm-70.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.04}

In addition to council developed business requirements, a trusted submitter shall comply with the requirements contained in eRecording Best Practices for Recorders, August 30, 2021, developed by PRIA and the mortgage industry standards maintenance organization. The council annually shall review the business requirements and propose, to the department, necessary amendments to the requirements adopted in this section.

Note: Copies of the current standards and guidelines for submission of electronic documents as in s. Adm 70.03, business requirements as in s. Adm 70.04 and materials for trusted submitter agreements as in s. Adm 70.05 may be obtained from the legislative reference bureau or the council at the following address:

Electronic Recording Council of Wisconsin

c/o Wisconsin Department of Administration Secretary’s Office

101 East Wilson Street, 10th Fl.

Madison, WI 53707

Telephone: (608) 266-5030

Website: http://ercwis.wi.gov/

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09; CR 22-003: am. Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 70.05 Trusted submitter agreement {#sec-adm-70.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.05}

Every document submitter shall complete and sign a trusted submitter agreement application as approved by the council. Upon notice of acceptance of the trusted submitter agreement by the council, the trusted submitter shall be authorized to record documents electronically.

Note: A trusted submitter agreement application can be obtained from the council at mailing address and website listed in s. Adm 70.04.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09.

Wis. Admin. Code § Adm 70.06 Legal description {#sec-adm-70.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.06}

Electronic documents submitted for recording shall contain a valid legal description of the real property as defined in s. 706.01 (7r), Stats.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09.

Wis. Admin. Code § Adm 70.07 Notarization of documents {#sec-adm-70.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.07}

An electronic document shall be notarized under standards adopted in chs. 137 and 140, Stats. The notary’s commission date shall be contained on the document or the document shall be authenticated as required in s. 706.06 and ch. 140, Stats.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09; CR 22-003: am. Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 70.08 Return and rejection of documents {#sec-adm-70.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.08}

The submitter of a recorded electronic document is the party entitled to the return of the document. Electronic documents that are recorded may be returned immediately. A document may be rejected if the party identified in the document image differs substantially from the party identified in the related index submitted.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09.

Wis. Admin. Code § Adm 70.09 Method of payment {#sec-adm-70.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.09}

Each county shall permit payment of fees by electronic means.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09.

Wis. Admin. Code § Adm 70.10 Business rules {#sec-adm-70.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 70.10}

The register of deeds may post business rules to assist customers submitting documents electronically.

History

CR 08-084: cr. Register July 2009 No. 643, eff. 8-1-09.

Chapter Adm 82 DISABLED VETERAN-OWNED BUSINESS CERTIFICATION PROGRAM

Wis. Admin. Code § Adm 82.10 Purpose {#sec-adm-82.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.10}

Pursuant to s. 16.283 (4), Stats., this chapter sets forth the criteria and procedures for certification, certification renewal, recertification, and decertification of a disabled veteran-owned business, financial adviser, or investment firm.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction made under s. 13.92 (4) (b) 7., Stats., Register September 2011 No. 669.

Wis. Admin. Code § Adm 82.12 Definitions {#sec-adm-82.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.12}

In this chapter, unless the context requires otherwise:

(1) “Administrator” means the administrator of the division of enterprise operations in the department.

(2) “Affiliate” means a company effectively controlled by another, such as a branch, division, or subsidiary, and includes a company in which there is ownership, direct or indirect, by another company, of 5 percent or more of the voting stock.

(3) “Appeal” means a written request by an applicant to reconsider a determination of a denial of application, certification renewal, recertification or decertification.

(4) “Applicant” means any business, financial adviser, or investment firm that applies to the department for certification as a disabled veteran-owned business, financial adviser, or investment firm under s. 16.283 (3), Stats., and this chapter, through submission of application forms.

(5) “Application” means the forms, whether paper or electronic, all documentation requested by the department, and a report of an on-site visit, if one was conducted by the department, upon which the department will base its decision to grant or deny certification, certification renewal or recertification.

(6) “Assets” means the real and personal property of a business.

(7) “Beneficial ownership” means ownership of the rights in a business that are the normal incidents of owning a business.

(8) “Business” has the meaning given in s. 16.283 (1) (a), Stats.

Note: Section 16.283 (1) (a) of the Statutes reads as follows: “ ‘Business’ means a sole proprietorship, partnership, limited liability company, joint venture, or corporation.”

(9) “Capital contribution” means the cash or property contributed to a business, and may include a financial investment in the business or the contribution of property, space, patents and copyrights.

(10) “Control” means the power to direct the day-to-day and long-term operation and management of a business.

Note: Departmental assessments of operational and managerial control will rest upon the peculiarities of the industry of which the business is a part.

(11) “Conversion rights” means any agreement, option, scheme or documents that will create any rights which, if exercised, would result in less than 51 percent disabled-veteran ownership of the business, or less than dominant control by a disabled-veteran owner or his or her duly authorized representative, or both.

(12) “Corporation” means a corporation organized for profit, with capital stock.

(13) “Decertification” means the process by which the department determines that a certified DVB no longer meets the eligibility criteria, and then rescinds the certification status.

(14) “Denial” means the department’s reaction to an applicant that does not meet the certification eligibility requirements.

(15) “Department” means the department of administration.

(16) “Disabled veteran” has the meaning given in s. 16.283 (1) (b), Stats.

Note: Section 16.283 (1) (b) of the Statutes reads as follows: “ ‘Disabled veteran’ means a person who is verified by the department of veterans affairs as being all of the following at the time the person applies for certification under sub. (3):

1. A veteran, as defined in s. 45.01 (12).

2. A resident of this state.

3. A person who is in receipt of an award from the U.S. department of veterans affairs of a service-connected disability rating under 38 USC 1114 or 1134.”

(17) “Disabled veteran-owned business, financial adviser, or investment firm” or “DVB” means a sole proprietorship, general partnership, corporation, limited liability company or joint venture, which is organized for a profit basis and which fulfills all of the following requirements:

(a)

If privately owned, it is at least 51 percent owned, controlled, and actively managed by one or more disabled veterans who are either U.S. citizens or lawfully admitted to the United States for permanent residence, as defined under 8 USC 1101 (a)(20), except as provided in subd. 2.
One or more duly authorized representatives of one or more disabled veterans may control the management and daily business operations of the business, financial adviser, or investment firm.

(b)

If publicly owned, at least 51 percent of the stock is owned and controlled by one or more disabled veterans who are either U.S. citizens or lawfully admitted to the United States for permanent residence, as defined under 8 USC 1101 (a)(20); and the management and daily operations are controlled by one or more of those disabled veterans, except as provided in subd. 2.
One or more duly authorized representatives of one or more disabled veterans may control the management and daily business operations of the business, financial adviser, or investment firm.

(d) It has its principal place of business in this state.

Note: Section 8 USC 1101 (a)(20) reads as follows “The term ‘lawfully admitted for permanent residence’ means the status of having been lawfully accorded the privilege of residing permanently in the United States as an immigrant in accordance with the immigration laws, such status not having changed.”

(18) “Disabled veteran-owned entity” means a disabled veteran-owned business, financial adviser, or investment firm.

(19) “Distributor” means one that markets or sells merchandise, such as a wholesaler.

(20) “Duly authorized representative” has the meaning given in s. 45.04 (1) (a), Stats.

Note: Section 45.04 (1) (a) of the Statutes reads as follows: “ ‘Duly authorized representative’ means any person authorized in writing by the veteran to act for the veteran, the veteran’s guardian if the veteran is adjudicated incompetent, or a legal representative if the veteran is deceased. Where for proper reason no representative has been or will be appointed, the veteran’s spouse, an adult child, or, if the veteran is unmarried, either parent of the veteran shall be recognized as the duly authorized representative.”

(21) “Expiration” means the specified end of the DVB certification, at the close of the three-year certification period.

(22) “Financial adviser” has the meaning given in s. 16.283 (1) (d), Stats.

Note: Section 16.283 (1) (d) of the Statutes reads as follows: “ ‘Financial adviser’ means a business that serves as an adviser with regard to the sale of evidences of indebtedness or other obligations.

(23) “General partner” means a partner in a limited partnership who participates fully in the profits, losses and management of a partnership and who is personally liable for its debts.

(24) “Industry standard” means the usual and customary practice in the delivery of products or services within a particular business sector, such as procurement, billing payment and performance.

(25) “Interest” means a right, claim, financial or legal share in a business.

(26) “Investment firm” has the meaning given in s. 16.283 (1) (e), Stats.

Note: Section 16.283 (1) (e) of the Statutes reads as follows: “ ‘Investment firm’ means a business that serves as a manager, co-manager, or in any other underwriting capacity with regard to the sale of evidences of indebtedness or other obligations or as a broker-dealer as defined in s. 551.102 (4).”

(27) “Issued shares” means the shares of a corporation which its articles of incorporation have authorized for issuance and which have actually been sold to subscribers. They may include treasury shares.

(28) “Joint venture agreement” means a written agreement signed by each joint venturer specifying the terms and conditions of the joint venture.

(29) “Limited liability company” means a company formed under ch. 183, Stats., or under a similar statute of another state, and similar in structure to a partnership, but its members are not personally liable for the entity’s debts and liabilities. Its members may participate in the management of the company without risking personal liability.

(30) “Limited partner” means any partner in a limited partnership who is not a general partner.

(31) “Limited partnership” has the meaning given in s. 179.0102 (12), Stats.

Note: Section 179.0102 (12) of the Statutes reads as follows: ““Limited partnership,” except in the phrase “foreign limited partnership,” or “domestic limited partnership” means an entity which was formed under this chapter or became subject to this chapter and which is still subject to this chapter. The term includes a limited liability limited partnership.”

(32) “Marital-property agreement” means an agreement that complies with s. 766.58, Stats.

(33) “Marital property laws” means ch. 766, Stats.

(34) “Marital-property waiver” means a form provided by the department to document separate control and management of a business under marital property laws.

(35) “Nonprofit organization” means an organization as defined in s. 108.02 (19), Stats.

(36) “On-site visit” means a visit to an applicant’s physical place of business for the verification of information submitted in the application and accompanying documentation.

(37) “Parent company” means a company that has at least a majority direct-voting control over another company.

(38) “Partnership” has the meaning given in s. 178.0102 (11), Stats.

Note: Section 178.0102 (11) of the Statutes reads as follows: ““Partnership” or “domestic partnership” means an association of 2 or more persons, except to the extent provided in s. 178.0801 (6), to carry on as co-owners a business for profit whose governing law is the law of this state, and which is subject to this chapter, including an association that has become and is still subject to this chapter. The term includes a limited liability partnership.”

(39) “Partnership agreement” means a written agreement signed by each partner specifying the terms and conditions of the partnership.

(40) “Partnership interest” means a partner’s share of the profits and losses of the partnership and the right to receive distributions of partnership assets.

(41) “Principal place of business” means the physical location at which or from which a business performs, is maintained, or operates the majority of its business.

(42) “Recertification” means the process by which DVB status is reconfirmed, prior to expiration at the close of the three-year certification period.

(43) “Renewal” means a one-year continuation of a DVB certification, at the end of each of the first two years of the three-year certification period, as subject to a review by the department.

(44) “Retailer” means the seller of goods or commodities directly to consumers at a retail price.

(45) “Secretary” means the secretary of the department.

(46) “Securities” means stocks, bonds, notes, convertible debentures, warrants or other documents that represent a share in a business, or a debt owed by a business.

(47) “Shares” means the units into which the proprietary interests in a corporation are divided.

(48) “Sole proprietorship” means a business in which one person owns all the assets of the business and is solely liable for all the debts of the business.

(49) “Stock-affirmation form” means a form provided by the department and affirmed by the applicant stating that the stock ownership of the corporation is as presented in the application, and in which the applicant agrees to notify the department in the event that additional stock is sold.

(50) “Stock certificate” means a certificate issued by a corporation certifying that the named person is the owner of a designated number of shares of stock.

(51) “Subsidiary” means a corporation in which one other corporation owns a majority of the voting shares.

(52) “Treasury shares” means the shares which have been issued but later re-acquired by a corporation and which have not been canceled or restored to the status of authorized but unissued shares.

(53) “Unissued shares” means shares which the corporation is authorized to issue but which have not yet been distributed to shareholders or subscribers.

(54) “Useful business function” means the provision of materials, supplies, equipment or services to customers, including the state. Acting as a conduit to transfer funds to a business that is not certified under this chapter does not constitute a useful business function, unless doing so is a normal industry practice.

(55) “Voting shares” means those shares that give the holder the right to vote for directors and other matters – in contrast to non-voting shares, which simply entitle the holder to dividends, if any.

(56) “Wholesaler” means a middle person or distributor who sells mainly to retailers, other merchants, and industrial commercial institutional users, as distinguished from consumers.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; corrections in (1), (15) made under s. 13.92 (4) (b) 6., Stats., corrections in (4), (8), (16), (22), (26) made under s. 13.92 (4) (b) 7., Stats., Register September 2011 No. 669; correction in (1) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672; correction in (38) made under s. 13.92 (4) (b) 7., Stats., Register March 2017 No. 735; correction in (31) made under s. 13.92 (4) (b) 7., Stats., Register June 2023 No. 810.

Wis. Admin. Code § Adm 82.20 Certification criteria {#sec-adm-82.20 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.20}

In order to become certified as a DVB — a business, financial adviser, or investment firm shall meet all of the following eligibility standards:

(1) The business, financial adviser, or investment firm satisfies all of the criteria in the DVB definition in s. Adm 82.12 (17).

(2) If the business, financial adviser, or investment firm is a sole proprietorship, a disabled veteran owns 100 percent of the company assets.

(3)

(a) If the business, financial adviser, or investment firm is a partnership, each partner shall act as a principal in his or her own behalf and as agent of his or her co-partners, and general rules of law applicable to agents shall apply with equal force in determining rights and liabilities of partners. One or more disabled veterans shall own at least 51 percent of the partnership interests.

(b) If the business, financial adviser, or investment firm is a limited partnership, one or more disabled veteran general partners shall own at least 51 percent of the general partnership interest and exert at least 51 percent of the control of the partnership. The disabled veteran general and limited partners shall receive at least 51 percent of the partnership’s profits and benefits, including tax credits, deductions and postponements.

Note: See section Adm 82.12 for definitions of general partner, limited partner, limited partnership, and partnership.

(4) If the business, financial adviser, or investment firm is a limited liability company, one or more disabled veterans own at least 51 percent of membership interests in the LLC organization, and exert at least 51 percent of the management and control among the members. The disabled veteran owners also participate in all risks and profits of the organization at a rate commensurate with their membership interests.

(5) If the business, financial adviser, or investment firm has a corporate form of organization, one or more disabled veterans own at least 51 percent of all voting stock of the corporation. Any voting agreements among the shareholders do not dilute the beneficial ownership, the rights, or the influence of the disabled veteran owners of the stock or classes of stock of the corporation. The disabled veteran owners possess the right to all customary incidents of ownership, such as the ability to transfer stock, title possession, and enter binding agreements.

Note: Nonprofit corporations do not meet the for-profit condition in section Adm 82.12 (17) (intro.) and therefore are not eligible for certification.

(6) If the business, financial adviser, or investment firm is a joint venture, one or more disabled veteran-owned entities hold at least 51 percent of the beneficial ownership interest in the joint venture, and exert at least 51 percent of the control and management of the joint venture. The disabled veteran-owned entity partners of the joint venture are certified or are eligible for certification as a DVB.

(7) If the business, financial adviser, or investment firm is a subsidiary or affiliate, one or more disabled veterans own at least 51 percent of the parent company.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.22 Documentation of being a disabled veteran {#sec-adm-82.22 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.22}

An applicant shall submit the verification specified in s. 16.283 (1) (b), Stats.

Note: Section 16.283 (1) (b) of the Statutes, as reprinted under section Adm 82.12 (16), defines “disabled veteran” and addresses verification of that status by the department of veterans affairs.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction made under s. 13.92 (4) (b) 7., Stats., Register September 2011 No. 669.

Wis. Admin. Code § Adm 82.24 Determination of ownership {#sec-adm-82.24 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.24}

(1) An applicant shall meet all of the following eligibility standards:

(a)

The ownership by one or more disabled veterans is real, substantial and continuing, going beyond the pro-forma ownership of the business as reflected in its ownership documents.
Each disabled veteran owner shares in all risk and profits commensurate with his or her ownership interest as demonstrated by a detailed examination of the substance of his or her business arrangements with others.
Each disabled veteran owner receives the customary incidents of ownership, such as salary, rights to dividends, ownership of assets and ownership of intangible assets such as copyrights and patents.

(b) The contributions of capital and expertise by the disabled veteran owner or owners to acquire their interest in the business is real and substantial, and in proportion to the interest acquired.

(2) Contributions of personal or professional services alone are not real and substantial for the purposes of this section, except these contributions shall receive consideration when given in conjunction with other tangible forms of investment. Other insufficient contributions include promises to contribute capital or expertise in the future, a note payable to the business or to its owners who are not disabled veterans, or the mere participation as an employee.

(3) Disabled veterans shall hold at least 51 percent of the securities that constitute ownership of a business.

(4) Securities or assets of a business that are held in trust are not considered as held by a disabled veteran in determining the ownership of a business, except under the following circumstances:

(a) The beneficial owner of the securities or assets held in trust is a disabled veteran, and the trustee is a disabled veteran.

(b) A disabled veteran is the sole grantor of assets held in a revocable living trust, and a disabled veteran is the beneficiary and trustee.

(5) The department may not consider securities that are held by any guardian for a minor, in determining ownership and control.

(6) An ownership interest arising in a spouse who is not a disabled veteran, solely because of the operation of marital property laws, may not disqualify an applicant from certification if both spouses certify that the disabled veteran or his or her duly authorized representative performs the majority of the control and management of the business.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.25 Documentation of ownership {#sec-adm-82.25 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.25}

(1)

(a) An applicant shall submit documentation showing ownership of at least 51 percent of the business by a disabled veteran. This documentation may include, but is not limited to, the three preceding years of business taxes, a current business financial statement, business licenses, buy-out agreements and financial agreements.

(b) For a sole proprietorship, additional documentation may include, but is not limited to, canceled checks used to purchase ownership.

(c) For a partnership, additional documentation may include, but is not limited to, partnership agreements, purchase agreements, and salary and profit-sharing records.

(d) For a corporation, additional documentation may include, but is not limited to, articles of incorporation, corporate by-laws, a corporate-borrowing resolution, stock certificates, stock-affirmation forms, and salary and profit-sharing records.

(e) For a joint venture, additional documentation may include, but is not limited to, a joint venture agreement that is written and signed by all of the joint venturers. Each joint venture agreement shall specify all of the following:

The capital contribution made by each joint venturer, the control each will exercise, and the distribution of profit and loss. The agreement shall allocate the control and the distribution of profit and loss in proportion to the contributions of the joint venturers.
The useful business function the joint venture will perform and the part of the work each joint venturer will do.

(2) The department may require documentation showing how and when the disabled veteran’s interest in the business was acquired.

(3)

(a) The department shall apply the following rules in situations in which marital assets form a basis for ownership of a business:

When marital assets other than the assets of the business in question are held jointly or as marital property by both spouses, and are used to acquire the ownership interest asserted by the disabled veteran, the department shall conclude that the disabled veteran acquired his or her ownership interest in the business with his or her own individual resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in which either spouse or the business is domiciled. The department may not count a greater portion of joint or marital property assets toward ownership than state law would recognize as belonging to the qualifying member of the business.
The application for DVB certification shall include a copy of the document that is used for legally transferring and renouncing the rights as required in subd. 1.

(b) In instances where a disabled veteran and a person who is not a disabled veteran are married and the marital ownership is not clearly established, the department may request a marital-property waiver form in which both spouses certify that only the disabled veteran spouse or his or her duly authorized representative controls and manages the business, or an affidavit stating that the spouses have signed a marital-property agreement in which the spouse who is not a disabled veteran relinquishes control and management of the business.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.28 Determination of control {#sec-adm-82.28 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.28}

(1) Factors that the department may consider in determining whether one or more disabled veteran owners control a business include the following:

(a) Authority and restrictions as indicated in the articles of incorporation, by-laws, minutes of corporate meetings, bank signature cards, partnership and joint venture agreements and other business agreements and documents.

(b) Membership of one or more disabled veteran owners on the board of directors.

(d) The managerial experience, knowledge and expertise of the disabled veteran owners in such areas as finance, budgeting, personnel, production, marketing and research.

(e) Whether the disabled veteran owners have the authority to make policy decisions in such areas as finance, budgeting, personnel, production, marketing and research.

(f) Whether the daily business operations are controlled by one or more duly authorized representatives of one or more disabled veterans.

(g) Whether the disabled veteran owners or their duly authorized representatives are substantially unconnected with the principal place of business, such as by being incarcerated.

(2) An applicant’s assertion of being independent from a business that is owned by other than a disabled veteran may not rest solely on recognition of the disabled veteran owners by governmental taxing authorities. Other test criteria may include the following:

(a) An applicant’s relationship with any business that is not owned by a disabled veteran, which involves any long-term contract or lease agreements.

(b) The existence of working agreements with any business that is not owned by a disabled veteran.

(c) An applicant’s status as a party to any contract or lease agreement on terms at variance with industry standards or prudent business practices.

(d) The existence of restrictive financing agreements with any business that is not owned by a disabled veteran or any financial institution which impose undue limitations on the applicant.

(e) Interlocking stock ownership of the applicant and any business that is not owned by a disabled veteran in the same industry.

(f) Common directors or officers between the applicant and any business that is not owned by a disabled veteran.

(g) An applicant’s use of employees, equipment, expertise, facilities, or other resources from a business that is not owned by a disabled veteran.

(h) The receipt of financial benefits, such as profits and wages, that are not commensurate with the duties performed, by a business that is not owned by a disabled veteran.

(i) An applicant that cannot operate without licenses, permits or insurance held by another business.

(j) An applicant that does not possess all legal requirements necessary to its operation.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.29 Documentation of control {#sec-adm-82.29 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.29}

(1) An applicant shall submit evidence that one or more disabled veteran owners or their duly authorized representatives have control over the business. The evidence may include any of the following:

(a) Signed bids and contracts.

(b) Signed debt instruments.

(d) Bank signature cards and bank resolution authorizations, for savings, checking and other financial accounts.

(e) Written proof that the organizational and governing documents of an applicant, such as limited liability company operating agreements, partnership agreements, or articles of incorporation and by-laws, do not contain any provision which restricts the disabled veteran owner or his or her duly authorized representative from exercising control of the business.

(f)

Documentation, such as résumés, showing that the disabled veteran owners or their duly authorized representatives have the managerial experience, knowledge and expertise — in such areas as finance, budgeting, personnel, production, marketing and research — needed for exercising day-to-day control over the business.
The department may waive the managerial experience required in subd. 1., when a disabled veteran is starting a disabled veteran-owned business, financial adviser, or investment firm.

(g) Documentation establishing the representation authorization prescribed in s. 45.04 (1) (a), Stats., if another person is acting for the disabled veteran.

Note: Section 45.04 (1) (a) of the Statutes defines “duly authorized representative” and is reprinted under section Adm 82.12 (20).

(2) The managerial experience, knowledge and expertise of the disabled veteran owners or their duly authorized representatives substantially demonstrates their ability to make independent and unilateral business decisions necessary to guide the future and destiny of the business. The applicant may document this ability and control in a number of ways. For a disabled veteran owner or his or her duly authorized representative to demonstrate the extent of this control, the department may consider the following or other aspects of a business:

(a) Authority to sign payroll checks and letters of credit.

(b) Signature responsibility for insurance or bonds.

(d) Ability to obtain bank authorization resolutions.

(3) Agreements for support services are permitted as long as the power of the disabled veteran owner or his or her duly authorized representative to control the company is not restricted or impaired, as determined by the department.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.32 Determination of active management {#sec-adm-82.32 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.32}

Factors that the department may consider in determining whether one or more disabled veteran owners or their duly authorized representatives actively manage a business include the following:

(1) Direct operational management.

(a) The operational management of the disabled veteran owner or his or her duly authorized representative is the demonstrated extent to which the disabled veteran owner or his or her duly authorized representative actually operates the day-to-day business.

(b) Departmental assessments of operational management shall rest upon the peculiarities of the industry of which the business is a part. In order to clarify the level of operational management of the disabled veteran owner or his or her duly authorized representative, the department may consider each of the following:

‘Experience.’ The disabled veteran owner or his or her duly authorized representative has education, demonstrable working knowledge or experience in the area of specialty or industry claimed in the application.
‘Responsibility for decision-making.’

a. The disabled veteran owner or his or her duly authorized representative makes basic decisions pertaining to the daily operation of the business, such as the purchase of goods, equipment, business inventory and services.

b. The disabled veteran owner or his or her duly authorized representative supervises the business’s employees.

‘Technical competence.’

a. The disabled veteran owner or his or her duly authorized representative has technical competence in the industry or specialty of the business or a working knowledge of the technical requirements of the business sufficient to critically evaluate the work of subordinates.

b. The disabled veteran owner or his or her duly authorized representative has the ability to perform in his or her area of specialty or expertise without substantial reliance upon finances and resources – such as equipment, automobiles and facilities – of entities that are not owned by disabled veterans.

‘Connection to the principal place of business.’ The disabled veteran owner or his or her duly authorized representative is not substantially removed from the principal place of business, such as by being incarcerated.

(2) Delegated operational management. Where the actual day-to-day operational management is delegated to a person other than a disabled veteran owner or his or her duly authorized representative, the active-management requirements may be met if the disabled veteran owner or his or her duly authorized representative has the ultimate power to hire and fire that person.

(3) Potential constraints on operational management. In reviewing governance documents and issues, the department shall give special attention to the extent to which all of the following aspects affect the ability of the disabled veteran owner or his or her duly authorized representative to direct the management and policies of the business:

(a) The composition of the business’s governing body.

(b) The functioning of the governing body.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.33 Documentation of active management {#sec-adm-82.33 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.33}

The applicant shall submit evidence that one or more disabled veteran owners or their duly authorized representatives actively manage the business. This evidence may include, but is not limited to, the following:

(1) Signed purchase orders, invoices and contracts.

(2) Evidence that the disabled veteran owners or their duly authorized representatives have delegated work assignments to the business employees.

(3) Documentation, such as résumés, showing that the disabled veteran owners or their duly authorized representatives have the education or work experience in the skill areas required to produce the product or service provided by the business.

(4) Where the actual day-to-day operational management is delegated to a person other than a disabled veteran owner or his or her duly authorized representative, documentation, such as a signed contract, showing that the disabled veteran owners or their duly authorized representatives have the ultimate power to hire and fire that person.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.36 Determination of performance of a useful business function {#sec-adm-82.36 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.36}

Factors that the department may consider in determining whether a disabled veteran-owned entity is performing a useful business function include the following:

(1) The degree to which the business has customers other than the state.

(2) The adequacy of the business’s resources to carry out its business functions.

(3) The degree to which the business is independent of control or substantial influence by another business. Business relationships that tend to defeat the useful business function include shared space, equipment, employees, or other resources, and financing agreements.

(4) Whether the business acts as a conduit to transfer funds to a business that is not owned by a disabled veteran, unless doing so is a normal industry practice.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.37 Documentation of performance of a useful business function {#sec-adm-82.37 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.37}

The applicant shall submit evidence that the business is performing a useful business function. This evidence may include, but is not limited to, the following:

(1) Contracts, purchase orders, invoices, and other documents demonstrating that the business has customers.

(2) Evidence that the quantity, type and condition of the business’s equipment and inventory are adequate to carry out its business functions.

(3) Loans and other financing agreements, leases, employee contracts, payroll records and other documents demonstrating that the business’ relationships with businesses that are owned by other than disabled veterans do not preclude it from performing a useful business function.

(4) Contracts, purchase orders, invoices, and other documents showing that the business has a diversity of suppliers and is not acting as a conduit for a single supplier.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.40 Special circumstances {#sec-adm-82.40 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.40}

Any one of the following circumstances creates a presumption that an applicant does not satisfy the eligibility standards for certification as a DVB. In such instances, the applicant has the burden of establishing to the department’s satisfaction that the business meets the eligibility standards despite the existence of one or more of the following factors:

(1) The business was formed less than three years but at least one year prior to an application for certification.

(2) The ownership or control of the business has changed within two years prior to an application for certification.

(3) Shares of stock transferred from a person other than a disabled veteran to a disabled veteran owner of the business, within two years prior to an application for certification.

(4) The business has unissued shares that, if issued, could result in less than 51 percent disabled veteran ownership of the business or in less than dominant control by disabled veteran owners or their duly authorized representatives.

(5) The business is subject to conversion rights that, if exercised, would result in less than 51 percent disabled veteran ownership of the business or in less than dominant control by disabled veteran owners or their duly authorized representatives.

(6) One or more of the disabled veteran owners is a former or current employee of a business which is not owned by a disabled veteran and which has an ownership interest in or a business relationship with the applicant, particularly if the business that is not owned by a disabled veteran is in a substantially similar line of business.

(7) An applicant’s directors or management or both, are substantially the same as those of a business which is not owned by a disabled veteran and which has an ownership interest in, an investment in, or a business relationship with the applicant, particularly if the business that is not owned by a disabled veteran is in a substantially similar line of business.

(8) The business shares indistinguishable facilities, such as office space; production, distribution or storage facilities; machinery and equipment; or employees, with a business that is not owned by a disabled veteran.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11.

Wis. Admin. Code § Adm 82.50 Certification procedure for disabled veteran-owned entities {#sec-adm-82.50 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.50}

(1) Application and review.

(a) Any business, financial adviser or investment firm that meets the standards for certification may file a certification application with the department.

(b) The applicant shall submit a valid, department-supplied application form; the three preceding years of business taxes, except where one or two preceding years of business taxes are submitted under s. Adm 82.40 (1); current business financials; documentation showing conformance to the DVB definition in s. Adm 82.12 (17); and the documentation required under ss. Adm 82.22, 82.25, 82.29, 82.33, and 82.37 to the Department of Administration, P.O. Box 7970, Madison, WI 53707-7970.

Note: The application form that is currently valid, and guidance for completing it, can be obtained by accessing the Department’s Web site at doa.wi.gov and searching for the disabled veteran-owned business certification program. The form and guidance are also available from the department at Disabled Veteran Business Certification Program, P.O. Box 7970, Madison, WI 53707-7970.

(c) Each application shall include a fee of $50, and an additional payment of $100 for two, one-year renewal fees. The department shall refund the $100 payment if certification is ultimately denied.

(d) Upon receipt of the application, the department shall review the application for completeness and for compliance with the requirements of s. 16.283, Stats., and this chapter.

(e) The department may request, at any time that it deems necessary, that the applicant submit additional information or documentation for providing clarification or substantiation, or for resolving any ambiguities or inconsistencies in the application form. Failure to cooperate fully may result in denial of DVB certification.

(f) The department may impose a time limit of not less than 60 calendar days in which the applicant shall provide the requested information, except the department shall grant a time extension where good cause is shown by the applicant. Any request for a time extension shall specify the length of time for which the extension is requested and the reasons for the request.

(g) All information submitted shall become the property of the department.

(h) The department may conduct a scheduled or unannounced on-site visit of the applicant’s operations. Failure to cooperate fully during an on-site visit may result in denial of the certification. The visit may include, but is not limited to, the following:

A discussion of business operations with the owners.
An examination of the applicant’s physical plant, inventory, machinery and equipment, financial records, accounting records, project files, customers accounts, and any legal documents and records that may be relevant to the certification of the business as a DVB.
A review of the applicant’s organizational structure, management responsibilities and labor force characteristics. In this review, the department may do the following:

a. Analyze the ownership of stock in the business, if the applicant is a corporation.

b. Examine the work history of the applicant, including contracts the applicant has received and the work the applicant has completed.

(i) After completing a review of the application, the department shall send the applicant either a notice of certification – or a notice of intent to deny certification stating the reasons for denial and offering the applicant the opportunity for an informal hearing under s. Adm 82.70.

(j) The department shall maintain a DVB database that includes the name of the owner, business name, type of business industry, business owner e-mail address, sales volume and growth rates, number of full-time employees, and North American Industrial Classification or National Institute of Governmental Purchasing coding indicating the functional mission of the business.

(2) Denial of certification.

(a) The department may deny certification for any of the following reasons:

The department determines that the applicant fails to meet the eligibility standards for certification or other requirements of this chapter.
The applicant fails to furnish the department with requested information within the allotted time period.
The applicant knowingly provides false or misleading information to the department.
The applicant shares indistinguishable facilities, such as office space; production, distribution or storage facilities; machinery and equipment; or employees, with a business that is not owned by a disabled veteran.

(b) Applicants shall have 60 calendar days from the date of a department notification of intent to deny certification, to submit a written request for an informal hearing.

(c) If no request for an informal hearing is made, the determination to deny certification shall become final, and the department shall send a final notice of denial to the applicant within 30 calendar days after expiration of the time period in par. (b). The notice shall state the reason for denial and notify the applicant of its appeal rights under ch. 227, Stats., and s. Adm 82.75.

(d) Each applicant denied certification may reapply for certification, no earlier than the following:

Three months from the date of the final notice of denial of certification, if the denial is based on the reasons listed in par. (a) 1., 2., or 4.
Twelve months from the date of the final notice of denial of certification, if the denial is based on the reason listed in par. (a) 3.

(3) Length of certification. A DVB shall remain on the DVB database for a period of three years unless the certification is not renewed under s. Adm 82.52, 82.70 or 82.75; or the DVB is decertified under s. Adm 82.65, 82.70 or 82.75.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (1) (b) made under s. 13.92 (4) (b) 6., Stats., correction in (1) (d) made under s. 13.92 (4) (b) 7., Stats., Register September 2011 No. 669; correction in (1) (b), (i), (2) (c), (3) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.52 Renewal procedure {#sec-adm-82.52 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.52}

(1) Prior to the end of each of the first two years of every three-year certification period, the department may review any accumulated information for the DVB. As part of the review, the department may collect or require submittal of further information for the DVB. The review shall address whether the DVB is continuing to comply with this chapter. Unless the department notifies the DVB otherwise at the completion of the review, the certification shall renew for the following year.

(2) A DVB shall have 60 calendar days from the date of a department notification of intent to deny renewal of certification, to submit a written request for an informal hearing under s. Adm 82.70.

(3) If no request for an informal hearing is made, the determination to deny renewal of certification shall become final, and the department shall send a final notice of denial to the DVB within 30 calendar days after expiration of the time period in sub. (2). The notice shall state the reason for denial and notify the DVB of its appeal rights under ch. 227, Stats., and s. Adm 82.75. The department shall send a copy of the final notice to the department of transportation.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (3) made under s. 13.92 (4) (b) 6., Stats., Register September 2011 No. 669; correction in (2), (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.55 Recertification procedure {#sec-adm-82.55 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.55}

To maintain its certification status, a DVB shall reapply for its certification prior to the designated expiration date, in accordance with the following procedure:

(1) The department shall send a recertification application form to each DVB by electronic mail, at least 60 calendar days prior to the certification expiration date.

(2) The DVB shall submit the completed recertification application form, all business taxes filed during the three preceding years, current business financials, attestation to providing a useful business function, and a fee of $150, to the department within 60 calendar days of receipt of the application form, except the department shall grant a time extension where good cause is shown by the DVB. Any request for a time extension shall specify the length of time for which the extension is requested and the reasons for the request.

(3) Processing of recertification applications shall follow the certification procedure described in s. Adm 82.50.

(4) The recertification process may be postponed for a certified person while he or she is on active duty if the postponement is required by state or federal law or regulation.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.60 Decertification criteria {#sec-adm-82.60 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.60}

(1) The department shall decertify a DVB that is found to not meet the DVB eligibility standards in s. Adm 82.20.

(2) Sufficient reasons for decertification include the following:

(a) The status of the DVB has changed to the extent that it no longer satisfies the requirement of ownership, control, and active management of the business or the requirement to perform a useful business function.

(b) The DVB fails to submit an application for recertification within the allotted time period.

(c) The DVB fails to comply with a request from the department for records or information within the allotted time period.

(d) The DVB knowingly provides false or misleading information in support of its certification or recertification application or in response to the department’s request for records or information.

(e) The DVB is notified of a change to the certification standards and procedures and does not comply with the department’s notification to comply.

(f) The DVB does not maintain current information on the DVB database.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.65 Decertification procedure {#sec-adm-82.65 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.65}

(1) Initiation of decertification process.

(a) The department may, at the request of any state agency or at its own discretion, examine any business certified as a DVB to verify that the DVB qualifies for certification.

(b) Any business or individual who believes that a business certified as a DVB does not qualify under the standards of eligibility for certification may request a decertification investigation by the department. This request shall be written and signed and shall contain specific identification of the affected DVB, and the basis for the belief that the DVB does not meet the eligibility standards.

(2) Investigation procedure.

(a) The department shall notify the DVB, in writing, that the DVB is the subject of a decertification investigation. The notification shall explain the basis for the belief that the DVB does not meet the eligibility standards for certification.

(b) The department may request records or other documentation from the DVB, may conduct an on-site visit of the DVB facilities and may question other parties during its investigation. Failure to cooperate fully with a record request or during an on-site visit may result in decertification.

(c) The department may impose a time limit of not less than 15 calendar days in which the DVB shall respond to a request for records or other documentation, except the department shall grant a time extension where good cause is shown by the DVB. Any request for a time extension shall specify the length of time for which the extension is requested and the reason for the request. If the DVB fails to provide the information within the time limit imposed, the department shall issue a notice of intent to decertify.

(d) Upon completion of the investigation, the department shall prepare a written report that includes all of the following:

A statement of the facts leading to the investigation.
Steps taken in the investigation.
Findings of the investigation.
A conclusion that contains a recommendation for disposition of the matter.

(3) Notice of intent to decertify.

(a)

If the department determines that a DVB failed to comply with a reasonable request for records or other documentation or does not qualify for certification, the department shall send the DVB a copy of the report prepared under sub. (2) (d) — along with a notice of intent to decertify, stating the reasons for decertification and offering the DVB the opportunity for an informal hearing under s. Adm 82.70.
The department shall send a copy of any notice issued under subd. 1. to the department of transportation.

(b) The DVB shall have 60 calendar days from the date of the department’s notification to submit a written request for an informal hearing.

(c) If no request for an informal hearing is made, the administrator shall issue a final notice of decertification, stating the factual and legal grounds therefore and notifying the DVB of its appeal rights under ch. 227, Stats., and s. Adm 82.75.

(d) The department shall send a copy of the final notice of decertification to the affected DVB and to the department of transportation, within 30 calendar days after expiration of the time period in par. (b).

(4) Reapplication. A decertified business, financial adviser, or investment firm may reapply for certification no earlier than 12 months from the date of the final notice of decertification where the decertification is based on submittal of false or misleading information, and no earlier than 3 months from the date of the final notice of decertification where the decertification is based on other reasons. Any reapplication shall comply with the same submittal requirements as an initial application for certification, except the reapplication shall include notation of the previous decertification.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; corrections in (3) (a) 2., (d) made under s. 13.92 (4) (b) 6., Stats., Register September 2011 No. 669; correction in (3) (a) 1., (c) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.70 Informal hearing procedure {#sec-adm-82.70 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.70}

(1) Any business, financial adviser, or investment firm that has received a notice of intent to deny certification, to deny renewal of certification, to deny recertification, or to decertify, may submit a written request for an informal hearing. The request shall set forth the grounds on which the business, financial adviser, or investment firm believes the decision is in error, and may include any additional information that the business, financial adviser, or investment firm has to offer. The business, financial adviser, or investment firm shall submit the request for the informal hearing to the Administrator, Disvision of Enterprise Operations, Department of Administration, P.O. Box 7867, Madison, WI 53707-7867.

Note: Sections Adm 82.50 (2) (b), 82.52 (2), 82.55 (3), 82.65 (3) (b) and 82.94 (3) specify deadlines for submitting requests for informal hearings.

(2) The department shall schedule an informal hearing within 30 calendar days of receipt of the request. The department shall send a written notice of the scheduled hearing to all interested parties at least 10 calendar days prior to the hearing date. The notice shall specify the date, time and location of the hearing. Interested parties shall include all persons who signed the application for certification or recertification.

(3) The department shall conduct the hearing on an informal basis.

(4) Within 10 business days after the hearing, the administrator shall notify the business, financial adviser, or investment firm in writing of the final decision.

(5) If the final decision is to grant certification, renew a certification, or issue a recertification, the department shall inform the business, financial adviser, or investment firm of that decision. If the final decision is to deny a certification, a certification renewal, or a recertification, or to decertify, the department shall notify the business, financial adviser, or investment firm of that final decision and the reasons for the decision. That notification shall also include reference to the applicant’s appeal rights under subch. III of ch. 227, Stats., and s. Adm 82.75.

(6) Once the department has made a final decision on certification, recertification or decertification, that determination shall take effect immediately. If a business, financial adviser, or investment firm has been denied certification or recertification or has been decertified, and then appeals the department’s decision in accordance with s. Adm 82.75, the department’s decision remains in effect unless and until the decision is reversed as a result of the appeals process.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (1) made under s. 13.92 (4) (b) 6., Stats., Register September 2011 No. 669; correction in (1), (4), (5), (6) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.75 Appeal procedure {#sec-adm-82.75 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.75}

(1) Any business, financial adviser, or investment firm which has been denied certification, certification renewal, or recertification, or which has been decertified, may submit a written request for a formal hearing under s. 227.42, Stats. The request shall be submitted to the department within 60 calendar days of the mailing date of the department’s notification. The request shall set forth the grounds on which the business, financial adviser, or investment firm believes the decision is in error, and shall include any additional information that the business, financial adviser, or investment firm has to offer. The business, financial adviser, or investment firm shall submit the request for the formal hearing to the Office of the Secretary, Department of Administration.

Note: The mailing address for the Secretary of the Department of Administration is P.O. Box 7864, Madison, WI 53707.

(2) The department shall schedule the formal hearing and shall send a written notice of the scheduled hearing to all interested parties at least 10 calendar days prior to the hearing date. The notice shall specify the date, time and location of the hearing. Interested parties shall include all persons who signed the application for certification or recertification.

(3) The hearing shall be conducted pursuant to ss. 227.43 to 227.51, Stats. Both the business, financial adviser, or investment firm and the department may present evidence, subpoena witnesses and records, and cross-examine witnesses. The business, financial adviser, or investment firm and the department may be represented by counsel.

Note: Under ch. 227, Stats, the department may designate an official of the department or an employee on its staff or borrowed from another state agency as a hearing examiner to preside over a contested case.

(4) Within 20 business days after the conclusion of the hearing, the department shall make a decision based on findings of fact and conclusions of law, except as provided in sub. (5).

(5) The secretary may delegate the authority to make the final decision to the hearing examiner of another state agency. When this authority is delegated, the hearing examiner’s decision shall be the final administrative decision of the department.

(6) Within 30 business days after the conclusion of the hearing, the department shall notify the affected business, financial adviser, or investment firm and the department of transportation of the final decision regarding certification, certification renewal, recertification or decertification.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; corrections in (1), (6) made under s. 13.92 (4) (b) 6., Stats., Register September 2011 No. 669.

Wis. Admin. Code § Adm 82.80 Notification of changes in application information {#sec-adm-82.80 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.80}

(1) A DVB shall notify the department in writing of any change in the information contained in an application for certification or recertification within 60 calendar days of the change or before bidding on a state contract, whichever is earlier.

(2) Within 15 calendar days of receiving the changes in sub. (1), the department shall send the DVB a written determination of either of the following:

(a) The change is not material, and the certification of the DVB continues.

(b) The change is material and warrants a review of the status of the DVB.

(3) If the change warrants a review of the status of the DVB, the department shall conduct the review following the decertification procedures in s. Adm 82.65.

(4) Failure by a DVB to notify the department of a change that would reduce disabled veteran ownership, control or management, or change the business function performed, may result in decertification and may result in the department forwarding pertinent information to the appropriate law enforcement authority for investigation and possible prosecution.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.90 Certification of a business, financial adviser, or investment firm by another public agency {#sec-adm-82.90 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.90}

(1) The department may waive some or all of the certification application requirements and procedures under s. Adm 82.50 for a business, financial adviser, or investment firm that is already certified by another public-sector agency if the department determines that the agency’s standards for certification and certification procedures are substantially equivalent to the department’s.

(2) In making the determination in sub. (1), the department may consider factors that include the following:

(a) The documentation that the applicant was required to provide to receive certification by the agency.

(b) Whether an on-site visit was performed.

(3) To receive any waivers under this section, an applicant shall provide the department with documentation showing the equivalency specified in sub. (1) and addressing the factors specified in sub. (2), except the documentation for sub. (1) is not required for an applicant that submits proof of being certified by an agency listed under sub. (4).

(4) The department shall maintain a list of certification agencies whose certification procedures are found under sub. (1) to be equivalent to the department’s standards.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 82.95 Certification criteria for a corporation owned by a nonprofit organization {#sec-adm-82.95 omnilex-key=us-wi-regs-official--agency-adm--Adm 82.95}

(1) The department may certify a corporation owned by a nonprofit organization if the department determines that the nonprofit organization is controlled and managed by disabled veterans or their duly authorized representatives. Factors that the department may consider in reaching this determination include the following:

(a) At least 51 percent of the members who may elect the board of directors or trustees and who are entitled to vote on a dissolution of the nonprofit organization are disabled veterans.

(b) At least 51 percent of the board of directors or trustees of the nonprofit organization are disabled veterans.

(c) The minutes of the organization’s meetings document the active control and participation of the disabled-veteran members of the board in such areas as setting and monitoring financial policy, personnel policy and program policy.

(d) The nonprofit organization is independent of control or substantial influence by a nonprofit or for-profit organization that is not owned by a disabled veteran. The department shall refutably presume that the nonprofit disabled veteran-owned organization is dependent on an organization which is not owned by a disabled veteran if the disabled veteran-owned organization shares office space, staff, equipment, or other resources, with a for-profit or nonprofit organization that is not owned by a disabled veteran or if the disabled veteran-owned organization receives a majority of its funding from a single organization that is not owned by a disabled veteran.

(2) The applicant and department shall follow the certification procedures described in s. Adm 82.50.

History

EmR1041: emerg. cr., eff. 11-14-10; CR 11-004: cr. Register September 2011 No. 669, eff. 10-1-11; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Chapter Adm 83 WOMAN-OWNED BUSINESS CERTIFICATION PROGRAM

Wis. Admin. Code § Adm 83.10 Purpose {#sec-adm-83.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.10}

Pursuant to s. 16.285 (1) (c), Stats., this chapter sets forth the criteria and procedures for certification, certification renewal, recertification, and decertification of woman-owned businesses.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.12 Definitions {#sec-adm-83.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.12}

In this chapter:

(1) “Administrator” means the administrator of the division of enterprise operations in the department.

(2) “Affiliate” means a company effectively controlled by another, such as a branch, division, or subsidiary. As prescribed in 15 USC 80a-2, an affiliate includes a company in which there is ownership, direct or indirect, by another company, of 5% or more of the voting stock.

(3) “Appeal” means a written request by an applicant to reconsider a determination of a denial of application, certification renewal, recertification or decertification.

(4) “Applicant” means any business that applies to the department for certification as a woman-owned business enterprise under s. 16.285 (1), Stats., and this chapter, through submission of application forms.

(6) “Assets” means the real and personal property of a business.

(7) “Authorized shares” means the shares that a corporation is authorized to issue by its articles of incorporation.

(8) “Beneficial ownership” means ownership of the rights in a business that are the normal incidents of owning a business.

(9) “Broker” means a person who acts as an intermediary between a buyer or seller, usually charging a commission for value added.

(11) “Business” means a sole proprietorship, general partnership, corporation, limited liability company, limited liability partnership, or joint venture, organized for a profit basis — except where the context implies that this term is referring instead to buying or selling commodities or services.

(12) “Capital contribution” means the cash or property contributed to a business, and may include a financial investment in the business or the contribution of property, space, patents and copyrights.

(13) “Control” means the power to direct the day-to-day and long-term operation and management of a business.

Note: Departmental assessments of operational and managerial control will rest upon the peculiarities of the industry of which the business is a part.

(14) “Conversion rights” means any agreement, option, scheme or documents that will create any rights which, if exercised, would result in less than 51% woman ownership of the business, or less than dominant control by woman owners or both.

(15) “Corporation” means a corporation organized for profit, with capital stock.

(16) “Decertification” means the process by which the department determines that a WBE no longer meets the eligibility criteria, and then rescinds the certification status.

(17) “Denial” means the office’s reaction to an applicant that does not meet the certification eligibility requirements.

(18) “Department” means the department of administration.

(19) “Distributor” means one that markets or sells merchandise, such as a wholesaler.

(20) “Expiration” means the specified end of the WBE certification, at the close of the three-year certification period.

(21) “General partner” means a partner who participates fully in the profits, losses and management of a partnership and who is personally liable for its debts.

(22) “Industry standard” means the usual and customary practice in the delivery of products or services within a particular business sector, such as procurement, billing payment and performance.

(23) “Interest” means a right, claim, financial or legal share in a business.

(24) “Issued shares” means the shares of a corporation that have been authorized and actually sold to subscribers. They may include treasury shares.

(25) “Joint venture agreement” means a written agreement signed by each joint venture specifying the terms and conditions of the joint venture.

(26) “Limited liability company” means a company similar in structure to a partnership, but its members are not personally liable for the entity’s debts and liabilities. Its members may participate in the management of the company without risking personal liability.

(27) “Marital-property agreement” means an agreement that complies with s. 766.58, Stats.

(28) “Marital property laws” means ch. 766, Stats.

(29) “Marital-property waiver” means a form provided by the department to document separate control and management of a business under marital property laws.

(30) “Nonprofit organization” means an organization as defined in s. 108.02 (19), Stats.

(31) “Non-Wisconsin business” means a business that neither is incorporated under ch. 180, Stats., nor has its principal place of business in Wisconsin.

(31m) “Office” means the office of women’s business ombudsmen, in the department.

(32) “On-site visit” means a visit to an applicant’s physical place of business for the verification of information submitted in the application and accompanying documentation.

(33) “Parent company” means a company that has at least a majority direct-voting control over another company.

(34) “Partnership” means a contract entered into by two or more persons in which each agrees to furnish a part of the capital or labor for a business enterprise, and by which each partner shares in some fixed proportion in profits and losses.

(35) “Partnership agreement” means a written agreement signed by each partner specifying the terms and conditions of the partnership.

(36) “Partnership interest” means a partner’s share of the profits and losses of the partnership and the right to receive distributions of partnership assets.

(37) “Principal place of business” means the physical location at which or from which a business performs, is maintained, or operates the majority of its business.

(38) “Recertification” means the process by which WBE status is reestablished, prior to expiration at the close of the three-year certification period.

(39) “Renewal” means a one-year continuation of a WBE certification, at the end of each of the first two years of the three-year certification period, as subject to a review by the department.

(40) “Retailer” means the seller of goods or commodities directly to consumers at a retail price.

(41) “Secretary” means the secretary of the department.

(42) “Securities” means stocks, bonds, notes, convertible debentures, warrants or other documents that represent a share in a business, or a debt owed by a business.

(43) “Shares” means the units into which the proprietary interests in a corporation are divided.

(44) “Sole proprietorship” means a business in which one person owns all the assets of the business and is solely liable for all the debts of the business.

(45) “Stock-affirmation form” means a form provided by the department and affirmed by the applicant stating that the stock ownership of the corporation is as presented in the application, and in which the applicant agrees to notify the department in the event that additional stock is sold.

(46) “Stock certificate” means a certificate issued by a corporation certifying that the named person is the owner of a designated number of shares of stock.

(47) “Subsidiary” means a corporation in which one other corporation owns a majority of the voting shares.

(48) “Treasury shares” means the shares which have been issued but later re-acquired by a corporation and which have not been canceled or restored to the status of authorized but unissued shares.

(49) “Unissued shares” means shares which the corporation is authorized to issue but which have not yet been distributed to shareholders or subscribers.

(50) “Useful business function” means the provision of materials, supplies, equipment or services to customers in addition to this state. Acting as a conduit to transfer funds to other than a woman-owned business does not constitute a useful business function, unless doing so is a normal industry practice.

(51) “Value added” means something that is added to a product or service by a marketer or distributor which warrants a markup in the retail price.

(52) “Voting shares” means those shares that give the holder the right to vote for directors and other matters, in contrast to non-voting shares, which simply entitle the holder to dividends, if any.

(53) “Woman-owned business, woman-owned business enterprise, or WBE” means a sole proprietorship, general partnership, corporation, limited liability company, limited liability partnership, or joint venture, which is organized for a profit basis and which fulfills all of the following requirements:

(a) If privately owned, it is at least 51% owned, controlled, and actively managed by one or more women who are either U.S. citizens or lawfully admitted to the United States for permanent residence, as defined under 8 USC 1101 (a) (20).

(b) If publicly owned, at least 51% of the stock is owned and controlled by one or more women who are either U.S. citizens or lawfully admitted to the United States for permanent residence, as defined under 8 USC 1101 (a) (20); and the management and daily operations are controlled by one or more of those women.

Note: Section 8 USC 1101 (a) (20) reads as follows “The term ‘lawfully admitted for permanent residence’ means the status of having been lawfully accorded the privilege of residing permanently in the United States as an immigrant in accordance with the immigration laws, such status not having changed.”

(54) “Wholesaler” means a middle person or distributor who sells mainly to retailers, other merchants, and industrial commercial institutional users, as distinguished from consumers.

(55) “Wisconsin business” means a business that either is incorporated under ch. 180, Stats., or has its principal place of business in Wisconsin.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1), (4), (10), (17), (18) made under s. 13.92 (4) (b) 6., 7., Stats., and renumbering of (10) to (31m) under s. 13.92 (4) (b) 1., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.20 Certification criteria {#sec-adm-83.20 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.20}

In order to become certified as a woman-owned business enterprise, a business shall meet all of the following eligibility standards:

(1) The business satisfies all of the criteria in the WBE definition in s. Adm 83.12 (53).

(2) If the business is a sole proprietorship, a woman owns 100% of the company assets.

(3)

(a) If the business is a partnership, 2 or more persons agree to carry on a business or venture together, upon the terms of mutual participation in the profits and losses of the business. The partnership is a contract of mutual agency, each partner acting as a principal in her or his own behalf and as agent of his or her co-partners, and general rules of law applicable to agents shall apply with equal force in determining rights and liabilities of partners.

(b) If the business is a general partnership, one or more women own at least 51% of the partnership interests.

(c) If the business is a limited partnership, one or more women general partners own at least 51% of the general partnership interest and exert at least 51% of the control among general partners. The women general partners receive at least 51% of the profits and benefits, including tax credits, deductions and postponements. In addition, the women limited partners shall own at least 51% of the limited partnership interests and receive at least 51% of the profits and benefits, including tax credits, deductions and postponements.

(4) If the business is a limited liability company, one or more women own at least 51% of membership interests in the LLC organization, and exert at least 51% of the management and control among the members. The women owners also participate in all risks and profits of the organization at a rate commensurate with their membership interests.

(5) If the business has a corporate form of organization, one or more women own at least 51% of all voting stock of the corporation. Any voting agreements among the shareholders do not dilute the beneficial ownership, the rights, or the influence of the women owners of the stock or classes of stock of the corporation. The women owners possess the right to all customary incidents of ownership, such as the ability to transfer stock, title possession, and enter binding agreements.

Note: Nonprofit corporations do not meet the requirements in sub. (5) and are therefore not eligible for certification.

(6) If the business is a joint venture, one or more woman-owned businesses hold at least 51% of the beneficial ownership interest in the joint venture, and exert at least 51% of the control and management of the joint venture. The woman-owned business partners of the joint venture are certified or are eligible for certification as woman-owned business enterprises.

(7) If the business is a subsidiary or affiliate, one or more women own at least 51% of the parent company.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.22 Documentation of gender {#sec-adm-83.22 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.22}

An applicant shall provide one of the following to verify the gender of each of the woman owners of a business:

(1) A birth certificate.

(2) A passport.

(3) A state-issued, motor vehicle operator’s license or identification card.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.24 Determination of ownership {#sec-adm-83.24 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.24}

(1) An applicant shall meet all of the following eligibility standards:

(a)

The ownership by one or more women is real, substantial and continuing, going beyond the pro-forma ownership of the business as reflected in its ownership documents.
Each woman owner shares in all risk and profits commensurate with her ownership interest as demonstrated by a detailed examination of the substance of her business arrangements with others.
Each woman owner receives the customary incidents of ownership, such as salary, rights to dividends, ownership of assets and ownership of intangible assets such as copyrights and patents.

(b) The contributions of capital and expertise by the woman owner or owners to acquire their interest in the business is real and substantial, and in proportion to the interest acquired.

(2) Contributions of personal or professional services alone are not real and substantial for the purposes of this section, except these contributions shall receive consideration when given in conjunction with other tangible forms of investment. Other insufficient contributions include, but are not limited to, promises to contribute capital or expertise in the future, a note payable to the business or to its owners who are not women, or the mere participation as an employee.

(3) Women shall hold at least 51% of the securities that constitute ownership of a business.

(4) Securities or assets of a business that are held in trust are not considered as held by a woman in determining the ownership of a business, except under the following circumstances:

(a) The beneficial owner of the securities or assets held in trust is a woman, and the trustee is a woman.

(b) A woman is the sole grantor of assets held in a revocable living trust, and a woman is the beneficiary and trustee.

(5) The department may not consider securities that are held by any guardian for a minor, in determining ownership and control.

(6) An ownership interest arising in a male spouse solely because of the operation of marital property laws may not disqualify an applicant from certification if both spouses certify that the female performs the majority of the control and management of the business.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.25 Documentation of ownership {#sec-adm-83.25 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.25}

(1)

(a) An applicant shall submit documentation showing ownership of at least 51% of the business by a woman. This documentation may include, but is not limited to, the three preceding years of business taxes, a current business financial statement, business licenses, buy-out agreements and financial agreements.

(b) For a sole proprietorship, additional documentation may include, but is not limited to, canceled checks used to purchase ownership.

(c) For a partnership, additional documentation may include, but is not limited to, partnership agreements, purchase agreements, and salary and profit-sharing records.

The capital contribution made by each joint venturer, the control each will exercise, and the distribution of profit and loss. The agreement shall allocate the control and the distribution of profit and loss in proportion to the contributions of the joint venturers.
The useful business function the joint venture will perform and the part of the work each joint venturer will do.

(2) The department may require documentation showing how and when the woman’s interest in the business was acquired.

(3)

(a) The department shall apply the following rules in situations in which marital assets form a basis for ownership of a business:

When marital assets other than the assets of the business in question are held jointly or as marital property by both spouses, and are used to acquire the ownership interest asserted by the woman, the department shall conclude that the woman acquired her ownership interest in the enterprise with her own individual resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in which either spouse or the enterprise is domiciled. The department may not count a greater portion of joint or marital property assets toward ownership than state law would recognize as belonging to the qualifying member of the business.
The application for WBE certification shall include a copy of the document that is used for legally transferring and renouncing the rights as required in subd. 1.

(b) In instances where marital ownership is not clearly established, the department may request a marital-property waiver form in which both spouses certify that only the female spouse controls and manages the business, or an affidavit stating that the spouses have signed a marital-property agreement in which the male spouse relinquishes control and management of the business.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.28 Determination of control {#sec-adm-83.28 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.28}

(1) Factors that the department shall consider in determining whether one or more women owners control a business include, but are not limited to, the following:

(b) Membership of one or more women owners on the board of directors.

(d) The managerial experience, knowledge and expertise of the women owners in such areas as finance, budgeting, personnel, production, marketing and research.

(e) Whether the women owners have the authority to make policy decisions in such areas as finance, budgeting, personnel, production, marketing and research.

(2) An applicant’s assertion of being independent from a male-owned business may not rest solely on recognition of the women owners by governmental taxing authorities. Other test criteria include, but are not limited to, the following:

(a) An applicant’s relationship with any male-owned business, that involves any long-term contract or lease agreements.

(b) The existence of working agreements with any male-owned business.

(c) An applicant’s status as a party to any contract or lease agreement on terms at variance with industry standards or prudent business practices.

(d) The existence of restrictive financing agreements with any male-owned business or financial institution that impose undue limitations on the applicant.

(e) Interlocking stock ownership of the applicant and any male-owned business in the same industry.

(f) Common directors or officers between the applicant and any male-owned business.

(g) An applicant’s use of employees, equipment, expertise, facilities, or other resources from a male-owned business.

(h) The receipt by a male-owned business of financial benefits, such as profits and wages, that are not commensurate with the duties performed.

(i) An applicant that cannot operate without licenses, permits or insurance held by another business.

(j) An applicant that does not possess all legal requirements necessary to its operation.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.29 Documentation of control {#sec-adm-83.29 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.29}

(1) An applicant shall submit evidence that one or more women owners have control over the business. Such evidence shall include, but is not limited, to the following:

(a) Signed bids and contracts.

(b) Signed debt instruments.

(d) Bank signature cards and bank resolution authorizations, for savings, checking and other financial accounts.

(e) Written proof that the organizational and governing documents of an applicant, such as limited liability company operating agreements, partnership agreements, or articles of incorporation and by-laws, do not contain any provision which restricts the woman owner from exercising control of the business.

(f)

Documentation, such as résumés, showing that the women owners have the managerial experience, knowledge and expertise – in such areas as finance, budgeting, personnel, production, marketing and research — needed for exercising day-to-day control over the business.
The department may waive the managerial experience required in subd. 1., when a woman is starting a woman-owned business.

(2) The managerial experience, knowledge and expertise of the women owners substantially demonstrates their ability to make independent and unilateral business decisions necessary to guide the future and destiny of the business. The applicant may document this ability and control in a number of ways. For a woman owner to demonstrate the extent of this control, the department may consider the following or other aspects of a business:

(a) Authority to sign payroll checks and letters of credit.

(b) Signature responsibility for insurance or bonds.

(d) Ability to obtain bank authorization resolutions.

(3) Agreements for support services are permitted as long as the power of the woman owner to control the company is not restricted or impaired, as determined by the department.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.32 Determination of active management {#sec-adm-83.32 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.32}

Factors that the department shall consider in determining whether one or more women owners actively manage a business include, but are not limited to, the following:

(1) Direct operational management.

(a) The operational management of the woman owner is the demonstrated extent to which the woman owner actually operates the day-to-day business.

(b) Departmental assessments of operational management shall rest upon the peculiarities of the industry of which the business is a part. In order to clarify the level of operational management of the woman owner, the department may consider each of the following:

‘Experience.’ The woman owner has education, demonstrable working knowledge or experience in the area of specialty or industry claimed in the application.
‘Responsibility for decision-making.’

a. The woman owner makes basic decisions pertaining to the daily operation of the business, such as the purchase of goods, equipment, business inventory and services.

b. The woman owner supervises the business’s employees.

‘Technical competence.’

a. The woman owner has technical competence in the industry or specialty of the business or a working knowledge of the technical requirements of the business sufficient to critically evaluate the work of subordinates.

b. The woman owner has the ability to perform in her area of specialty or expertise without substantial reliance upon finances and resources — such as equipment, automobiles and facilities — of males or non-woman-owned business enterprises.

(2) Delegated operational management. Where the actual day-to-day operational management is delegated to a person other than a woman owner, the active-management requirements may be met if the woman owner has the ultimate power to hire and fire that person.

(3) Potential constraints on operational management. In reviewing governance documents and issues, the department shall give special attention to the extent to which all of the following aspects affect the ability of the woman owner to direct the management and policies of the business:

(a) The composition of the business’s governing body.

(b) The functioning of the governing body.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.33 Documentation of active management {#sec-adm-83.33 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.33}

The applicant shall submit evidence that one or more women owners actively manage the business. This evidence may include, but is not limited to, the following:

(1) Signed purchase orders, invoices and contracts.

(2) Evidence that the women owners have delegated work assignments to the business employees.

(3) Documentation, such as résumés, showing that the women owners have the education or work experience in the skill areas required to produce the product or service provided by the business.

(4) Where the actual day-to-day operational management is delegated to a person other than a woman owner, documentation, such as a signed contract, showing that the women owners have the ultimate power to hire and fire that person.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.36 Determination of performance of a useful business function {#sec-adm-83.36 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.36}

Factors that the department shall consider in determining whether a woman-owned business is performing a useful business function include, but are not limited to, the following:

(1) The degree to which the business has customers other than the state.

(2) The adequacy of the business’s resources to carry out its business functions.

(3) The degree to which the business is independent of control or substantial influence by another business. Business relationships that tend to defeat the useful business function include, but are not limited to, shared space, equipment, employees, or other resources, and financing agreements.

(4) Whether the business acts as a conduit to transfer funds to a male-owned business, unless doing so is a normal industry practice.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.37 Documentation of performance of a useful business function {#sec-adm-83.37 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.37}

The applicant shall submit evidence that the business is performing a useful business function. This evidence may include, but is not limited to, the following:

(1) Contracts, purchase orders, invoices, and other documents demonstrating that the business has customers.

(2) Evidence that the quantity, type and condition of the business’s equipment and inventory are adequate to carry out its business functions.

(3) Loans and other financing agreements, leases, employee contracts, payroll records and other documents demonstrating that the business’s relationships with non-woman-owned businesses do not preclude it from performing a useful business function.

(4) Contracts, purchase orders, invoices, and other documents showing that the business has a diversity of suppliers and is not acting as a conduit for a single supplier.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.40 Special circumstances {#sec-adm-83.40 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.40}

Any one of the following circumstances creates a presumption that an applicant does not satisfy the eligibility standards for certification as a WBE. In such instances, the applicant has the burden of establishing to the department’s satisfaction that the business meets the eligibility standards despite the existence of one or more of the following factors:

(1) The business was formed within one year prior to an application for certification.

(2) The ownership or control of the business has changed within one year prior to an application for certification.

(3) Shares of stock transferred from a male-owned business to a woman owner of the business, within one year prior to an application for certification.

(4) The business has unissued shares that, if issued, could result in less than 51% woman ownership of the business or in less than dominant control by women owners.

(5) The business is subject to conversion rights that, if exercised, would result in less than 51% woman ownership of the business or in less than dominant control by women owners.

(6) One or more of the women owners is a former or current employee of a male-owned business that has an ownership interest in or a business relationship with the applicant, particularly if the male-owned business is in a substantially similar line of business.

(7) An applicant’s directors or management or both, are substantially the same as those of a male-owned business that has an ownership interest in, an investment in, or a business relationship with the applicant, particularly if the male-owned business is in a substantially similar line of business.

(8) The business shares indistinguishable facilities, such as office space; production, distribution or storage facilities; machinery and equipment; or employees, with a non-woman-owned business.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07.

Wis. Admin. Code § Adm 83.50 Certification procedure for Wisconsin businesses {#sec-adm-83.50 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.50}

(1) Application and review.

(a) Any Wisconsin business that meets the standards for certification may file a WBE certification application with the department.

(b) The applicant shall submit a valid, department-supplied application form; the 3 preceding years of business taxes; current business financials; and attestation to serving a useful business function, to the Department of Administration, Office of Women’s Business, P.O. Box 7970, Madison, WI 53707-7970.

Note: The application form that is currently valid, and guidance for completing it, can be obtained by accessing the department’s Web site at www.doa.wi.gov and searching for the woman-owned business certification program. The form and guidance are also available from the department at P.O. Box 7970, Madison, WI 53707-7970.

(c) Each application shall include a fee of $50, and an additional payment of $100 for 2, one-year renewal fees. The department shall refund the $100 payment if certification is ultimately denied.

(d) Upon receipt of the application, the department shall review the application for completeness and for compliance with the requirements of s. 16.285 (1), Stats., and s. Adm 83.20.

(f) The department may impose a time limit of not less than 30 calendar days in which the applicant shall provide the requested information, except the department shall grant a time extension where good cause is shown by the applicant. Any request for a time extension shall specify the length of time for which the extension is requested and the reasons for the request.

(g) All information submitted shall become the property of the department.

(h) The department may conduct a scheduled or unannounced on-site visit of the applicant’s operations. The visit may include, but is not limited to, the following:

A discussion of business operations with the owners.
An examination of the applicant’s physical plant, inventory, machinery and equipment, financial records, accounting records, project files, customers accounts, and any legal documents and records that may be relevant to the certification of the business as a WBE.
A review of the applicant’s organizational structure, management responsibilities and labor force characteristics. In this review, the department may do the following:

a. Analyze the ownership of stock in the enterprise, if the applicant is a corporation.

b. Examine the work history of the applicant, including contracts the applicant has received and the work the applicant has completed.

(i) After completing a review of the application, the department shall send the applicant either a notice of certification — or a notice of intent to deny certification stating the reasons for denial and offering the applicant the opportunity for an informal hearing under s. Adm 83.70.

(j) The department shall maintain a WBE database that includes the name of the owner, business name, type of business industry, business owner e-mail address, sales volume and growth rates, number of full-time employees, and North American Industrial Classification or National Institute of Governmental Purchasing coding indicating the functional mission of the business.

(2) Denial of certification.

(a) The department shall deny certification for any of the following reasons:

The department determines that the applicant fails to meet the eligibility standards for certification.
The applicant fails to furnish the department with requested information within the allotted time period.
The applicant knowingly provides false or misleading information to the department.
The applicant shares indistinguishable facilities, such as office space; production, distribution or storage facilities; machinery and equipment; or employees, with a male-owned business.

(b) Applicants shall have 30 calendar days from the date of a department notification of intent to deny certification, to submit a written request for an informal hearing.

(d) Each applicant denied certification may reapply for certification, no earlier than 12 months from the date of the final notice of denial of certification.

(3) Length of certification. A WBE shall remain on the WBE database for a period of three years unless the certification is not renewed under s. Adm 83.52, 83.70 or 83.75; or the WBE is decertified under s. Adm 83.65, 83.70 or 83.75.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1) (b), (d), (i), (2) (c), (3) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.52 Renewal procedure {#sec-adm-83.52 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.52}

(1) Prior to the end of each of the first two years of every three-year certification period, the department shall review any accumulated information for the WBE. As part of the review, the department may collect or require submittal of further information for the WBE. The review shall address whether the WBE is continuing to comply with this chapter. Unless the department notifies the WBE otherwise at the completion of the review, the certification shall renew for the following year.

(2) A WBE shall have 30 calendar days from the date of a department notification of intent to deny renewal of certification, to submit a written request for an informal hearing under s. Adm 83.70.

(3) If no request for an informal hearing is made, the determination to deny renewal of certification shall become final, and the department shall send a final notice of denial to the WBE within 30 calendar days after expiration of the time period in sub. (2). The notice shall state the reason for denial and notify the WBE of its appeal rights under ch. 227, Stats., and s. Adm 83.75. The department shall send a copy of the final notice to the departments of administration and transportation.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (2), (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.55 Recertification procedure {#sec-adm-83.55 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.55}

To maintain its certification status, a WBE shall reapply for its certification prior to the designated expiration date, in accordance with the following procedure:

(1) The department shall send a recertification application form to each WBE by electronic mail, at least 60 calendar days prior to the certification expiration date.

(2) The WBE shall submit the completed recertification application form, the three preceding years of business taxes, current business financials, attestation to providing a useful business function, and a fee of $150, to the department within 30 calendar days of receipt of the application form, except the department shall grant a time extension where good cause is shown by the WBE. Any request for a time extension shall specify the length of time for which the extension is requested and the reasons for the request.

(3) Processing of recertification applications shall follow the certification procedure described in s. Adm 83.50.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.60 Decertification criteria {#sec-adm-83.60 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.60}

(1) The department shall decertify a WBE that is found to not meet the WBE eligibility standards in s. Adm 83.20.

(2) Sufficient reasons for decertification include, but are not limited to, the following:

(a) The status of the WBE has changed to the extent that it no longer satisfies the requirement of ownership, control, and active management of the business or the requirement to perform a useful business function.

(b) The WBE fails to submit an application for recertification within the allotted time period.

(c) The WBE fails to comply with a request from the department for records or information within the allotted time period.

(d) The WBE knowingly provides false or misleading information in support of its certification or recertification application or in response to the department’s request for records or information.

(e) The WBE is notified of a change to the certification standards and procedures and does not comply with the department’s notification to comply.

(f) The WBE does not maintain current information on the WBE database.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.65 Decertification procedure {#sec-adm-83.65 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.65}

(1) Initiation of decertification process.

(a) The department may, at the request of any state agency or at its own discretion, examine any business certified as a WBE to verify that the WBE qualifies for certification.

(b) Any business or individual who believes that a business certified as a WBE does not qualify under the standards of eligibility for certification may request a decertification investigation by the department. This request shall be written and signed and shall contain specific identification of the affected WBE, and the basis for the belief that the WBE does not meet the eligibility standards.

(2) Investigation procedure.

(a) The department shall notify the WBE, in writing, that the WBE is the subject of a decertification investigation. The notification shall explain the basis for the belief that the WBE does not meet the eligibility standards for certification.

(b) The department may request records or other documentation from the WBE, may conduct an on-site visit of the WBE facilities and may question other parties during its investigation.

(c) The department may impose a time limit of not less than 15 calendar days in which the WBE shall respond to a request for records or other documentation, except the department shall grant a time extension where good cause is shown by the WBE. Any request for a time extension shall specify the length of time for which the extension is requested and the reason for the request. If the WBE fails to provide the information within the time limit imposed, the department shall issue a notice of intent to decertify.

(d) Upon completion of the investigation, the department shall prepare a written report that includes all of the following:

A statement of the facts leading to the investigation.
Steps taken in the investigation.
Findings of the investigation.
A conclusion that contains a recommendation for disposition of the matter.

(3) Notice of intent to decertify.

(a) If the department determines that a WBE does not qualify for certification, the department shall send the WBE a copy of the report prepared under sub. (2) (d) along with a notice of intent to decertify, stating the reasons for decertification and offering the WBE the opportunity for an informal hearing under s. Adm 83.70.

(b) The WBE shall have 30 calendar days from the date of the department’s notification to submit a written request for an informal hearing.

(c) If no request for an informal hearing is made, the administrator shall issue a final notice of decertification, stating the factual and legal grounds therefore and notifying the WBE of its appeal rights under ch. 227, Stats., and s. Adm 83.75.

(d) The department shall send a copy of the final notice of decertification to the affected WBE and to the departments of administration and transportation, within 30 calendar days after expiration of the time period in par. (b).

(4) Reapplication. A decertified business may reapply for certification no earlier than 12 months from the date of the final notice of decertification. Any reapplication shall comply with the same submittal requirements as an initial application for certification, except the reapplication shall include notation of the previous decertification.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (3) (a), (c) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.70 Informal hearing procedure {#sec-adm-83.70 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.70}

(1) Any business that has received a notice of intent to deny certification, to deny renewal of certification, to deny recertification, or to decertify, may submit a written request for an informal hearing. The request shall set forth the grounds on which the business believes the decision is in error, and shall include any additional information that the business has to offer. The business shall submit the request for the informal hearing to the administrator, at the Department of Administration, P.O. Box 7970, Madison, WI 53707. The business shall simultaneously file a copy of the request with the office.

Note: Sections Adm 83.50 (2) (b), 83.52 (2), 83.55 (3), 83.65 (3) (b) and 83.94 (3) specify deadlines for submitting requests for informal hearings.

(3) The department shall conduct the hearing on an informal basis.

(4) Within 10 business days after the hearing, the administrator shall notify the business in writing of his or her final decision.

(5) If the final decision is to grant certification, renew a certification, or issue a recertification, the department shall inform the business of that decision. If the final decision is to deny a certification, a certification renewal, or a recertification, or to decertify, the department shall notify the business of that final decision and the reasons therefore. That notification shall also include reference to the applicant’s appeal rights under subch. III of ch. 227, Stats., and s. Adm 83.75.

(6) Once the department has made a final decision on certification, recertification or decertification, that determination shall take effect immediately. If a business has been denied certification or recertification or has been decertified, and then appeals the department’s decision, the department’s decision remains in effect unless and until the decision is reversed as a result of the appeals process.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1), (5) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.75 Appeal procedure {#sec-adm-83.75 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.75}

(1) Any business which has been denied certification, certification renewal, or recertification, or which has been decertified, may submit a written request for a formal hearing under s. 227.42, Stats. The request shall be received by the department within 30 calendar days of the mailing date of the administrator’s notification. The request shall set forth the grounds on which the business believes the decision is in error, and shall include any additional information that the business has to offer. The business shall submit the request for the formal hearing to the Office of the Secretary, Department of Administration, P.O. Box 7864, Madison, WI 53707. The business shall simultaneously file a copy of the request with the office.

(3) The hearing shall be conducted pursuant to ss. 227.43 to 227.51, Stats. Both the business and the department may present evidence, subpoena witnesses and records, and cross-examine witnesses. The business and the department may be represented by counsel.

(4) Within 20 business days after the conclusion of the hearing, the department shall make a decision based on findings of fact and conclusions of law, except as provided in sub. (5).

(6) Within 30 business days after the conclusion of the hearing, the department shall notify the affected business and the departments of administration and transportation of the final decision regarding certification, certification renewal, recertification or decertification.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.80 Notification of changes in application information {#sec-adm-83.80 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.80}

(1) A WBE shall notify the office in writing of any change in the information contained in an application for certification or recertification within 30 calendar days of the change or before bidding on a state contract, whichever is earlier.

(2) Within 15 calendar days of receiving the changes in sub. (1), the department shall send the WBE a written determination of either of the following:

(a) The change is not material, and the certification of the WBE continues.

(b) The change is material and warrants a review of the status of the WBE.

(3) If the change warrants a review of the status of the WBE, the department shall conduct the review following the decertification procedures in s. Adm 83.65.

(4) Failure by a WBE to notify the department of a change that would reduce woman ownership, control or management, or change the business function performed, may result in decertification and may result in the department forwarding pertinent information to the appropriate law enforcement authority for investigation and possible prosecution.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1), (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.90 Certification of a Wisconsin business by another public agency {#sec-adm-83.90 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.90}

(1) The department may waive some or all of the certification application requirements and procedures under s. Adm 83.50 for a Wisconsin business that is already certified by another public-sector agency if the department determines that the agency’s standards for certification and certification procedures are substantially equivalent to the department’s.

(2) In making the determination in sub. (1), the department shall consider factors that include, but are not limited to, the following:

(a) The documentation that the applicant was required to provide to receive certification by the agency.

(b) Whether an on-site visit was performed.

(4) The department shall maintain a list of certification agencies whose certification procedures are found under sub. (1) to be equivalent to the department’s standards.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.92 Certification criteria for a non-Wisconsin business {#sec-adm-83.92 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.92}

The department may certify a non-Wisconsin business only if the business meets the eligibility standards in s. Adm 83.20, and the business is certified by any applicable state agency in the business’s own state.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.94 Certification procedure for a non-Wisconsin business {#sec-adm-83.94 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.94}

(1) For non-Wisconsin applicants certified by a state that the department determines has certification requirements which are substantially equivalent to the requirements in s. Adm 83.20, the applicant shall submit the following documentation:

(a) A copy of the letter of certification from the state in which the applicant is incorporated or has its principal place of business.

(b) A copy of the most recent application and supporting documentation the applicant submitted to its certifying state in support of its certification, certification renewal or recertification.

(2) The department may request information from the certifying state, including a copy of any on-site report.

(3) Upon receipt of the documentation specified in subs. (1) and (2), the department and the applicant shall follow the procedures specified in s. Adm 83.50 (1) (d) to (j), (2) and (3).

(4) The department may charge the applicant a fee of $150 to cover department expenses in making the certification determination and subsequent renewals.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (1) (intro.), (c), (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 83.96 Certification criteria for a for-profit corporation owned by a nonprofit organization {#sec-adm-83.96 omnilex-key=us-wi-regs-official--agency-adm--Adm 83.96}

(1) The department may certify a for-profit corporation owned by a nonprofit organization if the department determines that the nonprofit organization is woman-controlled and managed. Factors that the department may consider in reaching this determination include, but are not limited to, the following:

(a) At least 51% of the members who may elect the board of directors or trustees and who are entitled to vote on a dissolution of the nonprofit organization are women.

(b) At least 51% of the board of directors or trustees of the nonprofit organization are women.

(c) The minutes of the organization’s meetings document the active control and participation of the women members of the board in such areas as setting and monitoring financial policy, personnel policy and program policy.

(d) The nonprofit organization is independent of control or substantial influence by a male-owned nonprofit or for-profit organization. The department shall refutably presume that the nonprofit woman-owned organization is dependent on a male-owned organization if the woman-owned organization shares office space, staff, equipment, or other resources, with a male-owned for-profit or nonprofit organization or if the woman-owned organization receives a majority of its funding from a single male-owned organization.

(2) The applicant and department shall follow the certification procedures described in s. Adm 83.50.

History

CR 06-113: cr. Register May 2007 No. 617, eff. 6-1-07; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Chapter Adm 84 MINORITY BUSINESS CERTIFICATION PROGRAM

Wis. Admin. Code § Adm 84.01 Purpose {#sec-adm-84.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.01}

The purpose of this chapter is to set forth the criteria and procedures the department shall use to certify minority businesses pursuant to s. 16.287, Stats.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.02 Definitions {#sec-adm-84.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.02}

As used in this chapter, the following words shall have the following meanings:

(1) “Administrator” means the administrator of the division of enterprise operations in the department.

(2) “Applicant” means any business that applies to the department for certification as a minority business enterprise under s. 16.287, Stats.

(3) “Application” means the forms, all requested documentation, and the report of the on-site visit, if one was conducted by the department, upon which the department will base its decision to grant or deny certification or certification renewal.

(4) “Agency” means any executive office, agency, department, board or commission of Wisconsin, another state, the federal government or local government.

(5) “Affiliate” means a company that directly or indirectly, through one or more intermediaries, is effectively controlled by another company.

(6) “Assets” means real and personal property of the business.

(7) “Authorized shares” means the shares which a corporation is authorized to issue by its articles of incorporation.

(8) “Bank signature card” means a card, issued by a financial institution, which bears the signature of the account holder and which documents the control of the business account within the financial institution.

(9) “Beneficial ownership” means ownership of the rights in a business which are the normal incidents of owning a business; such as, the right to share in the profits and losses of the business.

(11) “Business” means a sole proprietorship, partnership, corporation or joint venture organized on a for profit basis.

(12) “Buyout agreement” means an agreement between or among part-owners of a business that, under stated conditions, the person withdrawing is legally obligated to sell his or her interest to the remaining part-owners.

(13) “Capital contribution” means the cash or property contributed to a business and may include a financial investment in the business and the contribution of property, space, patents and copyrights.

(14) “Certification” means the process by which a business is determined to be a minority business for the purpose of participating in the state’s minority business procurement program under s. 16.75 (3m), Stats., or other statutory minority business procurement program.

(15) “Certification renewal” means the review of a minority business enterprise to determine whether or not its certification will be renewed.

(16) “Conversion rights” means any agreement, option, scheme or documents that will create any rights which, if exercised, would result in less than 51% minority ownership of the business or less than dominant control by minority owners or both.

(17) “Corporation” means a corporation organized for profit with capital stock.

(18) “Decertification” means the process by which a minority business enterprise loses its certification.

(19) “Department” means the department of administration.

(20) “Firm which is in a substantially similar line of business” means a company which produces a product or performs a service which has the potential to be in direct competition with the product or service of the minority business.

(21) “General partner” means a partner who participates fully in the profits, losses and management of the partnership and who is personally liable for its debts.

(22) “Interest” means a right, claim, financial or legal share in the business.

(23) “Issued shares” means the shares of a corporation which have been authorized and actually sold to subscribers. They may include treasury shares.

(24) “Joint venture” means a one-time association of 2 or more persons or businesses, the purpose of which is to carry out a time-limited single business enterprise for profit in which they combine their property, capital, efforts, skills and knowledge, and in which they exercise control and management and share in profits and losses in proportion to their contribution to the business enterprise.

(25) “Joint venture agreement” means a written agreement signed by each joint venturer specifying the terms and conditions of the joint venture.

(26) “Marital property agreement” means an agreement that complies with s. 766.58, Stats.

(27) “Marital property laws” means ch. 766, Stats.

(28) “Marital property waiver” means a form provided by the department to document separate control and management of a business under marital property laws.

(29) “Minority” means a person who is a citizen or lawfully admitted permanent resident of the United States and who is a member of one of the following groups:

(a) “American Indian” - a person who is enrolled as a member of a federally recognized American Indian tribe or band or who possesses documentation of at least one-fourth American Indian ancestry or documentation of tribal recognition as an American Indian.

(b) “Asian-Indian” - a person with ancestry originating in India, Pakistan or Bangladesh.

(c) “Asian-Pacific origin” - a person with ancestry originating in Japan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, the Philippines, Samoa, Guam, the U.S. Trust Territories of the Pacific or the Northern Marianas.

(d) “Black” - a person with ancestry originating in any of the black racial groups of Africa.

(e) “Eskimo” or “Aleut” - a person with ancestry in any of the original peoples of Alaska, Northern Canada, Greenland and Eastern Siberia.

(f) “Hispanic” - a person with ancestry originating in Mexico, Puerto Rico, Cuba, Central America or South America or whose culture or origin is Spanish.

(g) “Native Hawaiian” - a person with ancestry in the original peoples of Hawaii.

(30) “Minority business” means a business as defined in s. 16.287 (1) (e), Stats.

(31) “Minority business directory” means the listing, published by the department, of minority business enterprises certified to operate in Wisconsin.

(32) “Minority business enterprise” or “MBE” means a business that has been certified under s. Adm 84.14, 84.21, or 84.23.

(33) “Minority business procurement program” means a program which establishes goals, set-asides, or preferences in the purchase, lease or rental of goods and services from, or in the letting of contracts to, minority business enterprises.

(34) “Non-profit organization” means an organization as defined in s. 108.02 (19), Stats.

(35) “Non-Wisconsin business” means a business which is not incorporated under ch. 180, Stats., or which does not have its principal place of business in Wisconsin.

(36) “On-site visit” means a visit to the site of business of an applicant or minority business enterprise.

(37) “Outstanding shares” means the shares of a corporation which have been issued and are in the hands of shareholders. They do not include treasury shares.

(38) “Parent company” means a company which has at least a majority direct voting control over another company.

(39) “Partnership” means an association of 2 or more persons to carry on, as co-owners, a business for profit.

(40) “Partnership agreement” means a written agreement signed by each partner specifying the terms and conditions of the partnership.

(41) “Partnership interest” means a partner’s share of the profits and losses of the partnership and the right to receive distributions of partnership assets.

(42) “Principal place of business” means the physical location at which or from which a business performs, is maintained, or operates the majority of its business.

(42m) “Program” means the minority business certification program in the department.

(43) “Secretary” means the secretary of the department.

(44) “Securities” means stocks, bonds, notes, convertible debentures, warrants or other documents that represent a share in a business or a debt owed by a business.

(45) “Shares” means the units into which the proprietary interests in a corporation are divided.

(46) “Shareholder agreement” means any agreement among shareholders which spells out the rights or future interest in the corporation among the shareholders.

(47) “Sole proprietorship” means a business in which one person owns all the assets of the business and is solely liable for all the debts of the business.

(48) “Stock affirmation form” means a form provided by the department and affirmed by the business stating that the stock ownership of the corporation is as presented in the application and in which the applicant agrees to notify the department in the event that additional stock is sold.

(49) “Stock certificate” means a certificate issued by a corporation certifying that the named person is the owner of a designated number of shares of stock.

(50) “Subsidiary” means a corporation in which one other corporation owns a majority of the voting shares.

(51) “Treasury shares” means the shares which have been issued but later re-acquired by a corporation and which have not been canceled or restored to the status of authorized but unissued shares.

(52) “Unissued shares” means shares which the corporation is authorized to issue but which have not yet been distributed to shareholders or subscribers.

(53) “Useful business function” has the meaning defined in s. 16.287 (1) (h), Stats.

(54) “Voting agreement” means an agreement among shareholders regarding the voting of their shares.

(55) “Voting shares” means those shares which give the holder the right to vote for directors and other matters, in contrast to non-voting shares which simply entitle the holder to dividends, if any.

(56) “Voting trust” means a written agreement among any number of shareholders to confer upon one or more persons, as trustees(s), the right to vote or otherwise represent their shares under specified terms and conditions.

(57) “Wisconsin business” means a business which is incorporated under ch. 180, Stats., or which has its principal place of business in Wisconsin.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1), (2), (10), (19), (30), (32), (53) made under s. 13.92 (4) (b) 6., 7., Stats. and renumbering of (10) to (31m) made under s. 13.92 (4) (b) 1., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.03 Certification criteria {#sec-adm-84.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.03}

In order to be certified as a minority business enterprise, a business shall meet the following eligibility standards:

(1) Be at least 51% owned, controlled and actively managed by one or more minority group members.

(a) In a sole proprietorship, the sole proprietor shall be a minority.

(b) In a partnership, the minority owner or owners shall act as general partner, own at least 51% of the partnership interest, and exert at least 51% of the control and management of the partnership.

(c) In a corporate form of organization, the minority owner or owners shall own at least 51% of all outstanding stock, including voting stock, of the corporation. Any voting agreements, voting trusts, loan agreements, or shareholder agreements among the shareholders shall not dilute the beneficial ownership, the rights or the influence of the minority owners of the stock or classes of stock of the corporation.

(d) In a joint venture, the minority owned business shall hold at least 51% of the beneficial ownership interest in the joint venture, and shall exert at least 51% of the control and management of the joint venture. The minority owned business partner of the joint venture shall be certified or be eligible for certification as a minority business enterprise.

(e) In a subsidiary or affiliate, the parent company shall be at least 51% owned by a minority owner or owners.

(2) Be performing a useful business function.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.04 Determination of minority status {#sec-adm-84.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.04}

The department shall require an individual to provide evidence of ethnic or racial heritage in one or more of the minority groups defined in s. Adm 84.02 (29).

(1) When available, such evidence shall include one or more of the following:

(a) Birth certificates, American Indian tribal registrations, naturalization certificates and permanent residence certificates.

(b) Birth certificate or official record of blood parent or grandparent claimed in substantiation of the minority status of the individual.

(2) When evidence under sub. (1) is not available, the department may accept the following:

(a) Evidence that the individual is commonly recognized as a minority group member. This may include, but is not limited to, a combination of the following: driver’s license, draft registration or other official records which document ethnic or racial heritage; whether the individual’s birth surname is commonly recognized as a minority surname; and notarized third party statements.

(b) An individual who is visibly identifiable as a minority group member may not be required to provide documentation of his or her ethnic or racial heritage but shall be required to submit an unaltered photograph.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (intro.) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.05 Determination of ownership {#sec-adm-84.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.05}

An applicant shall meet the following standards in order to satisfy the ownership requirement:

(1) Minority persons must legitimately hold at least 51% of the beneficial ownership interests in the business.

(2) The minority ownership’s interest in the firm shall be real, substantial and continuing. Such interest shall include:

(a) A risk of loss and share of profit commensurate with the proportional ownership; and,

(b) Receipt of the customary incidents of ownership, such as salary, rights to dividends, ownership of assets and ownership of intangible assets such as copyrights and patents.

(3) The contributions of capital and expertise by the minority owner or owners to acquire his or her interest in the firm shall be real and substantial. Contributions of personal or professional services alone shall not be considered real and substantial for the purposes of this section, although they shall receive consideration when given in conjunction with other tangible forms of investment.

(4) All securities and ownership interests which constitute ownership or control of the firm for the purposes of establishing it as a minority business enterprise shall be held directly by the minority owner or owners. No securities or ownership interest held in trust, or by any guardian for a minor, shall be considered as being held by the minority owner or owners in determining ownership and control of the business. The right to purchase stock in the business in the future shall not be considered as being held by the minority owner or owners in determining ownership and control of the business.

(5) An ownership interest arising in a nonapplicant nonminority spouse solely because of the operation of marital property laws shall not disqualify the applicant minority spouse from certification if both spouses certify that only the minority spouse participates in the control and management of the business.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.06 Documentation of ownership {#sec-adm-84.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.06}

The department shall require documentation of the ownership of at least 51% of the business by a minority owner or owners:

(1) Documentation may include, but is not limited to, the following: current business income tax return, current business financial statement, business licenses, buy-out agreements and financial agreements.

(a) In the case of a sole proprietorship, additional documentation may include, but is not limited to, canceled checks used to purchase ownership.

(b) In the case of a partnership, additional documentation may include, but is not limited to, partnership agreements, purchase agreements, salary and profit sharing records.

(c) In the case of a corporation, additional documentation may include, but is not limited to, articles of incorporation, corporate by-laws, corporate borrowing resolution, stock certificates, stock affirmation forms, salary and profit sharing records.

Note: A stock affirmation form may be obtained, at no charge, from: WI Supplier Diversity Program, Department of Administration, P.O. Box 7970, Madison, WI 53707-7970.

(d) In the case of a joint venture, additional documentation may include, but is not limited to, a joint venture agreement which is written and signed by all of the joint venturers. Each joint venture agreement shall specify:

The capital contribution made by each joint venturer; the control each will exercise; and the distribution of profit and loss. Each of these elements must be allocated in proportion to their contribution; and
The useful business function the joint venture will perform and the part of the work each joint venturer will do.

(2) The department may require documentation showing how and when the minority owner’s or owners’ interest in the business was acquired.

(3) In those instances when an ownership interest arises in a nonapplicant nonminority spouse because of the operation of marital property laws, the department may request a signed marital property waiver form in which both spouses certify that only the minority spouse controls and manages the business or an affidavit stating that a marital property agreement has been signed in which the nonminority spouse relinquishes control and management of the business.

Note: A marital property waiver form may be obtained, at no charge, from: WI Supplier Diversity Program, Department of Administration, P.O. Box 7970, Madison, WI 53707-7970.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.07 Determination of control {#sec-adm-84.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.07}

(1) Factors which shall be considered in determining whether the applicant meets the control requirement include, but are not limited to, the following:

(b) Membership of minority persons on the board of directors.

(d) The managerial experience, knowledge and expertise of the minority owner or owners in such areas as finance, budgeting, personnel, production, marketing and research.

(e) Whether the minority owner or owners have the authority to make policy decisions in such areas as finance, budgeting, personnel, production, marketing and research.

(f) The existence of working agreements with nonminority firms.

(g) The existence of restrictive financing agreements with nonminority firms or financial institutions which impose undue limitations on the minority firm.

(2) Absentee ownership or titular ownership by an individual who does not take an active role in controlling the business is not consistent with the eligibility criteria for certification as a minority business enterprise.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.08 Documentation of control {#sec-adm-84.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.08}

The department shall require evidence that the minority owner or owners have at least 51% control over the business. Such evidence may include, but is not limited to, the following:

(1) Documentation that the minority owner or owners have the authority to:

(a) Solicit, negotiate and sign bids and contracts.

(b) Incur liabilities for the firm.

(d) Control savings, checking and other financial accounts.

(2) Documentation, such as a resume, that the minority owner or owners have managerial experience, knowledge and expertise in such areas as finance, budgeting, personnel, production, marketing and research.

(3) Documentation that the minority owner’s or owners’ authority to control the business is not restricted in any way.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.09 Determination of active management {#sec-adm-84.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.09}

(1) Factors which shall be considered in determining whether the applicant meets the active management requirement include, but are not limited to, the following:

(a) Whether the minority owner or owners are responsible for making business decisions affecting the day-to-day operations of the firm, such as the purchase of goods, equipment, business inventory and services.

(b) Whether the minority owner or owners have the responsibility for the supervision of the firm’s employees.

(2) Where the actual day-to-day management is delegated to a nonminority individual, the minority management requirement may be met if the minority owner or owners have the ultimate power to hire and fire the manager.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.10 Documentation of active management {#sec-adm-84.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.10}

(1) The department shall require evidence that the minority owner or owners actively manage the business. Such evidence may include, but is not limited to, the following:

(a) Signed purchase orders, invoices and contracts.

(b) Evidence that the minority owner or owners have delegated work assignments to the firm’s employees.

(c) Documentation, such as a resume, that the minority owner or owners have the education or work experience in the skill areas required to produce the product or service provided by the business.

(2) Where the actual day-to-day management is delegated to a nonminority individual, documentation, such as a signed contract, that the minority owner or owners have the ultimate power to hire and fire the manager.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.11 Determination of performance of a useful business function {#sec-adm-84.11 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.11}

Factors which shall be considered in determining whether the applicant is performing a useful business function include, but are not limited to, the following:

(1) The degree to which the business has customers other than the state.

(2) The adequacy of the business’ resources to carry out its business functions.

(3) The degree to which the business is independent of control or substantial influence by another business. Business relationships which tend to defeat the useful business function include, but are not limited to, shared space, equipment, employees or other resources and financing agreements.

(4) Whether the business acts as a conduit to transfer funds to a nonminority business, unless doing so is a normal industry practice.

Note: Brokering arrangements are an example of the type of business activity which might be considered to be acting as a conduit. However, if such brokering arrangements are prevalent within the industry, such as in the oil distribution industry, the department would not consider the business to be acting as a conduit.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.12 Documentation of performance of a useful business function {#sec-adm-84.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.12}

The department shall require evidence that the business is performing a useful business function. Such evidence may include, but is not limited to, the following:

(1) Contracts, purchase orders, invoices and other documents demonstrating that the business has customers other than the state.

(2) Evidence that the quantity, type and condition of the business’ equipment and inventory are adequate to carry out its business functions.

(3) Loan and other financing agreements, leases, employee contracts, payroll records and other documents demonstrating that the business relationships with a nonminority business do not preclude it from performing a useful business function.

(4) Contracts, purchase orders, invoices and other documents showing that the business has a diversity of suppliers and is not acting as a conduit for a single supplier.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.13 Special circumstances {#sec-adm-84.13 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.13}

Any one of the following circumstances creates a presumption that the minority business does not satisfy the eligibility standards for certification as a minority business enterprise. In such instances, the applicant has the burden of establishing to the department’s satisfaction that the minority owner or owners meet the eligibility standards despite the existence of one or more of the following factors:

(1) Firms formed within one year prior to an application for certification.

(2) Firms whose ownership or control has changed within one year prior to an application for certification.

(3) Transfers of shares of stock from nonminorities to minorities that occur within one year prior to an application for certification.

(4) Firms with authorized but unissued shares which, if issued, could result in less than 51% minority ownership of the business or in less than dominant control by minority owners.

(5) Firms subject to conversion rights which, if exercised, would result in less than 51% minority ownership of the business or in less than dominant control by minority owners.

(6) Firms in which one or more of the minority owners is a former or current employee of a nonminority person or business firm which has an ownership interest in or a business relationship with the applicant firm, particularly if the nonminority person or firm is in a substantially similar line of business.

(7) Firms whose directors, management or both, are substantially the same as those of a nonminority firm which has an ownership interest in, an investment in, or a business relationship with the applicant firm, particularly if the nonminority firm is in a substantially similar line of business.

(8) Firms which share indistinguishable facilities, such as office space, production, distribution or storage facilities, machinery and equipment or employees with a nonminority firm.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87.

Wis. Admin. Code § Adm 84.14 Certification procedure for Wisconsin businesses {#sec-adm-84.14 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.14}

(1) Certification procedure.

(a) Any business that meets the standards for certification may file an official application with the department.

Note: Application forms are available from and should be submitted to: WI Supplier Diversity Program, Department of Administration, P.O. Box 7970, Madison, WI 53707-7970.

(b) Upon receipt of the application, the department shall review the application for completeness and for compliance with the requirements of s. 16.287, Stats., and s. Adm 84.03.

(c) The department may request applicants to provide additional information or documentation to provide clarification and substantiation of or to resolve any ambiguities or inconsistencies in their application form.

(d) The department may impose a time limit of not less than 30 days in which the applicant must provide the requested information. A reasonable extension may be given by the department for good cause shown by the applicant. Requests for time extensions should be made to the program and should specify the length of time for which the extension is being requested and the reasons for the request.

(e) The department may conduct an on-site visit of the applicant’s operations. The on-site visit may be scheduled or unannounced. The visit may include, but is not limited to, the following:

A discussion of business operations with the owners;
An examination of the applicant’s physical plant, inventory, machinery and equipment, financial records, customer accounts, and legal records.
A review of the business organizational structure, management responsibilities and labor force characteristics.

(f) After reviewing and evaluating the entire application, the department shall issue either a notice of certification or a notice of intent to deny certification stating the reasons for denial and offering the applicant the opportunity for an informal hearing under s. Adm 84.18.

(g) Applicants shall have 30 days from the date of the department’s notification of intent to deny certification to submit a written request for an informal hearing. If no request for an informal hearing is made, the determination to deny certification shall become final and a final notice of denial shall be sent to the applicant within 30 days. The notice shall state the reason for denial and notify the applicant of its appeal rights under ch. 227, Stats., and s. Adm 84.19.

(h) Each applicant denied certification may reapply for certification no earlier than 12 months from the date of the final notice of denial of certification.

(2) Denial of certification. The department shall deny certification for any of the following reasons:

(a) The department determines that the applicant fails to meet the eligibility standards for certification.

(b) The applicant fails to furnish the department with requested information within the allotted time period.

(d) The applicant shares indistinguishable facilities, such as office space, production, distribution or storage facilities, machinery and equipment, or employees with a nonminority firm which is in a substantially similar line of business.

(3) Length of certification. Once certified, an applicant shall remain certified until the designated expiration date, unless certification is revoked as provided for under s. Adm 84.17.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1) (b), (d), (f), (g), (3) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.15 Procedure for certification renewal {#sec-adm-84.15 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.15}

(1) To maintain its minority business enterprise status, a business must renew its certification prior to the designated expiration date. Failure to do so shall result in decertification.

Note: The purpose of the certification renewal process is to review a business’ circumstances, organization, ownership, control and management to ensure that it continues to satisfy the eligibility requirements for certification as a minority business enterprise.

(2) The department shall send the business a certification renewal application form at least 60 days prior to the expiration date of its certification.

(3) The completed renewal application form must be returned to the department within 30 days of receipt. A reasonable extension may be given by the department for good cause shown by the business. Requests for time extensions should be made to the program and should specify the length of time for which the extension is being requested and the reason for the request.

(4) The certification procedures described in s. Adm 84.14 shall be followed for processing renewal applications.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (3), (4) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.16 Decertification criteria {#sec-adm-84.16 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.16}

(1) The department may decertify a business which it finds no longer qualifies as a minority business enterprise under s. Adm 84.03. Sufficient reasons for decertification include the following:

(a) The status of the minority business has changed to the extent that it no longer satisfies the requirement of ownership, control and active management of the business or the requirement of performance of a useful business function.

(b) The minority business fails to submit an application for certification renewal within the allotted time period.

(c) The minority business fails to comply with a reasonable request from the department for records or information within the allotted time period.

(d) The minority business knowingly provides false or misleading information in support of its renewal application or in response to the department’s request for records or information.

(2) A decertified business may reapply for certification no earlier than 12 months from the date of the final notice of decertification. A new application and appropriate documentation shall be submitted to the department as if the business were requesting initial certification. The previous decertification shall be noted in the application.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1) (intro.) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.17 Decertification procedure {#sec-adm-84.17 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.17}

(1) Initiation of decertification process.

(a) The department may, at the request of any state agency or at its own discretion, examine any certified minority business enterprise to verify that it qualifies for certification.

(b) Any individual or firm who believes that a business certified as a minority business enterprise does not qualify under the standards of eligibility for certification may request a decertification investigation by the department. Such requests must be written and signed and must contain specific identification of the affected business, and the basis for the belief that it does not meet the eligibility standards. After reviewing the request, the department shall decide either to conduct a review of the minority business enterprise or to allow the certification to stand. The department’s decision may not be appealed by a third party.

Note: Written requests for decertification investigations should be sent to: WI Supplier Diversity Program, Department of Administration, P.O. Box 7970, Madison, WI 53707-7970.

(2) Investigation procedure.

(a) The department may notify the business, in writing, that it is the subject of a decertification investigation, explaining the basis for its belief that the business does not meet the eligibility standards for certification.

(b) The department may request records or other documentation from the business, may conduct an on-site visit of the business facilities and may question other parties in its investigation.

(c) The department may impose a time limit of not less than 15 days in which the business must respond to a request for records or other documentation. A reasonable extension may be given by the department for good cause shown by the business. Requests for time extensions should be made to the program and should specify the length of time for which the extension is being requested and the reason for the request. If the business fails to provide the information in the time requested, the department shall issue a notice of intent to decertify.

(d) Upon completion of the investigation, a written report shall be prepared which shall include:

A statement of the facts leading to the investigation,
Steps taken in the investigation,
Findings of the investigation, and
A conclusion which contains a recommendation for disposition of the matter.

(3) Notice of intent to decertify.

(a) If the department determines that the business does not qualify as a minority business, it shall issue a notice of intent to decertify stating the reasons for decertification and offering the business the opportunity for an informal hearing under s. Adm 84.18.

(b) The business shall have 30 days from the date of the department’s notification to submit a written request for an informal hearing.

(c) If no request for an informal hearing is made, the administrator shall issue a final notice of decertification, stating the factual and legal grounds therefore and notifying the business of its appeal rights under ch. 227, Stats., and s. Adm 84.19.

(d) The department shall send a copy of the notice of intent to decertify and a copy of the final notice of decertification to the affected business and to the departments of administration and transportation.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (3) (d) made under s. 13.93 (2m) (b) 7., Stats., Register, November, 1994, No. 467; correction in (2) (c), (3) (a), (c) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.18 Informal hearing procedure {#sec-adm-84.18 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.18}

(1) Any business which has received a notice of intent to deny certification, to deny renewal of certification or to decertify, may submit a written request for an informal hearing. The request shall be received by the department within 30 days of the mailing date of the notification. The request shall set forth the grounds on which the business believes the decision is in error including any additional information which the business has to offer. The written request for an informal hearing shall be submitted to: Administrator, Division of Enterprise Operations, Department of Administration, P.O. Box 7867, Madison, WI 53707. A copy of the request shall be filed simultaneously with the program.

(2) The department shall schedule an informal hearing within 30 days of receipt of the request. Written notice of the scheduled hearing date shall be sent to all interested parties at least 10 days prior to the hearing date and shall specify the date, time and location of the hearing. Interested parties shall include all persons who signed the application for certification or certification renewal.

(3) The hearing shall be conducted on an informal basis.

(4) Within 30 days of receiving the request for a hearing, the administrator shall notify the business in writing of his or her final decision.

(5) If the final decision is to grant certification, the department shall immediately certify the business. If the final decision is to deny certification or certification renewal, or to decertify, the business shall be notified of the final decision and the reasons therefore. It shall also be notified of its appeal rights under ch. 227, Stats., and s. Adm 84.19.

(6) Once the department has made a final decision on certification, recertification or decertification, that determination goes into effect immediately. If a business that has been denied certification or recertification or has been decertified appeals the department’s decision, the department’s decision remains in effect until the decision is reversed as a result of the appeals process.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1), (5) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.19 Appeal procedure {#sec-adm-84.19 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.19}

(1) Any business which has been denied certification or certification renewal or which has been decertified may submit a written request for a formal hearing under ch. 227, Stats. The request shall be received by the department within 30 days of the mailing date of the administrator’s notification. The request shall set forth the grounds on which the business believes the decision is in error including any additional information which the business has to offer. The written request for a formal hearing shall be submitted to: Office of the Secretary, Department of Administration, P.O. Box 7864, Madison, WI 53707. A copy of the request shall be filed simultaneously with the program.

(2) The department shall schedule the formal hearing. Written notice of the scheduled hearing shall be sent to all interested parties at least 10 days prior to the hearing date, and shall specify the date, time and location of the hearing. Interested parties shall include all persons who signed the application for certification or certification renewal.

(3) The hearing shall be conducted pursuant to ch. 227, Stats. Both the business and the department shall have the right to present evidence, subpoena witnesses and records, and cross-examine witnesses. The firm and the department may be represented by counsel.

(4) At the conclusion of the hearing, the department shall issue a decision based on findings of fact and conclusions of law.

(6) The department shall notify the affected business and the departments of administration and transportation of the final decision regarding renewal of certification or decertification.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.20 Notification of changes in application information {#sec-adm-84.20 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.20}

(1) A business must notify the program in writing of any change in the information contained in an application for certification or certification renewal within 30 days of the change or before bidding on a state contract, whichever is earlier.

(2) The department shall, within 15 days, send the business a written notification of its determination that either:

(a) The change is not material and the certification of the business continues; or

(b) The change is material and warrants a review of the status of the business.

(3) If the change warrants a review of the business’ status, the department shall conduct the review following the decertification procedures described in s. Adm 84.17.

(4) Failure by a business to notify the department of a change which would reduce minority ownership, control or management or change the business function performed may result in decertification and may result in the department forwarding pertinent information to the appropriate law enforcement authority for investigation and possible prosecution.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1), (3) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.21 Certification of a minority business by another public agency or a private business {#sec-adm-84.21 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.21}

(1) In this section, “private business” means a for-profit business or a non-profit organization.

(2) The department may waive some or all of the certification application requirements and procedures under s. Adm 84.14 for an applicant who is already certified by a state, federal or local agency or a private business if the department determines that the agency’s or business’s certification procedure is substantially equivalent to its own.

(3) In determining whether an agency’s or a private business’s certification procedure is substantially equivalent to its own, the department shall consider factors which include, but are not limited to, the following:

(a) The documentation the applicant is required to provide;

(b) Whether an on-site visit is performed; and

(4) The department shall maintain a list of certification agencies and private businesses whose certification procedures meet the department’s standards.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.22 Certification criteria for non-Wisconsin businesses {#sec-adm-84.22 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.22}

(1) The department may certify a non-Wisconsin business if it meets the eligibility standards under s. Adm 84.03, and if it meets either of the following 2 conditions:

(a) Substantially equivalent program condition. The state in which the business is incorporated or has its principal place of business has a statutory minority business procurement program; Wisconsin minority firms would be allowed to participate in that program; and the business qualifies for participation in that program under a certification procedure which the department determines is substantially equivalent to its own certification procedure; or

(b) Business capability condition. The department determines that, with respect to a particular product or service, there are not enough Wisconsin minority businesses to enable the state to meet the goals of its minority business procurement program.

(2) In determining whether an applicant meets the substantially equivalent program condition described in sub. (1) (a), the department shall consider:

(a) Whether the state’s statutory minority business procurement program establishes specific goals, set-asides or preference criteria; whether it establishes a system for monitoring the program’s performance; and whether Wisconsin minority firms would be allowed to participate in the program; and

(b) Whether the state’s minority business certification program meets the department’s standards and is included in the department’s list of certification agencies as described in s. Adm 84.21 (4). Applicants certified by states not on the list bear the burden of establishing to the department’s satisfaction that the agency’s certification procedures meet the department’s standards.

(3) In determining whether an applicant meets the business capability condition described in sub. (1) (b), the department shall consider:

(a) The number of certified minority business enterprises which provide the specified supply, material, equipment or service and which are listed in the department’s Minority Business Directory.

(b) The number of minority businesses which provide the specified supply, material, equipment or service and which are certified by another agency or a private business that is included on the department’s list of certification agencies and businesses as described in s. Adm 84.21 (4).

(c) The assessment by the department of administration and other appropriate agencies of the capability of the existing certified minority businesses to achieve the state’s minority business procurement goals.

(4) The department may consult with minority associations, community organizations and other appropriate officials and organizations concerning the availability of minority businesses in the state and the potential to increase their participation in the state’s minority business procurement program.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1) (intro.), (2) (b), (3) (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.23 Certification procedure for non-Wisconsin businesses {#sec-adm-84.23 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.23}

(1) For applicants certified by a state which the department determines meets the substantially equivalent program condition in s. Adm 84.22 (1) (a), the department may require the applicant to submit the following documentation:

(a) A copy of the letter of certification from the state in which the applicant is incorporated or has its principal place of business;

(b) A copy of the most recent application and supporting documentation the applicant submitted to its certifying state in support of its certification or certification renewal;

(d) The department may request the applicant to furnish additional information or documentation. The department may also request information from the certifying state, including a copy of the on-site visit report.

(2) For applicants who meet the business capability condition described in s. Adm 84.22 (1) (b), the department shall follow the certification procedures for Wisconsin businesses as described in s. Adm 84.14.

(3) An applicant who has received a notice of intent to deny certification shall be given the opportunity for an informal hearing under s. Adm 84.18 and shall have the right to appeal the final decision under ch. 227, Stats., and s. Adm 84.19.

(4) The department may charge the applicant a fee to cover departmental expenses in making the certification determination.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (1) (intro.), (c), (2), (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 84.24 Certification criteria for for-profit corporations owned by a non-profit organization {#sec-adm-84.24 omnilex-key=us-wi-regs-official--agency-adm--Adm 84.24}

(1) The department may certify a for-profit corporation owned by a non-profit organization if the department determines that the non-profit organization is minority-controlled and managed. Factors which the department may consider in reaching this determination include, but are not limited to, the following:

(a) At least 51% of the members who may elect the board of directors or trustees and who are entitled to vote on a dissolution of the non-profit organization are minorities;

(b) At least 51% of the board of directors or trustees of the non-profit organization are minorities;

(c) The minutes of the organization’s meetings document the active control and participation of the minority members of the board in such areas as setting and monitoring financial policy, personnel policy, and program policy;

(d) The non-profit organization is independent of control or substantial influence by a nonminority non-profit or for-profit organization. The non-profit minority organization shall be rebuttably presumed to be dependent on a nonminority organization if it shares office space, staff, equipment or other resources with a nonminority for-profit or non-profit organization or receives the majority of its funding from a single nonminority organization.

(2) The department shall follow the certification procedures described in s. Adm 84.14.

History

Cr. Register, September, 1987, No. 381, eff. 10-1-87; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Chapter Adm 85 RURAL HOSPITAL LOAN GUARANTEE PROGRAM

Wis. Admin. Code § Adm 85.01 Purpose {#sec-adm-85.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.01}

The purpose of this chapter is to establish a procedure for the administration of those aspects of rural hospital loan guarantees made by the Wisconsin health and educational facilities authority which relate to the following:

(1) The form of the loan guarantee agreement.

(2) The conditions upon which the authority may enter into a loan guarantee agreement.

(3) The procedures for making a demand for payment under a loan guarantee agreement, or for payment by the authority under such an agreement, in the event of a default of a guaranteed loan.

(4) The basis for determining whether the guarantee is a guarantee for collection or payment.

(5) The procedures by which the authority shall carry out a loan guarantee agreement.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92.

Wis. Admin. Code § Adm 85.02 Definitions {#sec-adm-85.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.02}

In this chapter:

(1) “Authority” means the Wisconsin health and educational facilities authority.

(2) “Borrower” means a person identified in s. 231.35 (2) (a) or (b), Stats., who is seeking to have a loan guaranteed by the authority.

(3) “Guarantee of collection” means a loan guarantee under which the authority agrees to pay according to the terms of the guarantee agreement if the instrument is not paid when due and the participating lender has pursued all reasonable efforts relative to collection.

(4) “Guarantee of payment” means a loan guarantee under which the authority agrees to pay according to the terms of the guarantee agreement if the instrument is not paid when due.

(5) “Participating lender” has the meaning contained in s. 231.35 (1) (c), Stats.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92.

Wis. Admin. Code § Adm 85.03 Guarantee agreement {#sec-adm-85.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.03}

Each guarantee agreement entered into between the authority and a participating lender shall be in such form as the authority shall provide in the manual prepared according to s. Adm 85.07, and shall contain provisions that address each of the following:

(1) The principal amount of the loan and the portion of the principal amount that will be guaranteed.

(2) The loan servicing responsibilities of the participating lender.

(3) The loan collection and enforcement responsibilities of the participating lender.

(4) Any limitations on the rate of interest charged to or the timing of interest payments required of the borrower.

(5) The term of the guarantee agreement.

(6) The conditions under which a guarantee shall be paid and the procedures for making a demand for payment.

(7) Any bond or insurance required of the participating lender in order to protect the authority from loss under the agreement.

(8) Any note, mortgage, other security agreements or other loan documents required to be provided by the participating lender to the authority.

(9) The need for any multi-party agreements between the borrower, the participating lender, the community or other guarantor, and the authority.

(10) Any limitations on the right of the participating lender to alter the terms of the original loan that is guaranteed under the agreement.

(11) Conditions under which the authority may terminate the agreement.

(12) The rights of the authority to enforce the agreement and the remedies available to it in case of a breach of the agreement.

(13) Any reporting requirements of the participating lender to the authority.

(14) The right of the authority to examine documents in the possession of the participating lender related to the loan that is guaranteed under the agreement.

(15) Any fee charged by the authority to the participating lender for the loan guarantee.

(16) Any limitation on assignment of the participating lender’s interest in the loan.

(17) Sharing of repayment proceeds and collateral between the participating lender and the authority.

(18) Such other items as are necessary to produce a complete guarantee agreement between the participating lender and the authority.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92; correction in (intro.) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 85.04 Conditions necessary for guarantee agreement {#sec-adm-85.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.04}

Before it may enter in to a loan guarantee agreement with a participating lender, the authority shall find that the following conditions exist:

(1) That the borrower has demonstrated a reasonable ability to repay the loan.

(2) That the availability of the guarantee either reduces the cost of the loan to the borrower or increases access to capital for the borrower.

(3) That the borrower has or will obtain the legal authority necessary to construct, operate and maintain the facility and to incur and repay the debt.

(4) That the participating lender employs normal and prudent loan processing procedures in relation to its evaluation of the borrower’s loan proposal.

(5) That the term of the loan does not exceed the useful life of the facility or equipment to be financed with the loan proceeds.

(6) That adequate security is available to reasonably ensure the authority from loss under the guarantee agreement.

(7) That the guarantee amount requested does not exceed the amount in the appropriation under s. 20.440 (2), Stats., available after subtracting outstanding loan guarantee commitments.

(8) That the proposed loan and guarantee agreement comply with all of the applicable provisions of s. 231.35, Stats., and this chapter.

(9) That the reserve account required under s. Adm 85.08 is or will be established.

(10) That the community or other third party has or will provide a guarantee of not less than 20% of the original loan principal.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92; correction in (9) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 85.05 Demand for payment procedures {#sec-adm-85.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.05}

The procedures for making a demand for payment under a loan guarantee agreement and for payment by the authority under such an agreement in the event of a default of a guaranteed loan shall be contained in the guarantee agreement between the participating lender and the authority.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92.

Wis. Admin. Code § Adm 85.06 Guarantee of collection and guarantee of payment {#sec-adm-85.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.06}

The guarantee agreement between the authority and the participating lender shall be a guarantee of collection unless in the judgment of the authority, a guarantee agreement that provides for a guarantee of payment results in substantial improvement in the loan terms that can be obtained by the borrower.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92.

Wis. Admin. Code § Adm 85.07 Manual {#sec-adm-85.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.07}

The authority shall prepare a manual that can be updated as needed and that contains the procedures for submitting a loan guarantee application, the information required to be submitted with the application, sample loan guarantee contracts, sample multi-party agreements, and the procedures the authority shall employ to carry out a loan guarantee agreement.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92.

Wis. Admin. Code § Adm 85.08 Reserve fund {#sec-adm-85.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 85.08}

(1) The reserve fund required to be established by the borrower under s. 231.35 (3) (i), Stats., shall be deposited in an account controlled by the authority.

(2) If a guarantee is required to be paid under the terms of an agreement entered into between the authority and a participating lender, payment shall first be made out of the account established under sub. (1). If payment is still required under the terms of the agreement after the account established under sub. (1) is depleted then payment shall next be made by the authority under the guarantee established pursuant to s. 231.35 (4) (a), Stats. If payment is still required under the terms of the agreement after the guarantee established pursuant to s. 231.35 (4) (a), Stats., is depleted then, the remaining required payment shall be made under the guarantee established by the community or another third party pursuant to s. 231.35 (3) (g), Stats.

(3) All principal and interest in the account established under sub. (1) that has not been required to be spent under sub. (2) shall be returned to the borrower no later than 60 days after the loan has been completely repaid.

Note: The hospital loan guarantee program manual may be obtained at no charge from the Wisconsin Health and Educational Facilities Authority, 18000 W. Sarah Lane, Suite 300, Brookfield, WI 53045.

History

Cr. Register, January, 1992, No. 433, eff. 2-1-92; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register November 2018 No. 755.

Chapter Adm 86 SHELTER FOR HOMELESS PERSONS

Wis. Admin. Code § Adm 86.01 Introduction {#sec-adm-86.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 86.01}

(1) Authority and purpose. This chapter is promulgated under the authority of s. 16.308 (4), Stats., for the purpose of establishing criteria and procedures for the award of grants to agencies providing shelter to homeless persons.

(2) To whom the chapter applies. This chapter applies to the department and to county, municipal and federally-recognized tribal governing bodies and agencies, community action agencies and non-profit organizations providing shelter for homeless persons.

History

Cr. Register, May, 1987, No. 377, eff. 6-1-87; correction in (1) made under s. 13.93 (2m) (b) 7., Stats., Register, February, 1994, No. 458; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 86.02 Definitions {#sec-adm-86.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 86.02}

In this chapter:

(1) “Applicant” means a shelter agency or lead agency applying for a grant under s. 16.308, Stats., and this chapter.

(2) “Department” means the Wisconsin department of administration.

(3) “Homeless person” means a person who has no place to stay and states that he or she does not have the financial means to purchase lodging.

(4) “Lead agency” means a department-designated applicant that submits a joint application on behalf of all Dane county or Milwaukee county shelter agencies that wish to apply for grants under this chapter.

(5) “Shelter” means temporary lodging for homeless persons.

(6) “Shelter agency” means an agency that operates a shelter facility or a voucher program, or both, or that purchases shelter for homeless persons from a shelter facility.

(7) “Shelter day” means shelter provided to one homeless person for one night or for a full 24-hour period.

(8) “Shelter facility” means a place of temporary lodging which provides shelter without charge to homeless persons.

(9) “Shelter service” means a place to stay and related services provided by a shelter agency to homeless persons. “Related services”may include meals, intake, assessment, information and referral and housing counseling.

(10) “Voucher program” means a program that provides funds for the purchase of shelter for homeless persons.

History

Cr. Register, May, 1987, No. 377, eff. 6-1-87; correction in (1) and (2) made under s. 13.93 (2m) (b) 6. and 7., Stats., Register, February, 1994, No. 458; correction in (1), (2) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 86.03 Application for a grant {#sec-adm-86.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 86.03}

(1) The department shall solicit applications for grants under s. 16.308, Stats., and this chapter.

(2) An applicant shall submit a complete application to the department on a form provided by the department and shall include all other supporting documents required by the department to determine the applicant’s eligibility under s. Adm 86.04.

(3) An applicant shall submit with its application a proposed operating budget for the calendar or fiscal year for which funding is requested. The proposed operating budget shall itemize all anticipated sources and amounts of revenue, including the value of donated goods and services, and all anticipated expenditures.

Note: Copies of the form, “Homeless Shelter Subsidy Program Application,” can be obtained by writing: Department of Administration, P.O. Box 7970, Madison, WI 53707.

History

Cr. Register, May, 1987, No. 377, eff. 6-1-87; correction in (1) and (2) made under s. 13.93 (2m) (b) 7., Stats., Register, February, 1994, No. 458; correction in (1), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; 2019 Wis. Act 76: am. (1) Register February 2020 No. 770, eff. 3-1-20.

Wis. Admin. Code § Adm 86.04 Criteria for determining eligibility for a grant {#sec-adm-86.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 86.04}

An applicant, including all shelter agencies participating in the application, shall meet the following requirements to be eligible for a grant:

(1) Type of applicant. The applicant shall be:

(a) A county or municipal governing body or a federally recognized tribal agency;

(b) A community action agency, as defined in s. 49.265 (2) (a), Stats., or

(2) Prohibited uses. The applicant shall give assurances that no part of the grant will be used to:

(a) Make security deposits or pay rent for permanent housing;

(b) Provide shelter in a private home;

(d) Operate a shelter care facility licensed under ch. 48, Stats.;

(e) Operate a shelter facility or private home providing shelter for victims of domestic abuse;

(f) Operate a community-based residential facility licensed under ch. DHS 83; or

(g) Operate an agency that provides only shelter information and referral or housing relocation services.

(3) Organizational capability. The applicant shall demonstrate that it is organizationally capable of meeting the requirements of this chapter by documenting:

(a) Experience in providing services to needy or homeless persons;

(b) That a substantial portion of its budget can be supported by revenue from other sources;

(d) Support from existing service providers in the community.

(4) Need.

(a) The applicant shall demonstrate that there is a need in the community for the development, expansion or continuation of shelter services.

(b) The applicant shall indicate a need for additional funding in its proposed operating budget resulting from:

A need to renovate or expand the existing shelter facility, which may include renovation to improve physical accessibility;
A need to develop an existing building into a shelter facility.
A need to expand shelter services for homeless persons; or
An inability to obtain adequate funding to continue the provision of an existing level of shelter services.

(5) Target group. The applicant shall give assurance that shelter services are fully accessible to homeless individuals and families and that:

(a) There is no requirement for residency, payment, or participation in religious activity as a condition for receiving shelter services;

(b) Shelter agencies serving only families or only individuals have procedures for helping other homeless persons obtain shelter;

(c) Shelter agencies make shelter and other services accessible to persons with physical disabilities or have procedures for helping those persons obtain accessible shelter; and

(d) Shelter agencies meet state equal employment opportunity requirements under subch. II of ch. 111, Stats.

(6) Required services. The applicant shall give assurances that each shelter agency included in the application provides at least the following services:

(a) Shelter;

(b) Intake, including an interview with the homeless person to determine the extent of the person’s needs; and

(7) Interagency coordination. The applicant shall provide evidence that it is coordinating its services with those of other shelter agencies, the local sheriff or police department, the county social services or human services department established under s. 46.034, 46.21, 46.215, 46.22 or 46.23, Stats., and county departments established under ss. 51.42 and 51.437, Stats. Coordination shall include:

(a) Interagency referral procedures; and

(b) Orientation of staff regarding services provided by these agencies.

(8) Additional requirements for shelter facilities. The applicant shall provide evidence that each shelter facility included in the application meets additional requirements as follows:

(a) The shelter facility has been inspected to ensure that it complies with chs. SPS 361 to 366;

(b) The shelter facility is inspected twice a year under s. 101.14, Stats., to ensure that it is in compliance with all applicable fire safety codes;

Fire safety procedures;
Building evacuation procedures in the event of an emergency; and
Staff responsibilities regarding medical and mental health emergencies; and

(d) The shelter facility ensures that staff are in the facility whenever homeless persons are present in the facility.

(9) Additional requirements for a county or municipality that administers general relief. When the applicant is a county, tribal or municipal governing body or agency that administers general relief under s. 49.02, Stats., the applicant shall meet the following additional requirements to be eligible for funds under this chapter:

(a) The cost of providing shelter that is funded by general relief shall be excluded from the applicant’s proposed operating budget;

(b) The applicant’s estimated shelter days may not include shelter days paid for by general relief;

(c) A shelter facility or voucher program operated by the applicant shall be available to serve all homeless persons whether or not they are eligible for general relief; and

(d) The applicant shall ensure that funds received under this chapter are not expended to supplant or reduce shelter benefits that the governing body is obligated to provide under s. 49.02, Stats.

(10) Waiver of eligibility criteria. The department may waive any requirement under this section if the department determines that an alternative to the requirement provides for the housing and protection of homeless persons and does not violate s. 16.308, Stats.

History

Cr. Register, May, 1987, No. 377, eff. 6-1-87; correction in (9) (d) and (10) made under s. 13.93 (2m) (b) 7., Stats., Register, February, 1994, No. 458; corrections in (7) and (8) made under s. 13.93 (2m) (b) 7., Stats., Register, July, 1999, No. 523; corrections in (2) (f), (9) (intro.) and (d) made under s. 13.93 (2m) (b) 1. and 7., Stats., Register February 2002 No. 554; correction in (1) (b), (2) (f), (8) (a), (b), (10) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 86.05 Criteria for awarding grants {#sec-adm-86.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 86.05}

(1) Method for distributing grants.

(a)

Funds allocated under s. 16.308 (2) (b) 1. and 2., Stats., for eligible applicants in Dane county and Milwaukee county shall be distributed in each of those counties through a department-designated lead agency representing all eligible shelter agencies in the county applying for funds under this chapter, in accordance with s. 16.308 (3) (am) 3. and 4., Stats.
The lead agency shall distribute all funds received under s. 16.308, Stats., to eligible shelter agencies within the same county under the conditions described in its application. Those conditions shall meet all requirements under this chapter and s. 16.308, Stats. The application shall be signed by all the shelter agencies in the county applying for funds.

(b) Funds allocated under s. 16.308 (2) (b) 3., Stats., for shelter agencies in the balance of the state shall be distributed according to the following procedure:

Each applicant shall submit a projection of the number of shelter days to be provided during the year for which the grant application is submitted and shall provide supporting data for this estimate; and
The department shall distribute funds based on each eligible applicant’s projected proportion of the balance of state shelter days to be provided. In this subdivision “balance of state shelter days” means the sum of all shelter day projections submitted by eligible applicants outside of Milwaukee and Dane counties for any fiscal year.

(2) Maximum amount of grants. In accordance with s. 16.308 (3), Stats.:

(a) A lead agency located in Dane county or Milwaukee county may receive, before July 1, 1987, a grant of not more than 35% and after June 30, 1987, a grant of not more than 50% of the total current or proposed operating budgets of:

One or more shelter facilities from which the lead agency purchases shelter for homeless persons; or
Two or more shelter facilities which the lead agency represents.

(b) An eligible applicant which is not located in Dane county or Milwaukee county may receive a grant of not more than 50% of:

The current or proposed operating budget of one or more shelter facilities operated by the applicant; or
The portion of the applicant’s current or proposed operating budget allocated for providing homeless persons with vouchers that may be exchanged for temporary shelter.

(c) In determining the maximum grant award under this subsection, prior to multiplying by the applicable percentage under par. (a) or (b), the applicant’s proposed operating budget shall be reduced by that portion of the value of donated goods and services which exceed 15% of the total budget.

History

Cr. Register, May, 1987, No. 377, eff. 6-1-87; corrections in (1) and (2) (intro.) made under s. 13.93 (2m) (b) 7., Stats., Register, February, 1994, No. 458; correction in (1) (a) 1., 2., (b) (intro.), (2) (intro.) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; 2019 Wis. Act 76: am. (2) (a) (intro.), (b) Register February 2020 No. 770, eff. 3-1-20.

Chapter Adm 87 HOUSING ASSISTANCE PROGRAM

Wis. Admin. Code § Adm 87.01 Purpose and authority {#sec-adm-87.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 87.01}

This chapter is promulgated under authority of ss. 227.11, Stats., and 560.02 (4), 2009 Stats., to implement s. 16.306, Stats.

History

Cr. Register, May, 1992, No. 437, eff. 6-1-92; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 87.02 Definitions {#sec-adm-87.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 87.02}

(1) “Department” means the department of administration.

(2) “SAFAH” means Title IV of the Stewart B. McKinney Homeless Assistance Act of 1988, 42 USC 11381-11388.

History

Cr. Register, May, 1992, No. 437, eff. 6-1-92; correction in (1) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 87.03 Grant awards {#sec-adm-87.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 87.03}

(1) The department may use funds available under s. 16.306, Stats., to provide funds to eligible organizations in compliance with 42 USC 11381-11388.

(2) The department shall select eligible organizations to participate in this program for grants awarded before July 1, 1992, based upon statutory requirements and the following criteria:

(a) The ability of the eligible applicant to provide services required for the SAFAH program.

(b) The extent to which the eligible applicant is able to coordinate with other local agencies to provide job training, counseling, day care and other supportive services.

(3) The department shall select eligible applicants to participate in this program for grants awarded after June 30, 1992, based upon statutory criteria and upon the following:

(a) The extent to which the eligible applicant demonstrates an ability to coordinate with other local agencies to provide job training, counseling, day care and other supportive services.

(b) The applicant’s history relative to implementation of housing programs.

History

Cr. Register, May, 1992, No. 437, eff. 6-1-92; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Chapter Adm 88 LOCAL HOUSING ORGANIZATION GRANT PROGRAM

Wis. Admin. Code § Adm 88.01 Purpose and authority {#sec-adm-88.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 88.01}

This chapter is promulgated under the authority of ss. 227.11, Stats., and 560.02 (4), 2009 Stats., to implement s. 16.305, Stats.

History

Cr. Register, May, 1990, No. 413, eff. 6-1-90; correction made under s. 13.93 (2m) (b) 7., Stats., Register, July, 1999, No. 523; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 88.02 Definitions {#sec-adm-88.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 88.02}

The following terms are used throughout this chapter and s. 16.305, Stats., and are defined as follows:

(1) “Department” means the department of administration.

(2) “Household” means an individual, persons, or a family currently occupying or planning to occupy a residence.

(3) “Low income” means gross annual household income at or below 50% of county median income adjusted for household size.

(4) “Moderate income” means gross annual household income of greater than 50% but not more than 80% of county median income adjusted for household size.

Note: County median income tables are published annually by the U.S. department of housing and urban development for metropolitan statistical areas and nonmetropolitan counties.

(5) “Organized primarily to provide housing opportunities” means that the organization has as one of its official major goals the improvement of living conditions for low or moderate income households.

History

Cr. Register, May, 1990, 413, eff. 6-1-90; emerg. r. (2), renum. (3) to (6) to be (2) to (5), eff. 11-1-91; r. (2), renum. (3) to (6) to be (2) to (5), Register, May, 1992, No. 437, eff. 6-1-92; correction in (intro.) made under s. 13.93 (2m) (b) 7., Stats., Register, July, 1999, No. 523; correction in (intro.), (1) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 88.03 Grant awards {#sec-adm-88.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 88.03}

(1) Grant awards shall be provided to assist organizations in improving their capacity to develop or improve housing opportunities for low or moderate income households, with an emphasis on assisting low-income households.

(2) Grant awards may not be used to pay for any of the following:

(a) Capital improvements to housing units.

(b) Costs incurred in the preparation of grant applications under this chapter.

(3) After a grant award is made, a contract agreement shall be executed between the state and the grantee.

History

Cr. Register, May, 1990, No. 413, eff. 6-1-90; emerg. am. (1) and (2) (b), r. (3) and (4), renum. (5) to be (3), eff. 11-1-91; am. (1) and (2) (b), r. (3) and (4), renum. (5) to be (3), Register, May, 1992, No. 437, eff. 6-1-92.

Wis. Admin. Code § Adm 88.04 Evaluation criteria {#sec-adm-88.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 88.04}

Applications shall be reviewed and rated by the department based on criteria found in s. 16.305 (2), Stats., or in the state housing strategy plan, as required by s. 16.302, Stats. The department shall also use the following criteria to prioritize the applications for funding:

(1) The percentage of project benefit directed toward low-income households.

(2) The extent to which existing or potential residents are involved in the planning, development, evaluation or management of the housing activity.

(3) The extent that innovative and cost-effective strategies, financing, or other activities are to be utilized.

(4) The increased capacity of the organization to undertake additional or more sophisticated housing activity as a result of receiving this grant.

(5) The extent to which a geographic balance can be achieved, taking into account the quality of applications submitted.

(6) The extent to which the proposal involves partnerships and establishes formal and informal linkages with other programs.

History

Cr. Register, May, 1990, No. 413, eff. 6-1-90; emerg. am. (intro.) and (2), cr. (6), eff. 11-1-91; am. (intro.), (2) and (5), cr. (6), Register, May, 1992, No. 437, eff. 6-1-92; correction in (intro.) made under s. 13.93 (2m) (b) 7., Stats., Register, July, 1999, No. 523; correction in (intro.) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Chapter Adm 89 HOUSING COST GRANTS AND LOANS

Wis. Admin. Code § Adm 89.01 Purpose and authority {#sec-adm-89.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 89.01}

This chapter is promulgated under the authority of ss. 227.11, Stats., and 560.02 (4), 2009 Stats., to implement ss. 16.301, 16.303, and 16.304, Stats.

History

Cr. Register, September, 1990, No. 417, eff. 10-1-90; correction made under s. 13.93 (2m) (b) 7., Stats., Register, July, 1999, No. 523; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 89.02 Definitions {#sec-adm-89.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 89.02}

In this chapter:

(1) “Administrative cost” means any cost incurred by the eligible applicant in the course of operating this program that is not directly expended for payments to or on behalf of participating households.

(2) “Cooperative housing” means housing owned by a corporation where the stockholders are entitled to occupancy of real estate (i.e., apartments) through proprietary leases or other like arrangements.

(3) “Department” means the department of administration.

(3m) “Disability” means, with respect to a person: a physical or mental impairment which substantially limits one or more of such person’s major life activities; or a record of having such an impairment; or being regarded as having such an impairment, but such term does not include current, illegal use of or addiction to alcohol or a controlled substance as defined in section 102 of the Controlled Substances Act 21 USC 802.

(4) “Eligible applicant” means any of the following: the governing body of a county, city, village or town; the elected governing body of a federally recognized American Indian tribe or band in this state; a housing authority; a nonstock, nonprofit corporation organized under ch. 181, Stats.; a cooperative organized under ch. 185, Stats., if the articles of incorporation or bylaws of the cooperative limit the rate of dividend that may be paid on all classes of stock; a religious society organized under ch. 187, Stats.

(6) “Household” means an individual or individuals occupying or planning to occupy a residence, or a resident of a congregate or group living facility.

(7) “Low income” means gross annual household income at or below 50% of the county median income adjusted for household size.

(8) “Moderate income” means gross annual household income of greater than 50% but not more than 80% of the county median income adjusted for household size.

Note: County median income tables are published annually by the U.S. department of housing and urban development.

(9) “Rent” means the cost paid by a non-owner household occupying a premises for occupancy privileges and includes: monthly rent payments; security deposit; first and last month’s rent: escrows that will be applied toward a down payment on the purchase of a dwelling; or membership fees and carrying charges associated with units leased from a housing cooperative or a nonprofit corporation that develops, owns, or manages housing with a significant degree of resident involvement.

History

Cr. Register, September, 1990, No. 417, eff. 10-1-90; correction in (3) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672; CR 21-110: am. (5) Register June 2022 No. 798, eff.7-1-22; (3m) renumbered from (5) under s. 13.92 (4) (b) 1., Stats., Register June 2022 No. 798.

Wis. Admin. Code § Adm 89.03 Distribution of funds {#sec-adm-89.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 89.03}

Awards shall be made to eligible applicants to defray housing costs as defined in s. 16.301 (3), Stats., of low- and moderate-income households.

History

Cr. Register, September, 1990, No. 417, eff. 10-1-90; emerg. am. (1), (2) (intro.), eff. 11-8-91; am. (1) and (2) (intro.), Register, May, 1992, No. 437, eff. 6-1-92; correction in (1), (3) (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; CR 19-048: r. (2), (3) Register March 2020 No. 771, eff. 4-1-20; (1) renum. to Adm 89.03 under s. 13.92 (4) (b) 1., Stats., Register March 2020 No. 771.

Wis. Admin. Code § Adm 89.04 Evaluation criteria {#sec-adm-89.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 89.04}

Applications shall be compared, reviewed, and rated by the department based on statutory requirements and on the following criteria:

(1) The percentage of program benefit to households of the lowest income levels.

(2) The extent to which existing or potential residents are involved in the planning, development, or management of the housing activity.

(3) The extent to which innovative and cost effective strategies for providing housing are to be utilized.

(4) The amount of other funds, resources or in-kind contributions that will be made available to the proposed housing program.

(5) The reasonableness of administrative and housing-related counseling costs requested from the department.

(6) The extent to which the programs are proposed to be continued or the residents initially benefitted are proposed to be assisted after department funds have been expended.

(7) The extent to which benefits would be provided to the types of households identified in s. 16.303 (2), Stats., or in the state housing strategy plan required by s. 16.302, Stats.

(8) The experience, track record, and quality of management of the applicant in the area of housing or community development.

(9) The extent to which the proposal involves partnerships and establishes formal and informal linkages with other related programs.

History

Cr. Register, September, 1990, No. 417, eff. 10-1-90; emerg. am. (4), r. (5), (6), (9) (a) to (e), renum. (7) to (9) (intro.), (10) and (11) to be (5) to (9) and am., eff. 11-8-91; am. (4), r. (5), (6) and (9) (a) to (e), renum. (7) to (9) (intro.), (10) and (11) to be (5) to (9) and am., Register, May, 1992, No. 437, eff. 6-1-92; correction in (7) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 89.05 Awards {#sec-adm-89.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 89.05}

(1) The maximum award that any one eligible applicant may receive is $1 million in a particular competition.

(2) After an award is made, a contract agreement shall be executed between the state and the grantee and shall include information required by s. 16.303 (1) (b), (c) and (2) (a), Stats.

(3) Awards may not be used:

(a) For capital improvements to dwelling units;

(b) To directly pay for development costs;

(d) To replace existing programs or funding providing this type of assistance;

(e) To assist individuals who have assets sufficient to meet their own housing needs;

(f) To assist individuals who will, after receiving benefits under this program, continue to live on premises that are not decent, safe, and sanitary;

(g) To assist individuals who, after receiving benefits under this program, would continue living in nursing homes, medical, psychiatric, or penal institutions;

(h) To assist individuals living on premises that are not modest in design. Amenities must be limited to those amenities that are generally provided in unassisted, decent, safe, and sanitary housing for lower income families in the market area;

(i) To assist individuals who would be paying housing costs that are not reasonable in relation to housing costs currently being charged in the market area.

(4) Except for good cause shown, not more than 15% of an award may be used by the grantee for administrative and housing-related counseling costs.

(5) Awards shall not be used for costs incurred prior to the start date of a contract period, except for making payments to or on behalf of eligible households for housing costs that are in arrears.

(6) Funds granted or loaned by eligible applicants to eligible households under this program shall be provided to households which do not exceed low-income or moderate-income guidelines. For households that have at least one member who has a disability and has recurring medical costs or support costs directly related to the disability, the eligible applicant shall deduct the amount by which those expenses exceed 3% of the household’s monthly income from the household’s monthly income for purposes of determining eligibility.

History

Cr. Register, September, 1990, No. 417, eff. 10-1-90; emerg. am. (1) to (3) (intro.) and (g), (4) and (5), eff. 11-8-91; am. (1) to (3) (intro.) and (g), (4) and (5), Register, May, 1992, No. 437, eff. 6-1-92; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; CR 21-110: am. (6) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 89.06 Method of payment {#sec-adm-89.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 89.06}

Eligible applicants may make payments in any of the following manners:

(1) Directly to an eligible household;

(2) To a provider of housing or housing-related services on behalf of an eligible household.

History

Cr. Register, September, 1990, No. 417, eff. 10-1-90.

Wis. Admin. Code § Adm 89.07 Fees for cooperative housing {#sec-adm-89.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 89.07}

The department may reimburse the manager of cooperative housing for any of the following fees: membership fees; carrying charges; principal and interest; mortgage insurance; property insurance; utility-related costs; property taxes; replacement reserves; and operating and maintenance expenses, provided such reimbursement directly reduces the monthly housing cost of eligible households.

History

Cr. Register, September, 1990, No. 417, eff. 10-1-90.

Chapter Adm 90 SMALL CITIES COMMUNITY DEVELOPMENT BLOCK GRANTS FOR HOUSING

Wis. Admin. Code § Adm 90.01 Purpose and authority {#sec-adm-90.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.01}

This chapter is promulgated under the authority of ss. 16.309 (2), 227.11, Stats., and 560.02 (4), 2009 Stats., to implement s. 16.309, Stats.

History

Cr. Register, May, 1992, No. 437, eff. 6-1-92; am., Register, April, 1995, No. 472, eff. 5-1-95; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 90.02 Definitions {#sec-adm-90.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.02}

(1) “CDBG” means community development block grant.

(2) “Department” means the department of administration.

(3) “Eligible applicant” means any unit of general local government in Wisconsin which is a non-entitlement area as defined by 24 CFR part 570.3.

(4) “LMI household” means a household with an annual income that is at or below 80% of county median income or 80% of state median income, whichever is greater.

(5) “Program” means the small cities community development block grants for housing program.

(6) “Special housing project” means an activity that results in the creation of new low- to moderate-income dwelling units.

(7) “Unfunded application” means a CDBG application which receives an insufficient point score in the evaluation process to be eligible for funding.

Note: Income tables are published annually by the U.S. department of housing and urban development.

History

Cr. Register, May, 1992, No. 437, eff. 6-1-92; renum. (1) to (5) to be (2) to (6) and am. (6) and cr. (1), Register, April, 1995, No. 472, eff. 5-1-95; am. (6), cr. (7), Register, April, 1999, No. 520, eff. 5-1-99; CR 03-002: r. and recr. (6) and (7) Register July 2003 No. 571, eff. 8-1-03; correction in (2) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 90.03 Consistency with federal regulations {#sec-adm-90.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.03}

The department shall administer the program, including recaptured funds, in accordance with 24 CFR part 570, the federal regulations governing the program.

History

Cr. Register, May, 1992, No. 437, eff. 6-1-92.

Wis. Admin. Code § Adm 90.04 Housing rehabilitation and homeownership assistance {#sec-adm-90.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.04}

Applicants shall be compared and rated by the department based upon the department’s evaluation of the proposal’s consistency with s. 16.302, Stats., and 24 CFR part 570, and the scoring criteria in the CDBG application package. Applicants shall be eligible to receive funding for housing rehabilitation, homeownership assistance, and housing-related public facilities based on established and documented need and the applicant’s ability to complete the proposed activities. The department shall ensure that awarded grant funds are reasonably balanced among geographic areas of the state.

History

Renum. from Adm 19.05 and am. (1) to (4), r. (6), renum. (5), (7) to (9) to be (5) to (8), Register, April, 1999, No. 520, eff. 5-1-99; CR 03-002: r. and recr. Register July 2003 No. 571, eff. 8-1-03; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 90.05 Application process {#sec-adm-90.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.05}

The department shall make funds available annually as those funds are made available by the federal department of housing and urban development. To receive funds under the program, an eligible applicant shall submit an application which is complete and in the format required by the department. The department shall make housing rehabilitation and homeownership assistance awards to fundable applicants on an annual basis. The department shall make special housing project awards under s. Adm 90.09 to eligible applicants as projects are ready for funding under the criteria established by the department and as funding becomes available.

History

Cr. Register, April, 1999, No. 520, eff. 5-1-99; CR 03-002: r. and recr. Register July 2003 No. 571, eff. 8-1-03; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 90.06 Emergency grants {#sec-adm-90.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.06}

The department may use program funds for emergency housing needs arising from a natural disaster or catastrophic event. A local government interested in applying for an emergency grant under this section shall provide the department with written notice of intent to apply within 90 days after the natural disaster or catastrophic event. The department shall develop emergency fund application requirements as necessary. Applications will be evaluated based on:

(1) The nature of the emergency.

(2) The amount of emergency-related housing need.

(3) The availability of program funds.

(4) Other mitigating circumstances the department deems significant.

(5) The inability of the applicant to finance the activity on its own.

(6) The unavailability of other funding sources to address the need.

Note: The application requirements can be obtained by writing to: Department of Administration, P.O. Box 7970, Madison, WI 53707-7970.

History

Cr. Register, April, 1995, No. 472, eff. 5-1-95; renum. from Adm 19.07, Register, April, 1999, No. 520, eff. 5-1-99; EmR0823: emerg. am. (intro.), eff. 7-16-08; CR 08-096: am. (intro.) Register May 2009 No. 641, eff. 6-1-09.

Wis. Admin. Code § Adm 90.07 Recaptured funds and program income {#sec-adm-90.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.07}

The department may use CDBG funds received as recaptured program funds or program income as defined in 24 CFR 570, to fund specific hazard reduction activities in homes with low and moderate income occupants.

History

Cr. Register, April, 1995, No. 472, eff. 5-1-95; renum. from Adm 19.08, Register, April, 1999, No. 520, eff. 5-1-99.

Wis. Admin. Code § Adm 90.08 Resubmitted applications {#sec-adm-90.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.08}

(1) An applicant for funds shall be eligible to receive funds in the CDBG program year following the year for which the applicant submits an unfunded application, without having to submit another application for that following year if all of the following apply:

(a) The applicant is an eligible applicant under the terms of the program.

(b) The applicant submits a request to resubmit in a format as required by the department.

(2) The resubmitted application will retain the score received in the original application submittal.

(3) An unfunded application may be resubmitted under sub. (1) only once.

History

Cr. Register, April, 1999, No. 520, eff. 5-1-99; CR 03-002: r. and recr. (2) Register July 2003 No. 571, eff. 8-1-03.

Wis. Admin. Code § Adm 90.09 Special housing projects {#sec-adm-90.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 90.09}

The department may use at least $750,000 annually from the program for special housing projects. Funds not awarded within 12 months may be included in the funding available for housing rehabilitation and homeownership activities under s. Adm 90.04. The department shall make special project awards to eligible applicants as projects are ready for funding under the criteria established by the department and as funding becomes available.

History

CR 03-002: cr. Register July 2003 No. 571, eff. 8-1-03; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Chapter Adm 91 INTEREST ON REAL ESTATE TRUST ACCOUNTS

Wis. Admin. Code § Adm 91.01 Purpose and authority {#sec-adm-91.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 91.01}

This chapter is promulgated under the authority of ss. 227.11, 452.13 (5), Stats., and 560.02 (4), 2009 Stats.

History

Cr. Register, May, 1994, No. 461, eff. 6-1-94; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 91.02 Definitions {#sec-adm-91.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 91.02}

(1) “Account” means an interest-bearing common trust account as provided in s. 452.13 (2), Stats.

(2) “Department” means the department of administration.

(3) “Statement” means the statement required under s. 452.13 (2) (e) 2., Stats.

History

Cr. Register, May, 1994, No. 461, eff. 6-1-94; correction in (2) made under s. 13.92 (4) (b) 6., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 91.03 Grants to alleviate homelessness {#sec-adm-91.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 91.03}

All monies received by the department from interest on accounts shall be used within existing state programs to alleviate homelessness under s. 16.307, Stats.

History

Cr. Register, May, 1994, No. 461, eff. 6-1-94; correction made under s. 13.93 (2m) (b) 7., Stats., Register January 2004; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 91.04 Calculation of interest {#sec-adm-91.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 91.04}

A depository institution may calculate interest on the daily or average daily ledger or collected balance in an account for the statement period, provided that the method of calculation used is consistent with the method of interest calculation applied by the institution to individual accounts of the same type, size and duration. This interest may be calculated on an annual, monthly or other periodic basis within a 12 month period ending on December 31.

History

Cr. Register, May, 1994, No. 461, eff. 6-1-94.

Wis. Admin. Code § Adm 91.05 Rate of interest {#sec-adm-91.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 91.05}

The rate of interest paid on an account shall be consistent with the requirements of s. 452.13 (2) (a), Stats. The rate of interest reported on the annual statement submitted to the department under s. 452.13 (2) (e) 2., Stats., shall be the rate applicable to the account on the immediately preceding December 31, or an average rate of interest for the entire reporting period in those cases where there has been a variance in the account interest rate over the course of the reporting period.

History

Cr. Register, May, 1994, No. 461, eff. 6-1-94.

Wis. Admin. Code § Adm 91.06 Statement {#sec-adm-91.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 91.06}

The information required under s. 452.13 (2) (e) 2., Stats., shall be submitted annually by February 1, for the previous calendar year, to the department on the prescribed form. One report covering the aggregate accounts at a depository institution shall be submitted.

Note: Copies of the form are available at no charge from the Department of Administration, P.O. Box 7869, Madison, WI 53707-7869, or on the Internet at www.doa.wi.gov.

Note: The address for submitting the annual report and payment to the department is the Wisconsin Department of Administration, P.O. Box 7869, Madison, WI 53707-7869.

History

Cr. Register, May, 1994, No. 461, eff. 6-1-94; CR 05-110: r. and recr. Register May 2006 No. 605, eff. 6-1-06; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 91.07 Waiver {#sec-adm-91.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 91.07}

An account holder may waive their right to a statement under s. 452.13 (2) (e) 2., Stats.

History

Cr. Register, May, 1994, No. 461, eff. 6-1-94.

Chapter Adm 92 RELOCATION ASSISTANCE

Subchapter I General

Wis. Admin. Code § Adm 92.001 Purpose {#sec-adm-92.001 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.001}

The purpose of this chapter is to implement ss. 32.185 to 32.27, Stats., by establishing minimum standards for providing relocation payments and services to a person who moves from a dwelling, business or farm operation because of acquisition for a public project, and to assure that such persons do not suffer disproportionate costs as a result of projects designed to benefit the public as a whole. Payments required by this chapter do not affect any right to seek compensation specified in ss. 32.01 through 32.18 and 32.28, Stats. The department of administration shall assure that displaced persons are treated uniformly, fairly and equitably.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. Register, November, 1989, No. 407, eff. 12-1-89; correction made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.002 Applicability {#sec-adm-92.002 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.002}

This chapter applies to the following:

(1) A public project conducted by any agency under s. Adm 92.01 (13) which may or shall displace any person from real property regardless of the source of funds, federal regulations, or the date the project was formally adopted, approved, funded or started;

(2) A displacement under sub. (1) resulting from initiation of negotiations which begins after April 2, 1989.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1) (b), Register, (November, 1989, No. 407, eff. 12-1-89; correction made under s. 13.93 (2m) (b) 1. and 7., Stats., Register, April, 1996, No. 484; correction in (intro.), (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.01 Definitions {#sec-adm-92.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.01}

In this chapter:

(1) “Acquisition” means:

(a) A property purchased by an agency by any legal means including a negotiated sale and exercise of eminent domain; or

(b) A tenant-occupied unit where possession or use is denied to the occupant under a rehabilitation, code enforcement or other program or project being carried out with public financial assistance.

(2) “Agency” means a displacing agency, under sub. (13).

(3) “Average annual net earnings” means one half of the net earnings of a business or farm operation, before federal and state income taxes, during the 2 taxable years preceding the taxable year of the displacement, or another period an agency determines more equitable. It includes compensation paid by a business or farm operation to an owner, spouse or dependents. Owner, as used under this subsection includes a sole proprietorship, a principal partner of a partnership, and a principal stockholder of a corporation. Stock held by a spouse and dependent children shall be treated as one principal stockholder.

(4) “Average monthly income” means, for determining financial means, the annual gross income of an individual or the adults in a family, including salaries, wages, public assistance payments, tips, commissions, unemployment payments, rents, royalties, dividends, interest, profits, pensions, annuities, and other income, divided by 12.

(5) “Business” means a legal activity, other than a farm operation, regardless of the income produced, conducted:

(a) For the purchase, sale, lease or rent of personal and real property, and to manufacture, process or market a product, commodity, or other personal property;

(b) For the sale of a service to the public;

(d) Solely for the purpose of moving and related expense, to assist in the purchase, sale, resale, manufacture, processing or marketing of a product, commodity, personal property or service by the erection and maintenance of an outdoor advertising display, whether or not it is located on the premises on which any of the activities listed in this paragraph are conducted.

(6) “Carve-out” means a method for computing a replacement housing, business or farm operation payment that is applied to separate the value of a portion of a property acquired, or a comparable selected.

(7) “Comparable replacement business” means a replacement business currently available to a displaced person and, when compared with the acquired business:

(a) Meets applicable federal, state or local codes;

(b) Is adequate for the needs of a business and suited for the same type of business;

Condition, state of repair, land area and building square footage required;
Access to transportation necessary for the business operation, customers, utilities and public services.

(d) Is in an area free of adverse environmental conditions which may cause significant impairment of the business.

(e) Is within reasonable proximity of the acquired business if necessary to retain existing or new clientele.

(8) “Comparable replacement dwelling” means a dwelling which is currently available to the displaced person and, when compared with the dwelling being acquired:

(a) Is adequate for the person and is decent, safe and sanitary under s. Adm 92.04.

(b) Is functionally equivalent and substantially the same as the acquired dwelling, with respect to:

Area of habitable living space, number and size of rooms and closets, and the size and utility of any garage or outbuilding within the immediate surrounding yard;
Type of construction, age and state of repair;
In an area not less desirable than the acquired dwelling with respect to public utilities, public and commercial facilities and neighborhood conditions, including schools and municipal services, and is accessible to the person’s place of employment;

(c) Is available to the person regardless of sex, race, color, disability, religion, national origin, sex or marital status of the person maintaining a household, legal sources of income, age, ancestry, sexual orientation or other applicable federal, state or local fair housing laws.

Note: The comparable must be available to the person being displaced. For example, a dwelling may not be selected as a comparable for a family with children, when the owner does not rent to families with children.

(d) Is available within the financial means of the displaced person.

(9) “Comparable replacement farm operation” means a replacement farm operation currently available to a displaced person and, when compared to the acquired farm operation:

(a) Meets applicable federal, state or local codes;

(b) Is adequate for the needs of the farmer and suited for the same type of farm operation;

Type of farm operation, condition, and state of repair of farm buildings;
Soil quality, yield per acre, land area, transportation access necessary for the farm operation, utilities and public services;

(d) Is in an area free of adverse environmental conditions which may cause significant impairment of the farm operation;

(e) Is within reasonable proximity of the acquired farm operation to the extent necessary for the farm operation.

(10) “Conventional financing” means, for determining a down payment assistance payment, a loan or promissory note secured by a mortgage made by a financial institution and not insured or guaranteed by an agency of the state or federal government, or any other private insurer.

(11) “Department” means the Wisconsin department of administration.

(12) “Direct loss of property” means a compensable moving expense, in addition to an expense incurred in a move of other property, payable to a displaced business or farm operation, for direct loss of tangible personal property used in a moved or discontinued operation and which is sold or abandoned rather than moved, after attempting to sell.

(13) “Displacing agency” means a condemnor, state agency, political subdivision of the state, developer or any other person carrying out a public project that causes a person to be a displaced person. An agency vested with eminent domain power under ch. 32, Stats., acquiring real property in whole or in part for a public project, is a displacing agency, regardless of whether or not any or all of the statutory or procedural steps necessary to exercise such power have been taken, or whether the property is acquired by negotiated purchase or by eminent domain. In a project being carried out by a person or entity without eminent domain power, the condemnor, state agency or political subdivision of the state that is the principal public funding source for the project, shall ensure compliance with the provisions of this chapter.

(14)

(a) “Displaced person” means any person who moves from real property or moves personal property from real property:

As a direct result of a written notice of intent to deny possession or use of rented property or to purchase real property, the initiation of negotiations for, or the purchase of, such real property by a displacing agency, in whole or in part, for a public project. A person is also considered to have moved because of the purchase when the person occupies a property at the time of initiation of negotiations, but moves before acquisition, if the property is subsequently acquired;
As a result of denial of possession or use by the owner in anticipation of acquisition by an agency, if the removal is unrelated to a material breach of a rental agreement by the tenant. A substantial and unwarranted rent increase before acquisition by an agency shall be considered denial or use by the owner; or
As a result of property rehabilitation, conversion, demolition, or other related displacing activity, provided the person is:

a. A tenant occupant who will be permanently displaced and has not been offered a reasonable opportunity to occupy a suitable, decent, safe and sanitary dwelling in the same or a nearby building with actual reasonable moving cost of the move being paid by the displacing agency; or

b. A tenant occupant in a federally assisted project who is unable to continue occupancy in the displacement dwelling under terms and conditions that are reasonable as specified by the federal funding agency.

(b) “Displaced person” does not include, among others:

A person who moves before initiation of negotiations, unless the agency determines the person was displaced by the project;
A person who initially occupies the affected property after the date of its acquisition by the agency;
A person who has occupied the property for the express purpose of obtaining relocation benefits under this chapter;
A tenant-occupant of a dwelling who has been promptly notified that he or she will not be displaced by the project, provided that, if a temporary move is necessary, the temporary replacement dwelling is decent, safe and sanitary and the tenant is compensated for actual out-of-pocket expenses incurred in connection with a temporary move, including moving costs to and from the temporary dwelling, any increased rent or utility costs, and other reasonable expenses incurred;
A person who, after receiving a notice of relocation eligibility, is subsequently notified in writing that the person will not be displaced for the project. Such notice shall not be issued unless the person has not moved, the agency provides compensation for any expenses incurred up to the time the no displacement notice is issued and the agency withdraws any attempt to acquire the property or carry out the project affecting the property;
An owner-occupant who voluntarily sells a property after being informed in writing that the agency will not acquire the property by condemnation if a mutually satisfactory agreement of sale is not obtainable. In such cases, however, any tenants who occupy the property are displaced persons under this chapter;

Note: The agency may be required to obtain a waiver of relocation assistance under s. Adm 92.12.

An owner-occupant who voluntarily sells a property to a displacing agency not vested with eminent domain power;
A person who voluntarily retains the right of use and occupancy of the real property for life following its acquisition by the agency;
A person who is determined to be in unlawful occupancy of the property or has been evicted for cause under applicable law before initiation of negotiations for the property. Unlawful occupancy is defined under s. Adm 92.01 (42).
A person who is a non-occupant owner of commercial or residential property that is rented to others, except that such owner may qualify for actual and reasonable moving expenses under s. Adm 92.52.
For projects that do not receive federal funds and properties that do not involve an outdoor advertising sign or an outdoor advertising company tenant, a tenant who is allowed to occupy leased premises to the end of the term of the lease, or for 180 days, or for a period of time equal to one-half of the term of the lease, or for a period of time determined by the condemnor, whichever of these four alternatives is longer.

(15) “Dwelling” means a single family house, a single family unit in a duplex, multi-family or multi-purpose property, a condominium or cooperative housing unit, a sleeping room, a mobile home, or other residential unit.

(16) “Economic rent” means the rent for a property similar to and in the same area as an acquired property.

(17) “Eminent domain” means a right of government and others under s. 32.02, Stats., permitting a taking of private property for a public purpose with payment of just compensation.

(18) “Existing patronage” means the business from specific clientele or as evidenced by an annual net income during the 2 taxable years preceding the taxable year of an acquisition or during a more equitable period determined by an agency. The patronage for a nonprofit organization includes persons, clientele and community served or affected by the organization.

(19) “Farm operation” means an activity conducted mainly for the production of one or more agricultural products or commodities, or timber, for sale or home use, and customarily producing these in sufficient quantity to contribute materially to a person’s support.

(20) “Financial means” means the standard for determining if a dwelling is affordable. A replacement or comparable dwelling is within a person’s financial means when, as an owner, the monthly housing costs, including payments for mortgage, insurance, utilities and property taxes, or, as a tenant, monthly rent including comparable utility costs, minus any replacement housing payment available to a person under this chapter, does not exceed 30% of average monthly income. In lieu of the 30% of income standard in this subsection, a comparable dwelling may also be considered to be within a person’s financial means if:

(a) Owner-occupant. The acquisition price of the comparable replacement dwelling does not exceed the sum of the payment for the acquired dwelling and the comparable replacement housing payment available under this chapter.

(b) Tenant-occupant. The monthly rent of the comparable replacement does not exceed the monthly rent at the displacement dwelling, after taking into account any rental assistance payment available under this chapter.

(21) “Initiation of negotiations” means:

(a) In acquisition projects, the date a displacing agency, or its representative, initially contacts an owner of real property, or the owner’s representative and makes a written monetary offer to purchase the property; or

(b) In rehabilitation, code enforcement or related non-acquisition projects, the date a displacing agency makes its initial funding or other commitment to the project which may cause the displacement of an occupant, or the date a person receives actual or constructive notice that the person will be displaced, whichever is earlier, unless a different action or date is specified in applicable federal program regulations.

Note: Initiation of negotiations does not generally include a situation where the agency obtains only a first right of refusal to acquire that does not also include a monetary offer or establishment of a purchase price and where the agency is not otherwise committed to the acquisition of the property.

Entering into a lease, including a lease with an option to purchase.
Responding to an offer to sell property and negotiating for the purchase of the property, when the offer does not involve the involuntary displacement of any occupant of the property and the agency is not implementing a project to acquire the property.
Obtaining a right of first refusal to acquire that does not also include a monetary offer or establishment of a purchase price and does not otherwise commit the agency to the acquisition of the property.

(22) “Mortgage” means a lien given to secure an advance for the unpaid purchase price of real property, together with a credit instrument secured thereby.

(23) “Moving expense-actual” means an actual and reasonable expense necessary to move a person and personal property including charges by public utilities for starting service, storage of property up to 12 months, and necessary temporary lodging and transportation.

(24) “Moving expense-fixed payment” means an alternate payment for moving. A payment for an occupant of a dwelling is based on a room schedule plus a dislocation allowance. A fixed payment for a business or farm operation is based on average annual net earnings and may not be less than $1,000 nor more than $20,000.

(25) “Nonprofit organization” means a corporation, partnership, individual or other public or private entity, engaged in a legal business, professional or instructional activity on a nonprofit basis and having fixtures, equipment, stock in trade or other tangible property on the premises and established as a nonprofit organization under federal or state law.

(26) “Owner” means a person who has an interest in a dwelling or real property to be acquired by a displacing agency in the form of the following:

(a) A fee title or life estate;

(b) An interest in cooperative housing including a right to occupy a dwelling;

(d) A mobile home on a permanent foundation, or a mobile home which is not decent, safe and sanitary, and cannot be moved without substantial damage or unreasonable cost or there are no replacement sites to where it can be moved;

(e) An interest other than under this subsection which is considered ownership by an agency or the department;

(f) Has succeeded to any of the interests under this subsection by devise, bequest, inheritance or operation of law, except the tenure of ownership, not occupancy, of a succeeding owner shall include the tenure of a preceding owner.

(27) “Owner-occupant, residential”, means a person, who is the owner of a property being acquired and occupies a dwelling on the property as a primary residence.

(28) “Owner-occupant, business”, means a person who is an owner of a property being acquired, and is also the owner and operator of a business or farm operation which was conducted on the property for at least one year before initiation of negotiations to purchase the property or the date of vacation when given a notice of intent to acquire, whichever is earlier.

(29) “Person” means an individual, family, partnership, corporation, association, business or farm operation, or non profit organization under this chapter. Two or more persons who are tenants of the same dwelling shall be treated as one person.

(30) “Personal property” means tangible property located on real property but not acquired by an agency.

(31) “Prepaid expense” means an item paid in advance by a seller of real property and prorated between a seller and buyer at the time of closing on a property including property tax, insurance, assessment, fuel and utilities, and others.

(32) “Primary residence” means a dwelling occupied as a customary and usual place of residence but not a vacation dwelling. It is occupied by a person for a substantial period of time before initiation of negotiations. It is evidenced by place of voter registration, address on a tax return, mailing address, rent receipt, proximity to work, school, utility and phone bill or other evidence acceptable to an agency.

(32m) “Public financial assistance” means direct funding received from a public entity. An authority which uses its own funds for a project is not receiving “public financial assistance.”

(33)

(a) “Public project” means, in addition to a project being carried out directly by a public entity, an activity or program directly receiving public financial assistance including a grant, loan or contribution. Unless otherwise covered under federal relocation regulations, such assistance must be at least $25,000 in a project having total costs of less than $50,000 or at least 50% in a project having total costs of $50,000 or more, and involve one or more of the following activities:

Real property acquisition;
Housing or commercial rehabilitation or conversion;
Demolition within a designated redevelopment or blight removal area established by formal local government action on or after April 2, 1989; or
Another related public construction or improvement project receiving federal financial assistance covered under federal relocation regulation.

(b) “Public project” does not include, among others:

Any public guarantee or insurance;
Any interest reduction payment or loan to an individual in connection with the purchase and occupancy of a property by the individual.
Acquisition of property under tax foreclosure proceedings, provided a tenant-occupant is not displaced for a public project related to the acquisition;
Direct acquisition by a federal agency carrying out a federal program or project;
Demolition activity accomplished on a random basis if there is no planned public project for the property affected; or
A private project which is able to proceed as a result of governmental zoning changes, variances or related actions.

(34) “Real property” means land and improvements on and to the land, estates in land, and fixtures or other personal property directly connected with the land.

(35) “Relocation payment” means a payment under this chapter, including actual moving expense, a fixed payment in lieu of actual moving expense, purchase, rental and interest differential payment, down payment assistance, and cost incidental to a purchase of replacement property. An agency may pay more than the minimum amounts under this chapter, provided the payments are uniform.

(36) “Relocation plan” means a document prepared by an agency and submitted to and approved by the department before any property acquisition activity begins. A plan describes the relocation assistance and payments to be provided, and indicates whether displaced persons can be satisfactorily relocated.

(37) “Searching expense payment” means a payment to a displaced business or farm operation, to compensate for actual and reasonable expense in locating a replacement business or farm operation.

(38) “Selected comparable” means a comparable dwelling, business or farm operation selected by an agency from one or more comparable properties as the most comparable for computing a replacement differential payment.

(39) “Tenant” means a person who occupies real property and has not been, or could not otherwise be dispossessed, except pursuant to the procedures under chs. 704 and 799, Stats.

(40) “Tenant-occupant, residential”, means a person who is the tenant of a displacement dwelling and occupies the dwelling as a primary residence.

(41) “Tenant-occupant, business”, means, for the purposes of subch. VI, a person who is a tenant-owner and operator of a business or farm operation which was conducted on the property for at least one year before initiation of negotiations or the date of vacation when given a notice of displacement from the agency, whichever is earlier.

(42) “Unlawful occupancy” means occupancy by a person who has been ordered to move by a court of competent jurisdiction prior to initiation of negotiations for the acquisition of the property. At the discretion of the agency, persons who occupy property without permission of the owner may be considered to be in unlawful occupancy. Technical violations of law and unlitigated violations of the terms of a lease, such as having an unauthorized pet or withholding rent because of improper building maintenance, do not constitute unlawful occupancy.

(43) “Utility charge” means an average monthly cost for space and water heating, lighting, water and sewer, and trash removal, but not telephone service.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1), (13), (20), (intro.), (21) and (24), r. and recr. (4), renum. (33) to (41) to be (34) to (41) and (43) and am. (40) and (41), cr. (33) and (42), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; cr. (14) (b) 11., (21) (c), (32m), am. (33) (a) (intro.), Register, March, 1997, No. 495, eff. 4-1-97; correction in (8) (a), (11), (13), (14) (b) 9., 10. made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672; CR 21-110: am. (8) (c) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 92.04 Decent, safe, and sanitary housing {#sec-adm-92.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.04}

(1) Purpose. The following minimum housing standards are to assure that housing quality is adequate for the protection of public health, safety and welfare. They shall be applicable for all dwellings selected for comparable replacement housing payment determinations, referrals to displaced persons and to which persons move.

(2) Minimum requirement. A decent, safe and sanitary dwelling conforms with applicable provisions for existing structures established under state or local building, plumbing, electrical, housing and occupancy codes and similar ordinances or regulations, and meets the following minimum requirements:

(a) Water. A dwelling shall have a continuing and adequate supply of water suitable for drinking.

(b) Kitchen. A dwelling shall have a room or portion of a room where food is normally prepared and cooked and is equipped with:

A kitchen sink in good working condition, properly connected to an approved water system with sufficient hot and cold water, and to an approved sewer system.
Cabinets or shelves for the storage of eating, drinking and cooking equipment and utensils, and food that does not ordinarily require refrigeration for safekeeping. The cabinets or shelves shall be of sound construction with surfaces that are easily cleaned and have no toxic or noxious effect on food.
Sufficient space and utility service connections for installation of a stove and refrigerator.

(c) Heating system. A dwelling shall have a safe, good working and properly installed heating system capable of heating all habitable rooms to approximately 70° F. Unvented fuel-fired flame space heaters and furnaces shall be prohibited. Portable electric heaters approved under appropriate local and state codes are acceptable.

(d) Bathroom facility. A dwelling shall contain the following:

A private, nonhabitable room with a properly working flush toilet connected to a water system with sufficient water, and to an approved sewer system.
A room with a lavatory sink. A sink may be in the same room as a toilet. If a sink is located in a room other than the one with a toilet, the toilet shall be near a door leading directly into the room with a sink. A sink shall be in good working condition, properly connected to an approved water system with sufficient hot and cold water, and to an approved sewer system.
A private room with a bathtub or shower. A bathtub or shower may be in the same room as a flush toilet, a room with a lavatory sink, or in another room and shall be connected to an approved water system with sufficient hot and cold water, and to an approved sewer system.

(e) Electric service. A dwelling unit and public and common areas shall be supplied with electric service, wiring, outlets and fixtures which are properly installed, and maintained in good and safe working condition. The service capacity and the number of outlets and fixtures shall be as follows:

A habitable room shall have a minimum of 2 floor or wall outlets.
A water closet room, bathroom, laundry room, furnace room, dining room, kitchen, and public hall shall have at least one ceiling or wall electric light fixture.
Light switches in a room or passage shall be conveniently located to light the area ahead.
Public halls and stairways in a multiple dwelling shall be adequately lighted at all times.

(f) Structurally sound.

A foundation, roof, exterior wall door, skylight and windows shall be weathertight, waterproof, dampproof, and together with floors, interior walls and ceilings, be structurally sound and in good repair without visible evidence of structural failure or deterioration.
A dwelling, multiple dwelling, rooming house, other building or accessory structure and premises shall be maintained to prevent and eliminate rodents.
A foundation, roof, floors, exterior and interior walls, ceilings, inside and outside stairs, porches and all appurtenances shall be safe and capable of supporting a normal load. Inside and outside stairs shall have uniform risers and treads. Stairways shall have structurally sound handrails.
Plumbing fixtures and water pipes shall be properly installed and maintained in a good, sanitary working condition.
Toilet room, bathroom and kitchen floor surfaces shall be impervious to water to permit maintenance of a clean and sanitary condition.
Gas burning equipment and pipes, water and waste pipes, toilets, sinks, lavatories, bathtubs, shower and catch basins, vents, chimneys, flues, smoke pipes and other facilities, equipment or utilities in a dwelling, shall be maintained in a safe, satisfactory working condition.

(g) Light and ventilation.

Habitable room. A habitable room shall have at least one openable window or skylight facing outside. The minimum window or skylight area shall be at least 8% of the floor area of a room.
Bathroom. A bathroom or toilet room shall comply with the requirement for a habitable room. A window or skylight may be omitted when the room is equipped with artificial lighting and adequate ventilation.

(h) Number of exits - means of escape. In a dwelling of more than 2 rooms, bedroom and living room areas shall have at least 2 means of escape with at least one door or stairway providing a means of unobstructed travel to the outside at street or ground level. Bedroom and living room areas may not be accessible by only a ladder or folding stairs, or through a trap door.

(hm) Alternate means of escape. A second means of escape shall be either:

A door or stairway providing a means of unobstructed travel to the outside at street or ground level, or
An outside window operable from the inside without the use of tools and providing a clear opening of not less than 20 inches in width, 24 inches in height, and 5.7 square feet in area. The window bottom may not be more than 44 inches above the floor.

a. Exception no. 1. A second means of escape shall not be required when the room has a door leading directly outside to grade.

b. Exception no. 2. A second means of escape shall not be required when a building is protected throughout by an approved automatic sprinkler system.

c. Exception no. 3. A second means of escape from a second or higher story dwelling may be directly through a common corridor provided the corridor has at least 2 means of escape.

(ht) Prohibited path. A required path of travel to the outside from a room may not be through another room or apartment not under the immediate control of the occupant of the first room, nor through a bathroom or other space subject to locking.

(i) Habitable floor space. A dwelling unit shall have at least 150 square feet of habitable floor space for the first occupant and at least 100 square feet, 70 square feet for a mobile home, for each additional occupant. In addition:

The floor space shall be divided into rooms and bedrooms to be adequate for a displaced person. No more than 2 persons may occupy a bedroom of less than 100 square feet. Children of opposite sex over age 7 may not be required to share a bedroom;
The ceiling height of any habitable room shall be at least 7 feet, except that in a habitable room with a sloping ceiling at least one half of the floor area shall have a ceiling height of at least 7 feet. The floor area of the room may not include that part of a room where the ceiling height is less than 5 feet;
Space located below grade may not be used as a habitable room unless:

a. The floor and the walls below grade are waterproof and dampproof;

b. The minimum window area shall be equal to that under par. (g) 1. and shall be within properly drained window wells when located below grade;

c. The total openable window area shall be at least equal to that as specified under par. (hm) 2., except when there is adequate ventilation and humidity control.

(j) Barrier-free. A dwelling and access to the dwelling shall be free of barriers for a person or family member with a physical disability.

(k) Premises. A dwelling site shall be graded, well drained and maintained in a clean, sanitary and safe condition, and located in an area not subject to adverse environmental conditions as determined by the agency.

(3) Sleeping room. The requirements for a sleeping room shall be as specified under sub. (2) (a), (c), (e), (f), (g), (h), (hm), (ht), (j), (k), and have the following:

(a) At least 100 square feet of habitable floor space for the first occupant and 50 square feet of habitable floor space for each additional occupant;

(b) Access to a private lavatory, bath and toilet facility.

(4) Inspection. An agency shall promptly inspect a replacement dwelling to ascertain whether it meets the requirements of this section.

(5) Habitable room. A habitable room is a room used for sleeping, living, or dining, but excludes closets, kitchens, pantries, bath or toilet rooms, service rooms, hallways, stairways, laundries, storage spaces, cellars, utility rooms, and similar spaces.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; corrections made under s. 13.93 (2m) (b) 1. and 7., Stats., Register, April, 1996, No. 484; CR 21-110: am. (2) (j) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 92.06 Written notice and information {#sec-adm-92.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.06}

An agency shall as a minimum, provide displaced persons and property owners with notices and relocation information as specified in this section.

(1) Information at public hearing. An agency shall provide the following general information if a public hearing is held for a project which may involve land acquisition and displacement of a person;

(a) A general description of the relocation services and payments;

(b) A statement that an agency shall prepare a relocation plan for approval by the department before acquisition and that persons to be affected shall be contacted to obtain information to prepare the plan;

(c) Identification of project boundaries and an estimate of the number of residential and nonresidential properties to be acquired;

(d) A statement that a person who moves prematurely may jeopardize relocation entitlements and that sufficient time to relocate will be provided;

(e) The name, address and telephone number of an agency representative available for further information on acquisition and relocation assistance matters.

(2) Written information at initial contact. An agency, except an agency without eminent domain power undertaking a project where such power does not exist, shall provide written notice at the time of initial contact to obtain information necessary for preparation of a relocation plan:

(a) An owner of rental property shall receive a statement which describes the nature of the proposed project, informs an owner that tenants are being contacted to obtain information to prepare the plan, cautions the owner against eviction of tenants before acquisition, explains that tenants are being advised not to move prematurely, and that in the event tenants move before acquisition, an owner may qualify for a rent loss payment.

(b) A tenant or an owner-occupant of a property shall receive a statement which describes the nature of a proposed project, warns against a premature move which may jeopardize relocation entitlements, indicates the date acquisition is expected to begin, summarizes the relocation assistance and benefits available, and gives the name, address and phone number of an agency representative to contact.

(3) Information before initiation of negotiations. An agency, except an agency without eminent domain power undertaking a project where such power does not exist, shall, before initiation of negotiations, furnish the following pamphlets unless already furnished with the written notice at the time of initial contact as specified under sub. (2).

(a) An owner of property shall receive a pamphlet, s. 32.05 or 32.06, Stats., depending on the type of project, entitled “Your Rights as a Landowner under Wisconsin Eminent Domain Law.”

(b) A tenant or an owner-occupant of a residential property shall receive a pamphlet entitled “Wisconsin Relocation Rights”, for residential occupants.

(c) A tenant or an owner-occupant of a business or farm property shall receive a pamphlet entitled “Wisconsin Relocation Rights”, for business or farm occupants.

Note: The pamphlets referred to in this section may be obtained from the department.

(4) Information from agencies without eminent domain power. An agency without the power of eminent domain undertaking a project where such power does not exist, shall provide the following notices and information:

(a) A written notice cautioning the owner against removal of tenants shall be provided to the owner before initiation of negotiations.

(b) A relocation informational pamphlet under sub. (3) (b) or (c) shall be provided to a tenant occupant who will be displaced as soon as feasible and no later than 7 days after an offer to purchase has been accepted and all contingencies removed, except for a relocation plan approval contingency.

(5) Written offer to purchase. An offer to purchase a property shall be in writing and shall establish the date of initiation of negotiations. However, the date of a verbal monetary offer to purchase authorized by the acquiring agency shall be considered as initiation of negotiations to establish eligibility for a relocation benefit.

(6) Written notice of replacement payment entitlement and occupancy term.

(a) An agency shall provide a written notice to occupants indicating the differential replacement payment computation as specified under ss. Adm 92.68 to 92.88 for residential occupants and under ss. Adm 92.90 to 92.98 for business and farm occupants. The notice shall be provided within 90 days of an expected date of vacation or at the request of a displaced person, whichever is sooner.

(b) An agency may not require an occupant of property acquired by an agency to move without at least a 90 day written notice of an intended vacation date.

(7) Information on relocation claim filing. An agency shall furnish a displaced person with a claim form and explain the filing procedure before displacement. An agency shall assist in claim preparation and describe any supporting documentation a person must provide.

(8) Written notice of claim denial. An agency shall promptly notify a claimant in writing of a determination, the basis for a determination and how a person may modify the claim or file an appeal, when an agency denies a claim or does not approve the full amount.

(9) Manner of notice. An agency shall give a person written notice as specified in this section by personal service, receipt documented, or by certified or registered first-class mail, return receipt requested. A notice shall be written in plain language and have a name and a telephone number of a person to contact. An agency shall provide appropriate translation and counseling for a person to be displaced who is unable to read or understand a notice. An agency shall make a diligent effort to contact a person to provide notices specified in this section.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (2) (intro.) and (3) (intro.), renum. (4) to (8) to be (5) to (9), cr. (4), Register, November, 1989, No. 407, eff. 12-1-89; corrections in (6) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (6) (a) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.08 Payment of relocation claim {#sec-adm-92.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.08}

An agency shall pay a displaced person a relocation payment as specified under this chapter.

(1) Time of filing. A displaced person may file a claim for payment following a move, but not later than 2 years after the following dates, unless extended by the agency for good cause:

(a) For tenants, the date of displacement;

(b) For owners, the date of final payment for the purchase of the real property or the date of displacement, whichever is later.

(2) Prompt payment of a claim. An agency shall pay a claim in a timely manner, and promptly notify a displaced person when additional information is needed to support a claim. A replacement housing, business or farm payment shall be paid in one lump sum.

(3) Direct payment. An agency may not withhold part of a payment to a displaced person to satisfy an obligation to an agency or creditor, except that an agency may deduct any rent the displaced person owes the agency if the deduction does not prevent the person from obtaining a comparable replacement dwelling. An agency may not require a person to relinquish a right to future claims as a condition of payment. A payment shall be made to a displaced person, unless a person designates otherwise in writing, or a court orders a set off under s. 32.20, Stats.

(4) Partial payment. An agency shall pay a displaced person promptly for that part of the total claim not in dispute when only a part of a total claim is filed, or when a part of a claim is in dispute or is not sufficiently documented.

(5) Advance payment. An agency may pay a displaced person in advance of a move, subject to safeguards to ensure the payment is no greater than the amount a person is eligible to receive.

(6) No duplication of payment. A person eligible for a relocation payment under this chapter and the Federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Public Law 91-646, 84 Stat. 1894, may not receive a payment under both for items which have the same purpose and are equally compensable.

(7) Discounting prohibited. An agency may not discount a relocation payment for present worth, except for an increased interest payment.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1) and (3), Register, November, 1989, No. 407, eff. 12-1-89.

Wis. Admin. Code § Adm 92.10 Waiver or modification {#sec-adm-92.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.10}

The department may waive or modify any requirement that is not required under ss. 32.185 to 32.27, Stats., for good reason, and on an individual case basis, upon written request of an agency or a displaced person. A waiver shall be in writing to be valid.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.12 Waiver of relocation benefits {#sec-adm-92.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.12}

An owner-occupant of a property to be acquired, as an agreed upon condition of acquisition of the property, may waive relocation benefits as specified under s. 32.19, Stats., provided a waiver is executed knowledgeably, without duress, and under the following requirements:

(1) The property to be acquired by an agency is:

(a) An isolated parcel, not included as part of a public project or located within a proposed or previously designated area where it is reasonable to conclude that other acquisitions by the agency will occur in the foreseeable future;

(b) Being sold voluntarily to an agency:

In response to a public solicitation provided the agency states that it will not acquire property unless a mutually satisfactory agreement can be reached;
Through a voluntary listing of a property for sale by an owner;
Under another voluntary circumstance.

(2) The property owner shall be given pamphlets prepared by the department entitled “Wisconsin Relocation Rights,” and “The Rights of Landowners under Wisconsin Eminent Domain Law” before execution of a waiver agreement.

(3) An agency shall inform the property owner in writing regarding the specific dollar benefits and services being waived before execution of a waiver agreement.

(4) The waiver is executed on a form provided by the department.

(5) The executed waiver is submitted to the department for approval before initiation of negotiations. The agency shall receive written approval of a waiver from the department before entering into an option to purchase or making an offer to purchase, unless an option or offer to purchase is conditioned on receipt of department approval. A waiver submitted to the department for approval shall be considered approved unless the department otherwise notifies the agency within 10 working days of receipt of the waiver.

(6) An agency may not solicit or execute a waiver from a person who is a tenant of a property to be acquired. An owner of a property to be acquired may not waive a relocation benefit for another person.

(7) A waiver of a relocation benefit as specified under this chapter does not affect the rights of an owner under other provisions of ch. 32, Stats.

Note: A displaced tenant may choose not to claim relocation payment during the two year time limit, provided the choice is not a condition of the acquisition or relocation from the property involved.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.14 Education, certification and monitoring {#sec-adm-92.14 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.14}

(1) Education. The department shall promote and place emphasis upon opportunities for interested persons to receive training in the relocation assistance requirements of ch. 32, Stats., and this chapter.

(2) Certification. The department may certify the relocation assistance program of a unit of state or local government upon a determination that the certified program meets the standards followed by the department in administering the relocation assistance requirements of ch. 32, Stats., and this chapter. A unit of government with a certified relocation assistance program shall not be required to submit relocation plans to the department for prior approval under s. Adm 92.26. A unit of government with a certified relocation assistance program shall retain all of its program records for the periods of time specified by the department. The department may examine any records of a certified relocation assistance program. The department shall monitor and audit all certified programs and may revoke the certification of a program upon a determination that the program does not continue to meet the standards for certification.

(3) Enforcement. Complaints shall be received and investigated as provided in s. Adm 92.18.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; correction made under s. 13.93 (2m) (b) 1., Stats., Register, April, 1996, No. 484; r. and recr. Register, March, 1997, No. 495, eff. 4-1-97; correction in (2), (3) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.16 Eviction policy {#sec-adm-92.16 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.16}

An agency may evict a person as a last resort but the eviction does not affect the eligibility of a person for relocation benefits. An agency shall assist to prevent eviction of a tenant by an owner before acquisition by an agency. An agency’s relocation record shall document the circumstance surrounding eviction from an agency-acquired property. Eviction may be undertaken for the following:

(1) Failure to pay rent, except as specified under s. 704.07, Stats.;

(2) Use of a premises for an illegal purpose;

(3) A material breach of a rental agreement;

(4) Refusal to accept an offer of a comparable replacement property;

(5) An eviction is required by law.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.18 Relocation appeal {#sec-adm-92.18 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.18}

A displaced person, or one claiming to be displaced, may file a complaint for review by the department under this subsection.

(1) General. An agency shall inform a displaced person before displacement of the person’s right of appeal under local and state procedures. A displaced person shall be assured of the following:

(a) A right to be represented in an appeal by a personal representative;

(b) A right to inspect and photocopy a file, record, regulation or operating procedure of an agency or the department pertinent to an appeal;

(d) A right to prompt consideration of a complaint and a written reply from an agency or the department explaining a determination;

(e) A displaced person who appeals may not be removed from an acquired property until an agency issues a written determination on an appeal unless the agency provides written notice to the department that an occupant may be required to move before such determination may be issued.

(f) Filing a complaint under local or state appeal procedure is not a condition precedent to the filing of a claim and commencement of a legal action under s. 32.20, Stats.

(2) Appeal to displacing agency. An agency shall establish an internal appeal procedure to resolve a relocation complaint. The procedure shall assure the following minimum requirements:

(a) An agency shall promptly notify a displaced person not satisfied with a relocation payment or service on how to appeal;

(b) An appeal procedure shall provide for resolution of a complaint at an intermediate level within an agency, or an appeal to the agency head or designee, as a final step in resolving a complaint;

(d) An agency’s determination on a complaint shall be conveyed to a displaced person in writing within 30 days after receipt;

(e) An agency shall inform a person who has filed a complaint, regarding a right to appeal to the department under sub. (3), when a complaint cannot be resolved internally.

(3) Appeal to department. A displaced person may file an appeal to the department. The department shall:

(a) Receive and consider all relocation complaints filed under this chapter;

(b) Provide a written notice to the displacing agency within five working days of receipt of a complaint, including a copy of the complaint;

(c) Request that an agency or a displaced person provide materials or documentation pertinent to a complaint and shall specify a time to provide the materials;

(d) Promptly notify the parties of a dispute when the department determines that a complaint is unreasonable, including the reasons;

(e) Schedule an informal meeting with the parties when necessary to resolve a dispute. The meeting shall be scheduled as soon as practicable and be held in the county where displacement occurred or another mutually agreed location;

(f) Provide a written determination when necessary to resolve a dispute;

(g) Notify the parties within 90 days after an informal meeting when an acceptable solution cannot be negotiated.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.20 Relocation file {#sec-adm-92.20 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.20}

An agency shall maintain a current individual property acquisition and individual relocation case file. The file shall be retained for inspection by the department for a minimum of 3 years following completion of a project or a final relocation payment, whichever is later.

(1) Property acquisition file. An individual property acquisition file shall contain:

(a) The name and address of a property owner and the address or other legal description of an acquired property;

(b) Evidence that the property owner was given a pamphlet entitled,“Your Rights as a Landowner under Wisconsin Eminent Domain Law,”and the date given;

(d) A copy of appraisal reports or documents on which a determination of just compensation is based;

(e) A copy of the written offer to purchase and the date of initiation of negotiations to acquire a property;

(f) A copy of a purchase agreement, deed, declaration of taking, waiver or related document involving conveyance of the property;

(h) Evidence that a property owner was paid for the purchase price and expenses incurred incidental to transfer of the property as specified under s. 32.195, Stats.

(2) Individual relocation case file. An agency shall develop and maintain an individual case file for a displaced person beginning with information obtained in the initial interview. An individual relocation case file shall include the following:

(a) Name, on-site address and phone number, date of displacement, replacement address and phone number, and if a tenant or an owner, before and after relocation;

(b) The age and sex of dependent household members, the average monthly income of adult household members and the monthly housing cost of an acquired and replacement dwelling;

(c) A description of the business or farm operation being conducted, whether a displaced person relocated or discontinued, and the average monthly cost of the acquired and replacement facilities;

(d) A description of a dwelling, habitable space, number of rooms and bedrooms, and the type of construction;

(e) A description of relocation needs and preferences;

(f) Evidence that a displaced person received a pamphlet entitled,“Wisconsin Relocation Rights,” and the date received;

(g) A copy of a written notice as specified under this chapter or otherwise given to a displaced person;

(h) Relocation service and assistance provided and the date;

(i) Referral to a replacement dwelling, business or farm operation, including the date, address, and sale or rental price;

(j) A copy of an occupancy agreement for the period after acquisition;

(k) A copy of a replacement property inspection document with the inspection date, description of a property and its condition;

(L) Type and amount of each relocation payment made;

(m) A copy of a relocation claim and supporting documentation and related documents for determining eligibility for or an amount of a payment, evidence of payment, and correspondence relating to a claim;

(n) A copy of an appeal and an explanation of the action taken to resolve the appeal, and the final determination;

(o) A copy of individual relocation case reports or other correspondence with the department;

(p) The agency representative who provided relocation assistance.

(3) Records available for inspection. Property acquisition and relocation records shall be available for inspection by the department, and any person as specified under the Wisconsin Open Records Law, ss. 19.31 to 19.39, Stats.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Subchapter II Relocation Plan

Wis. Admin. Code § Adm 92.24 Purpose {#sec-adm-92.24 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.24}

The purpose of a relocation plan is to assure that an agency will provide adequate relocation payments and services and to determine whether displaced persons can be satisfactorily relocated. The department may not approve a relocation plan unless an agency submits evidence and assurances that relocation payments and services provide the following:

(1) Displaced persons shall have an opportunity to occupy comparable, decent, safe and sanitary replacement housing;

(2) Displaced business, farm operation or nonprofit organizations shall have an opportunity to occupy a comparable replacement and shall be assisted in reestablishing with a minimum of delay and loss of earnings;

(3) Prompt and complete relocation payments will be made;

(4) Project and program activities are designed to minimize displacement hardship;

(5) Persons covered under Wisconsin’s Open Housing Law shall be assisted to ensure equal opportunity to obtain housing from within a community’s total housing supply.

(6) Persons shall receive equal treatment in the relocation process;

(7) Persons shall be given a reasonable time to move, and may not be required to move unless a comparable replacement is provided for or available;

(8) Persons shall receive assistance consistent with needs, including referrals for social service, job and housing counseling, and transportation to available replacement dwellings.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.26 Time of plan submission {#sec-adm-92.26 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.26}

(1) Agency with eminent domain power. An agency vested with eminent domain power, or undertaking a project where such power exists, shall file a relocation plan and receive approval in writing from the department before proceeding with initiation of negotiations on any project which may involve displacement of a person.

(2) Agency without eminent domain power. An agency undertaking a project where the power of eminent domain does not exist, shall submit and receive approval of a relocation plan from the department, before a property is acquired for the project, provided:

(a) Any option taken or offer to purchase made by the agency is conditioned upon receipt of relocation plan approval from the department before a property is acquired, and

(b) Tenants who occupy a property and who may be required to move, are contacted by the agency within 7 days after all contingencies have been removed from an option or an accepted offer to purchase. Such contact shall be for the purpose of informing a tenant of any relocation payments and services available and to obtain information for the purpose of preparing a relocation plan.

Note: The purpose of this alternative method of submitting a relocation plan is to ensure that agencies without the power of eminent domain, who are unable to adequately plan for relocation before the project has sufficiently developed to the implementation stage, comply with relocation planning requirements as soon as feasible and before an agency is legally or financially committed to the acquisition of a property where displacement may occur.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (intro.), cr. (2), Register, November, 1989, No. 407, eff. 12-1-89.

Wis. Admin. Code § Adm 92.28 Contents of relocation plan {#sec-adm-92.28 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.28}

A relocation plan shall include the following elements in sufficient detail to assess whether relocation can be satisfactorily accomplished:

(1) Project description. The name, purpose, location, overall project activity, administrative organization and staffing for relocation assistance, type and occupancy status of displacement property and a timetable for project implementation;

(2) Relocation program standards. A statement regarding whether or not local ordinances or regulations establish standards meeting those specified under this chapter for decent, safe and sanitary housing, or whether another regulation requires the agency to provide relocation benefits in excess of those specified under this chapter.

(3) Competing displacement. A description and analysis of any other private and public displacement activities in the area which may compete for replacement resources;

(4) Relocation feasibility analysis. An identification and description of displaced persons, a description of the property occupied, an identification and assessment of available replacement resources, a correlation of replacement resources with a person’s needs, financial means, and an estimate of relocation payments;

(5) Alternative relocation plan. An alternative relocation plan when existing replacement resources are insufficient to meet a person’s needs;

(6) Relocation assistance service. The relocation services to be provided;

(7) Relocation payment. The procedure for processing a claim to assure prompt and complete payment;

(8) Property management. The policy for continued occupancy and eviction;

(9) Relocation grievance. The procedure for resolving a relocation appeal;

(10) Assurance. A statement by the agency head or designee that persons to be displaced shall be relocated as specified in the approval plan and this chapter;

(11) Project map. A map identifying each property to be acquired and the project boundary;

(12) Photograph. A photograph of each improved property to be acquired.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (intro.) and (1), Register, November, 1989, No. 407, eff. 12-1-89.

Wis. Admin. Code § Adm 92.29 Small projects relocation plan {#sec-adm-92.29 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.29}

A small projects relocation plan for projects having less than 3 displacements may be submitted in lieu of a complete relocation plan, and shall consist of items specified in s. Adm 92.28 (1), (4) and (10). A small projects relocation plan shall be submitted in a format approved by the department.

History

Cr. Register, November, 1989, No. 407, eff. 12-1-89; correction made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.30 Data for plan development {#sec-adm-92.30 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.30}

An agency shall obtain the following data for plan development:

(1) Information from an interview regarding a person’s needs, characteristics, present occupancy and relocation preferences shall form the basis for a plan. Other reliable information may be substituted when a person is unable to provide the information or cannot be contacted after repeated attempts;

(2) Replacement housing, business or farm operations listed in the plan shall be drawn from properties available at the time of plan development. An agency may use reliable data on past sales and rental activity in estimating resources to be available when there are not enough available properties at the time of plan development.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Subchapter III Relocation Assistance Services

Wis. Admin. Code § Adm 92.38 General {#sec-adm-92.38 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.38}

An agency shall provide relocation assistance to a person as specified under this chapter and commensurate with individual need, whenever the acquisition of property for a project will result in the displacement of a person.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.40 Services to be provided {#sec-adm-92.40 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.40}

An agency shall provide displaced persons with the following services:

(1) Advice on eligibility requirements and the availability of relocation payments and services;

(2) Advice on rehousing and relocation options based on a personal interview to obtain a person’s housing needs and relocation preferences;

(3) Current and continuing information and referral to replacement sales and rental housing, including any government assisted homeownership, rehabilitation or rental housing programs for which a person may qualify;

(4) Current data on security deposit cost, closing cost, typical down payment required, interest rate and financing terms, maps indicating location of schools, churches, parks, playgrounds, shopping facilities and public transportation routes when applicable;

(5) Information on the agency’s relocation program and grievance procedure, local ordinances on housing, building codes, fair housing, housing consumer literature, shelter costs, homeownership and family budgeting;

(6) Advice to homebuyers on obtaining mortgage financing or a land contract and submission of offers to purchase, credit report, appraisal and survey. Advice to renters on tenant or lease arrangements, tenant/landlord responsibilities, security deposit practices and rent costs;

(7) Assess replacement property to determine its condition and adequacy, before referral;

(8) Advise displaced persons that they will not have to move unless offered a comparable replacement within a reasonable period before displacement;

(9) Assistance in moving and transferring utility services;

(10) Referrals for employment, training, health, welfare, legal aid, and related programs, when necessary;

(11) Relocation services which result in equal treatment for persons regardless of sex, race, color, disability, religion, national origin, sex or marital status of a person maintaining a household, lawful source of income, sexual orientation, age, ancestry or a person’s status as an owner or tenant;

(12) Ensure that during the time between acquisition and displacement a property occupied by a displaced person is free of any immediate life threatening conditions, unless an existing code requires a higher maintenance standard. An agency may temporarily relocate an occupant as an alternative to correcting such life threatening conditions.

(13) Assistance in preparing and filing a relocation claim;

(14) Consult with a business or farm operator to determine relocation needs and preferences, land and building square footage required, traffic patterns, market demand and retention of existing clientele, replacement cost limitations, employee needs, operating modifications and other factors for successful reestablishment;

(15) Current and continuing information and referrals to suitable commercial replacement sales and rental sites and facilities;

(16) Current data on the cost of comparable property and leased space, growth potential in various areas, industrial sites, zoning ordinances, applicable code restrictions and permit requirements, and other data to assist a person in making an informed decision regarding relocation or discontinuance of a business or farm operation;

(17) Referrals to financial institutions, government agencies, and others offering assistance to business or farm operations;

(18) Referrals and advice to assure that low income and minority persons have equal opportunity in selecting a replacement dwelling from the total housing market, thereby facilitating desegregation and economic and racially inclusive patterns of occupancy. Low income and minority persons shall be informed of housing opportunities outside of low income and minority neighborhoods. An agency shall provide, or secure through contract with fair housing or civil rights groups, affirmative assistance that includes, as a minimum:

(a) Services necessary to familiarize low income and minority persons with nonimpacted neighborhoods including transportation, escort to brokers or rental offices, and counseling and assistance in obtaining available services which may be required;

(b) Services necessary to guard against housing discrimination by a seller, broker, landlord, rental agent, or financial institution on the basis of sex, race, color, disability, religion, national origin, sex or marital status of a person maintaining a household, lawful source of income, sexual orientation, age or ancestry;

(d) Assistance in filing an application or complaint for administrative or judicial relief when housing discrimination is alleged.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; CR 21-110: am. (11), (18) (b) Register June 2022 No. 798, eff. 7-1-22.

Wis. Admin. Code § Adm 92.42 Fair rental charge {#sec-adm-92.42 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.42}

Rent charged to an occupant for use of a property between the date of acquisition and the date of displacement may not exceed the economic rent, the rent paid by a tenant to the former owner or the occupant’s financial means if a dwelling, whichever is less. A displaced person shall have rent free use of the property for 30 days beginning with the next first or fifteenth day of the month after title vests in an agency, whichever is sooner.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.44 Local relocation office {#sec-adm-92.44 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.44}

There shall be a relocation office convenient to public transportation or within walking distance of a project when the needs of displaced persons justify it. The office shall be open during hours convenient to displaced persons, including evening hours when necessary.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.46 Termination of relocation assistance {#sec-adm-92.46 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.46}

Relocation assistance and services to a displaced person shall continue for 2 years after displacement or until relocation has been completed. An agency shall provide relocation assistance until:

(1) A displaced person moves to a suitable replacement property, or discontinues a business or farm operation, and receives relocation payments;

(2) A diligent effort was made to locate a displaced person whose whereabouts are unknown;

(3) A displaced person moves to not decent, safe and sanitary housing or to a business or farm operation not in compliance with applicable codes, and refuses efforts by an agency to correct deficiencies or accept other referrals;

(4) A displaced person refuses to accept suitable replacement referrals. In the event of continuous refusal to admit an agency representative for relocation assistance, who visits the occupant at convenient times, and has whenever possible, given notice of intention to visit the occupant, an agency shall make a diligent effort to communicate with a person before terminating assistance.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Subchapter IV Relocation Moving Payments

Wis. Admin. Code § Adm 92.50 General {#sec-adm-92.50 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.50}

An agency shall pay a person for the following moving and related expense:

(1) Moving a person and personal property from a displacement property;

(2) Moving a fixture when a person retains ownership provided the fixture is necessary for reestablishment of a business or farm operation and cannot otherwise be replaced within the maximum replacement payment under s. Adm 92.90.

(3) Moving costs, when an acquisition of real property used for a business or farm operation causes a person to vacate a dwelling or other real property not acquired, or in moving personal property from other real property not acquired;

(4) Moving costs for a residence and a business or farm when a person operates a business or farm and also resides on the property.

(5) One move, except the cost of a temporary move and a final move shall be paid when a hardship exists or when approved by an agency.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1), Register, November, 1989, No. 407, eff. 12-1-89; correction in (2) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.52 Standard for actual and reasonable moving expense {#sec-adm-92.52 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.52}

(1) Eligible moving expense. A person who claims a moving payment based on actual and reasonable cost shall be eligible for the following expenses:

(a) Transporting a person and personal property from an acquired site to a replacement site. Transportation expense beyond 50 miles is ineligible, unless an agency determines that a hardship exists or relocation could not be satisfactorily accomplished within this distance. Exception shall be allowed by an agency to the nearest adequate and available site;

(b) Packing, crating, unpacking and uncrating personal property;

(c) Disconnecting, dismantling, removing, reassembling and reinstalling relocated and substitute machinery, equipment, appliances and other items not acquired, including reconnection of utilities to the items, and modification necessary to adapt the property to a replacement structure which is not a substantial real property improvement;

(d) Storage of personal property, except on property owned by a displaced person, for a period not to exceed 12 months unless a longer period is determined necessary by the agency;

(e) Advertisement and obtaining bids for moving;

(f) An insurance premium for the replacement value of property lost or damaged while in storage or transit;

(g) The replacement value of property lost, stolen or damaged in moving, not caused by the fault or negligence of a displaced person, agent, or employee, if insurance coverage was not reasonably available;

(h) A nontransferable license, permit or certification obtained by a displaced person when necessary to reestablish. The cost may not exceed either the cost for one year, or the cost of the remaining useful life of the document, as determined by the issuing authority, whichever is less;

(i) A professional service or consultant fee for planning, moving or installing relocated and substituted property at a replacement location;

(j) Time to prepare an inventory of items to be moved when the agency is unable to perform an inventory;

(k) Relettering a sign and replacement of obsolete stationery;

(L) Direct loss of tangible personal property for a nonresidential displaced person under s. Adm 92.56 (2);

(m) Searching for a replacement location for a business or farm operation under s. Adm 92.56 (3);

(n) The amount actually paid for services in preparing and documenting a claim for a relocation payment or a business loan application not to exceed $100 for a residential occupant or $500 for a business or farm operation;

(o) Related move expenses determined necessary by the agency.

(2) Ineligible moving expense. A person who claims a moving payment based on actual and reasonable cost may not receive payment for the following expenses:

(a) Moving a structure or property improvement acquired as part of the real property;

(b) Additional expense of residing or operating a business or farm operation in a new location except as provided under s. Adm 92.67;

(d) Loss of goodwill, clientele, profit, or a trained employee;

(e) Personal injury;

(f) The cost of searching for a replacement dwelling.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1) (g) and (2) (b), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1) (L), (m), (2) (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.54 Moving payment — residential {#sec-adm-92.54 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.54}

An agency shall pay a person displaced from a dwelling for the cost of moving the person and personal property as specified under s. Adm 92.52. A person who moves from a primary or seasonal dwelling may claim a payment based on the fixed payment schedule under sub. (2).

(1) Actual and reasonable moving expense.

(a) Commercial move. An agency shall pay a person the actual and reasonable cost for a commercial move when properly supported by receipts. An agency may pay the mover directly when all parties agree.

(b) Contract with mover. An agency shall provide a list of commercial movers to a displaced person and may contract with and pay a mover selected by the displaced person.

(c) Self-move. An agency shall pay a person displaced from a dwelling for a self-move when costs are properly supported by receipted bills. The payment may not exceed the estimated cost of a commercial move.

(d) Cost of moving a person. The cost of moving a person to a new location may not exceed 20 cents per mile, or a normal rate when commercial transportation is used. Food and lodging are eligible expenses when necessary for the move.

(e) Cost of moving a mobile home. An agency shall pay an owner of a mobile home for the actual and reasonable cost to move the mobile home and other personal property, including detaching and reattaching fixtures, utilities and appliances. An occupant of a mobile home may elect to claim under the fixed payment schedule in sub. (2).

(2) Fixed payment schedule. An agency shall, in lieu of payment under sub. (1), pay a person a moving expense and dislocation allowance payment based on the following schedule of furnished or unfurnished rooms in a dwelling or seasonal residence, except that one or more additional rooms shall be added for property stored in a basement, attic, garage or outbuilding. The actual moving cost may not be considered in computing a fixed payment, nor is it required that a person document actual cost when claiming a fixed payment.

(3)

(a) Two or more families, or a family and an unrelated individual, who move to separate dwellings, shall each be reimbursed either on an actual cost basis or on the fixed payment schedule. A fixed payment for each shall be based on the number of rooms occupied by each, plus rooms shared.

(b) Two or more individuals shall be treated as one person for moving cost purposes. There shall be one prorated actual move cost payment based on the actual cost of each person. Two or more individuals who claim under the fixed payment schedule, shall receive one payment based on the total number of rooms occupied. Payment shall be prorated equally among the individuals unless they specify differently.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (intro.), (1) (e), (3) (a) and (b), renum. (2) (intro.) to be (2) and am., r. (2) (a) to (d) and (3) (c), cr. Table 222.54, Register, November, 1989, No. 407, eff. 12-1-89; correction in (intro.) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (intro.) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.56 Moving payment-business {#sec-adm-92.56 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.56}

An agency shall pay a displaced business person for actual moving and related expense under sub. (1), actual direct loss of tangible personal property under sub. (2), and actual expense in searching for a replacement business as specified under sub. (3). A displaced business may be eligible for a fixed payment in lieu of actual moving expenses under sub. (4).

(1) Actual and reasonable moving expense.

(a) Commercial move. An agency shall pay a person for the expense of a commercial move as specified under s. Adm 92.52. The expense shall be supported by receipts and an inventory of the items moved.

(b) Self-move.

A person shall have the option of taking responsibility for all or a part of the move and being paid an amount equal to the lower of 2 acceptable bids or estimates obtained by the agency or prepared by qualified staff. An agency shall also pay a person for expenses specified under s. Adm 92.52 when not included in a bid or estimate.
An agency shall pay a person for actual and reasonable expenses, supported by evidence of expense, when a bid or estimate cannot be obtained or when a large fluctuation in inventory prevents bidding. The following expenses may be included in a self-move in addition to items specified under s. Adm 92.52:

a. A hired truck and equipment;

b. Gas and oil when a vehicle or equipment owned is used in the move and the cost of insurance and depreciation directly allocable to the move;

c. Wages for persons who assist in the move based on hours worked, not to exceed the hourly rate paid by commercial movers in the area;

d. Wages for supervisory personnel who are regular employees for time spent in overseeing the move.

An agency may pay a person without obtaining bids or estimates and without supporting evidence of expenses when it is estimated that the cost of the move will not exceed $1,000.
A person who self-moves shall certify that the items listed were moved. The inventory of items listed as moved may not deviate to any appreciable extent from the original inventory without a corresponding increase or decrease in the agreed payment. An increase in the payment shall be based on a moved inventory normal to business operations.

(c) Low value-high bulk property. The agency shall pay the difference between the estimated sales value and the replacement cost of junk, sand, gravel, metal, or other low value and high bulk property used in the operation, when the estimated cost of moving is disproportionately higher than the value.

(2) Direct loss of tangible personal property. An agency shall pay a person for direct loss of tangible property which a person may move but does not, provided the person makes a good faith effort to sell the property. Selling expense and sale proceeds shall be supported by receipts or records. Payment shall be determined as follows:

(a) The payment, when an operation is to be reestablished and an item of personal property used in the operation is not moved but replaced with a comparable item at the new location, shall be the lesser of:

The replacement cost, minus the net proceeds of the sale. Trade-in value may be substituted for net proceeds when applicable;
The estimated cost of moving the item to a replacement site;

(b) The payment, when an operation is to be discontinued or an item is not replaced in a reestablished operation, shall be the lesser of:

The difference between the market value of the tangible property for continued use at its location before displacement, less the net proceeds of the sale;
The estimated cost of moving the item to a replacement site;

(c) A payment for loss of an item abandoned because it wasn’t sold may not be more than its market value for continued use before displacement, or the estimated cost of moving the item, whichever is less, plus the cost of the attempted sale, irrespective of the cost to an agency for removing the item.

(d) An agency shall pay a person for direct loss of tangible property when it is abandoned and no effort was made to sell the property, provided the agency determines a sale was not practicable.

(e) The cost to an agency for removal of tangible property may not be considered an offsetting charge against other relocation payments.

(3) Actual and reasonable expense in searching for a replacement business. An agency shall pay a person for actual and reasonable expense in searching for a replacement business. The expense shall include transportation, food and lodging away from home and the value of time spent in searching, including any fee paid to a real estate agent or broker, providing a commission was not paid to the agent or broker by the seller.

(a) Receipted bills. All expense claimed except the value of time spent in searching shall be supported by receipts.

(b) Time spent in searching. Payment for time spent in searching may not exceed $30 per hour, unless approved by the agency. A certified statement of time spent, the hourly rate, and the replacement locations considered, shall support a claim.

(c) Payment amount. A search payment may not exceed $1,000, unless it is determined by an agency that a greater amount is necessary.

(4) Payment in lieu of actual and reasonable moving expense. An agency shall pay a person who discontinues or relocates a business, at a person’s option, a fixed payment in lieu of actual moving and related expense, and reestablishment expenses under s. Adm 92.67. The fixed payment shall be equal to the average annual net earnings of the business, but not less than $1,000, nor more than $20,000, if the following requirements are met:

(a) Loss of patronage. A person is unable to relocate without a substantial loss of existing patronage as specified under s. Adm 92.01 (18). A business shall be assumed to meet the loss of patronage test, unless the agency demonstrates that the business will not suffer a substantial loss of existing patronage, and shall consider the following:

The type of business and nature of the clientele may require a location near the displacement property and a suitable replacement site may not be available;
The replacement sites may create a significant financial burden on the business not otherwise compensable;
A person may incur substantial uncompensated expense, in down-time, the need to borrow additional capital, the allocation of other resources for a new operation, substantial change in method of operation or related expense;
A person is unable to relocate to the rental properties available and remain competitive;
The age or physical condition of a person or the need to be near a residence may make reestablishment of the business impractical.

(b) Number of businesses. The business is not part of a commercial enterprise having more than 3 other establishments not being displaced and engaged in the same or similar business under the same ownership.

(c) Rental business. The business is not operated at the displacement dwelling or site solely for the purpose of renting to others.

(d) Payment determination. The payment shall be based on the average annual net earnings of the business as specified under s. Adm 92.01 (3).

(e) In business less than 2 years. A business in operation for less than 2 years, shall qualify for a payment. The payment shall be based on a 12 consecutive month period, or by dividing the net earnings by the number of months in operation when operated less than 12 consecutive months.

(f) Owner verification of income. A business owner shall verify net earnings if claiming a payment in excess of $1,000. Income tax records shall be acceptable evidence of earnings.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1) b. 1., (4) (intro.) and (a) 1. and (b), renum. (4) (c) to (e) to be (4) (d) to (f) and am. (4) (f), cr. (4) (c), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1) (a), (b) 1., 2. (intro.), (4) (intro.), (a) (intro.), (d) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.58 Optional move payment — business {#sec-adm-92.58 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.58}

(1) General. An agency shall pay a person who moved and was paid a moving expense as specified under s. Adm 92.56 (1), (2) or (3), a payment-in-lieu under s. Adm 92.56 (4) provided the business suffers a substantial loss of patronage and discontinues the business within 2 years of the date of payment for moving expense.

(2) Computation of payment. The optional move payment shall be the difference, if any, between the payment-in-lieu as specified under s. Adm 92.56 (4) and the moving payment received.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.60 Moving payment — farm operation {#sec-adm-92.60 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.60}

(1) General. An agency shall pay a person displaced from a farm operation for actual moving and related expense, direct loss of tangible personal property, and actual expense in searching for a replacement farm operation, as specified under s. Adm 92.56 (1), (2) and (3).

(2) Payment in lieu of actual and reasonable moving expense. An agency shall pay a person who discontinues or relocates a farm operation, at the person’s option, a fixed payment in lieu of actual moving and related expense and reestablishment expenses under s. Adm 92.67. The fixed payment shall be equal to the average annual net earnings of the farm operation, but not less than $1,000, nor more than $20,000, if the following requirements are met:

(a) Entire farm affected. The entire farm operation is discontinued or relocated; or

(b) Partial acquisition. A farm operation shall be eligible in a partial taking, when:

The property remaining after the acquisition is no longer an economic unit for the same type of farm operation;
The acquisition caused displacement of a person from a farm operation on the remaining land; or
The acquisition caused substantial change in the nature of the farm operation.

(c) Payment determination. The payment shall be based on the average annual earnings of a farm operation as specified under s. Adm 92.01 (3).

(d) In operation less than 2 years. A farm in operation for less than 2 years shall qualify for a payment. The payment shall be based on a 12 consecutive month period, or by dividing the net earnings by the number of months in operation when operated less than 12 consecutive months.

(e) Owner verification of income. The farm operator shall verify net earnings if claiming a payment in excess of $1,000. Income tax records shall be acceptable evidence of earnings.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (2) (intro.), (b) 2. and (e), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) (intro.), (c) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.62 Moving payment — nonprofit organization {#sec-adm-92.62 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.62}

(1) General. An agency shall pay a displaced nonprofit organization for actual moving and related expense, direct loss of tangible personal property, and actual expense in searching for a replacement facility, as specified under s. Adm 92.56 (1), (2) and (3).

(2) Payment in lieu of actual moving expense. An agency shall pay a discontinued or relocated nonprofit organization at the organization’s option, a fixed payment in lieu of actual moving and related expense and reestablishment expenses under s. Adm 92.67. The fixed payment shall be equal to the average annual difference between gross revenues and administrative expenses for the 2 year period before displacement, but not less than $1,000, nor more than $20,000, if the organization is unable to relocate without a substantial loss of existing membership or clientele. A nonprofit organization is assumed to meet this test unless the agency demonstrates otherwise.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (2), Register, November, 1989, No. 407, eff.12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.64 Moving payment — outdoor advertising sign {#sec-adm-92.64 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.64}

(1) General. An agency shall pay a person displaced from an outdoor advertising sign for actual moving and related expense, direct loss of tangible personal property, and the actual expense in searching for a replacement site as specified under s. Adm 92.56 (1), (2) and (3).

(2) Sign must be conforming. An agency may not pay a claim for moving expense when a sign is relocated to a site in violation of law.

(3) Sign a part of other displaced business. The requirements in this section do not apply to an advertising sign owned by and located on a business or farm operation being displaced. The sign, including a sign eligible under s. Adm 92.50 (3), are considered items of the business or farm operation and shall be included as part of the moving expense payment.

(4) Direct loss of personal property. An agency shall pay a person for direct loss of tangible property when a person does not relocate a sign. The payment shall be the depreciated reproduction cost of the sign as determined by the agency or the estimated cost of moving the sign, whichever is less.

(5) Payment in lieu of actual and reasonable moving costs. At the person’s option, an agency shall pay a person who discontinues or relocates an outdoor advertising sign, a fixed payment in lieu of actual moving and related expenses and reestablishment expenses under s. Adm 92.67. The fixed payment shall be equal to the average annual net earnings of the sign, but not less than $1,000 nor more than $20,000, if the person meets the loss of patronage requirement under s. Adm 92.56 (4) (a).

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; cr. (5), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (3), (5) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.66 Multiple occupants of a property {#sec-adm-92.66 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.66}

An agency shall, in determining whether more than one business or farm is eligible for relocation payments, consider all pertinent factors including the extent to which:

(1) The same facilities and equipment are shared;

(2) Substantially identical or interrelated business or farm functions are carried out and financial affairs are commingled;

(3) The entities are held out to the public, and to those customarily dealing with them, as one operation;

(4) The same person, or closely related persons own, control or manage the affairs of the entities.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86.

Wis. Admin. Code § Adm 92.67 Reestablishment expenses—non residential moves {#sec-adm-92.67 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.67}

(1) General. In addition to the payments available under s. Adm 92.56 (1), (2), and (3), a business, farm or nonprofit organization may be eligible to receive a payment, not to exceed $10,000, for expenses actually incurred in relocating and reestablishing at a replacement site.

(2) Eligible expenses. Reestablishment expenses may include, but are not limited to the following reasonable and necessary costs, as determined by the displacing agency:

(a) Repairs or improvements to the replacement real property as required by applicable federal, state or local codes or ordinances.

(b) Modifications to the replacement property to accommodate the business operation or make replacement structures suitable for conducting the business.

(d) Provision of utilities from the right-of-way to improvements on the replacement site.

(e) Redecoration or replacement of soiled or worn surfaces at the replacement site, such as paint, panelling, or carpeting.

(f) Licenses, fees and permits when not paid as part of moving expenses.

(g) Feasibility surveys, soil testing and marketing studies.

(h) Advertisement of the replacement location.

(i) Professional services in connection with the purchase or lease of a replacement site.

(j) Increased costs of operation during the first 2 years at the replacement site for lease or rental charges, personal or real property taxes, insurance premiums, or utility charges.

(k) Impact fees or one-time assessments for anticipated heavy utility usage.

(L) Other items that the agency considers essential for reestablishment of the business.

(3) Ineligible expenses. Reestablishment expenditures that are not considered to be reasonable and necessary relocation costs include the following nonexclusive list:

(a) Purchase of capital assets, such as office furniture, filing cabinets, machinery or trade fixtures.

(b) Purchase of manufacturing materials, production supplies, product inventory or other items used in the normal course of business operations.

(c) Interior or exterior renovations at the replacement site which are for aesthetic purposes, except as provided in sub. (2) (e).

(d) Interest on money borrowed to make the move or purchase the replacement property.

(e) Payment to a part-time business in the home which does not contribute materially to the household income.

(4) Limitations. A person shall be eligible for reasonable and necessary reestablishment expenses, as determined by the agency, if such expenses are not otherwise paid as part of a replacement business or farm payment under s. Adm 92.90. A person who is eligible to receive a replacement business or farm payment of at least $10,000 under s. Adm 92.90 is not eligible for reestablishment expenses under this section, except for items in sub. (2) (c), (d), (f), (h), (k) and (L).

History

Cr. Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; am. (2) (c), (h) and (j), r. (3) (f), Register, March, 1997, No. 495, eff. 4-1-97; correction in (1), (4) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Subchapter V Replacement Housing Payment

Wis. Admin. Code § Adm 92.68 General {#sec-adm-92.68 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.68}

This section describes the general requirements for a replacement housing payment to a person displaced from a dwelling. A person is not required to relocate to the same owner or tenant occupancy status, but has other options as specified under this subchapter. An agency shall make one replacement payment for each dwelling unit, except in the case of joint occupancy of a single family dwelling as specified under sub. (7) (d).

(1) Eligibility requirements.

(a) Persons who meet length of occupancy requirements. An owner or tenant occupant displaced from a dwelling shall be eligible for a replacement housing payment under this subchapter, if the person occupied the dwelling 180 days before initiation of negotiations if an owner, or 90 days if a tenant, except that a 90-day owner may qualify for a tenant replacement payment.

(b) Persons who do not meet length of occupancy requirements. A person who occupies real property before its acquisition, but does not meet the length of occupancy requirements in par. (a), may receive a payment equal to the difference between 30% of the person’s average monthly income and the monthly housing costs of a replacement dwelling, for a period of 48 months, if a replacement rental is not otherwise available within 30% of the person’s average monthly income.

(2) Delayed occupancy for construction and rehabilitation. A person who contracts for the construction or rehabilitation of a replacement dwelling, but cannot occupy it within the time period as specified under s. Adm 92.70 (1) (b), shall be considered to have purchased and occupied the dwelling as of the date of the contract. A replacement payment may be deferred until occupancy, provided the agency makes payment into an interest-bearing escrow account for release to a person upon occupancy. An agency may pay the person before occupancy provided the agency is assured that occupancy will occur.

(3) Prior ownership of replacement dwelling or land. An agency shall make a replacement payment to a person based on a dwelling or site owned by the person before acquisition, if the person occupies the replacement within the time limit as specified under s. Adm 92.70 (1) (b), and the dwelling is decent, safe and sanitary. The fair market value of the land and the dwelling at the time of displacement shall be used as the actual cost in determining the payment.

(4) Housing inspection.

(a) Person moves to decent, safe and sanitary. An agency shall make a replacement payment to a person after finding a replacement to be decent, safe and sanitary as specified under s. Adm 92.04.

(b) Person moves to non-decent, unsafe or unsanitary.

An agency shall assist in correcting deficiencies and, when necessary, refer a displaced person to other decent, safe and sanitary housing, before terminating assistance or denying a replacement housing payment.
An agency shall notify a displaced person in writing within 10 days of an inspection regarding deficiencies to be corrected to receive payment, and shall make the payment when deficiencies are corrected, or a person moves to another decent, safe and sanitary dwelling.

(5) Statement of eligibility to a lender. An agency, upon request of a person to be relocated, shall inform an interested person or mortgage lender that the person shall be eligible for a replacement payment upon the purchase or rent and occupancy of a decent, safe and sanitary dwelling within the applicable time limit.

(6) Advance payment in a condemnation case. An agency shall promptly pay a replacement housing payment. An advance payment shall be made when an agency determines the acquisition payment will be delayed because of condemnation proceedings. An agency’s maximum offer shall be used as the acquisition price for calculating the payment. The payment shall be contingent on a person signing an affidavit of intent that:

(a) The agency shall re-compute a replacement payment using the acquisition amount set by the court;

(b) The person shall refund to an agency the excess amount from the judgment when the amount awarded as the acquisition amount plus the advance payment exceeds the amount actually paid for a replacement or an agency’s determined cost of a comparable replacement. A person is not required to refund more than the advance payment. A payment shall be made after condemnation proceedings are completed when a person does not sign an affidavit.

(7) Carve-out and modification of replacement payment computation.

(a) Complete acquisition.

Typical size lot. The maximum replacement payment shall be the selling price of a comparable dwelling on a lot typical for the area, less the price of the acquired dwelling and the site, when a dwelling is located on a lot typical for the area.
Larger than typical size lot. The maximum replacement payment shall be the price of a comparable dwelling on a lot typical for the area, less the price of the acquired dwelling plus the price of that portion of the acquired land which represents a lot typical for the area, when the acquired dwelling is located on a lot size larger than typical for the area.

(b) Partial acquisition.

Typical size lot. The maximum replacement payment shall be the selling price of a comparable dwelling on a lot typical for the area, less the value of the entire property, when an acquired dwelling is located on a lot typical for the area. An agency may purchase the remainder of the lot when requested by an owner.
Larger than typical size lot. The maximum replacement payment shall be the selling price of a comparable dwelling on a lot typical for the area, less the value of that portion which represents the homesite lot typical for the area, when the dwelling is located on a lot larger than typical for the area. An agency may purchase the remainder of the lot when requested by an owner.
Remainder property. If a buildable residential lot or an uneconomic remnant remains after a partial taking and the owner of the remaining property refuses to sell the remainder to the agency, the market value of the remainder may be added to the acquisition cost for the purposes of computing the payment.

Note: Under ss. 32.05 (3m) and 32.06 (3m), Stats., an agency is required to offer to purchase a remainder if it is an uneconomic remnant.

(c) Dwelling on land with higher and better use. The maximum replacement payment shall be the selling price of a comparable dwelling on a lot typical in the area, less the price of the acquired dwelling, and the price of that portion which represents a lot typical for residential use in the area, when the market value is based on a higher and better use then residential.

(d) Multiple occupancy of a dwelling.

An agency shall make one replacement payment when there are 2 or more families occupying a dwelling, except when there is no comparable dwelling available. A replacement payment shall be paid to each family when a comparable is not available. The payments shall be based on housing comparable to that occupied by each family plus space shared by other persons. The acquisition price or rent used for payment computations shall be the amount each person receives from the total property acquisition payment, or when tenants, the amount each pays toward the total rent.
Two or more individuals who occupy a dwelling unit, shall be considered as one person for a replacement payment. An agency shall pay individuals a pro rata share of one payment, based on a comparable dwelling, regardless of whether the individuals relocate together or separately, except that payment shall be made to persons moving to decent, safe and sanitary housing.

(e) Joint residential and business use.

An agency shall make a replacement housing payment to a person displaced from a dwelling separately from a payment required for a business or farm on the same property.
An agency shall compute a replacement housing payment for a person who occupied one unit of a multi-family or a mixed-use property provided:

a. The comparable property shall be the same as a property acquired. For example, a comparable shall be a triplex when the acquired property is a triplex. Dwellings of the next lower density shall be used when there is no comparable. A single-family dwelling shall be used as the comparable for a person’s dwelling when there are no comparable multi-family or mixed-use dwellings;

b. The carve-out value of the dwelling shall be used for a replacement housing determination, not the market value of an entire property. A replacement housing payment is the difference, if any, between the value of the acquired dwelling unit and the value of a comparable dwelling unit in the most comparable property.

(8) Nonprofit organization. A nonprofit organization or a religious society which meets the eligibility requirements applicable for a residential tenant or owner shall be eligible for a replacement housing payment under this subchapter. A nonprofit organization or religious society eligible for and claiming a replacement business payment under this subchapter may not receive a payment under subch. VI.

(9) Payment amount. A differential payment, an increased interest payment and an incidental expense payment may not exceed $25,000 for a 180-day owner-occupant, and a rent differential or downpayment may not exceed $8,000 for a 90-day occupant, except for the following:

(a) An agency may exceed the amounts in sub. (9) if necessary to obtain a comparable replacement dwelling;

(b) An agency may provide assistance in addition to that required in sub. (9) if a comparable dwelling is unavailable within a person’s financial means. The additional assistance may include one or more of the following methods:

A replacement payment in excess of the amounts in sub. (9);
An offer of government assisted housing which is available and adequate for the needs of the displaced person;
Rehabilitation of or addition to an existing dwelling;
Provision of a direct loan requiring regular amortization or a deferred repayment;
Relocation and rehabilitation of a dwelling;
Purchase of land or a replacement dwelling by the displacing agency with subsequent sale or lease back to, or exchange with, a displaced person;
Construction of a new dwelling.
Change in occupancy status of the displaced person from tenant to homeowner when it is more cost effective to do so.

(c) An agency may limit payment to the amount necessary to relocate to a comparable replacement within one year from the date the person is paid for the displacement dwelling, or one year from the date the person is initially offered a comparable replacement dwelling and advised of replacement payment entitlements, whichever is later.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; renum. (1) to be (1) (a) and am., cr. (1) (b), (9) (b) 8. and (c), am. (3), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; am. (9) (b) (intro.), Register, March, 1997, No. 495, eff. 4-1-97; correction in (2), (3), (4) (a) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.70 180-day owner who purchases {#sec-adm-92.70 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.70}

An agency shall pay an owner-occupant of a dwelling who purchases a replacement, a payment for the differential cost to purchase a comparable dwelling, for the loss of favorable financing on an existing mortgage or land contract in financing a replacement dwelling, and for expense incidental to the purchase. A payment shall be determined as follows:

(1) Eligibility requirements. A displaced person shall be eligible for a payment when the person:

(a) Owns and occupies the property for not less than 180 days immediately before the date of initiation of negotiations for the acquisition of the property, or the date of vacation when given a notice of intent to acquire, whichever is earlier;

(b) Purchases and occupies a decent, safe and sanitary replacement dwelling within one year from the date the owner received final payment for the acquired property or the date the owner vacates the acquired property, or an extended date established by the agency for good cause, whichever is later. For the purpose of this section a replacement dwelling is purchased when a person:

Acquires an existing dwelling;
Relocates or rehabilitates a dwelling owned or acquired;
Purchases a life estate in a retirement facility;

Note: The cost shall be the entrance fee plus the present worth of a monetary commitment in a retirement facility to the facility, but may not include a periodic service charge;

Contracts to build or builds a new decent, safe and sanitary dwelling on a site owned or acquired.

Note: Construction cost, including the value of labor furnished by a displaced person, shall be limited to that cost necessary to purchase a comparable dwelling.

(2) Differential amount payable. A differential amount payable is an amount, if any, when added to the acquisition payment for an acquired dwelling, equals an amount a person pays for a replacement, or an amount determined by an agency as necessary to purchase a comparable replacement, whichever is less. A replacement payment shall include the cost to modify a property to meet comparable standards or code requirements.

(3) Selection and cost of comparable and actual replacements. An agency shall determine the cost of a comparable replacement by analyzing 3 or more comparable replacement dwellings, and selecting the one that is the most comparable. Fewer may be analyzed if 3 are not available.

(a) An agency may adjust the asking price of the selected comparable if considered justified on the basis of local market conditions. The agency’s relocation plan shall specify if adjustments will be made for the project, the basis for this determination and the method of adjustment to be used.

(b) The cost of physical changes or improvements necessary to meet comparable standards in the selected comparable or the actual replacement shall be included in the maximum replacement payment.

(c) An agency shall select comparable dwellings from the neighborhood of a displaced person provided the area is not designated for governmental acquisition and displacement, or subject to adverse environmental conditions.

(d) An agency shall select comparable dwellings from adjacent or nearby neighborhoods in ascending order of cost when there are no comparable dwellings in the neighborhood of a displaced person.

(e) An agency, to promote racially integrated housing, may select comparable dwellings from an adjacent or nearby neighborhood having less concentrated racial composition, when desired by a displaced minority person.

(f) The selected comparable shall be equal to or better than the acquired property and a payment shall be based on new construction when there is no comparable dwelling available.

(4) Revision to selected comparable amount. An agency, upon request of a displaced person, shall offer a comparable dwelling within the maximum differential amount determined. Another comparable study shall be made to determine a new replacement payment when there is no comparable dwelling available except the new replacement payment may not be less than the original payment.

(5) Increased interest payment.

(a) General. An agency shall pay a displaced person for the increased interest expense and other debt service costs incurred in financing the purchase of a comparable replacement dwelling, if:

The acquired dwelling was encumbered by a bona fide mortgage or land contract;
The mortgage or land contract was executed in good faith not less than 180 days before initiation of negotiations to purchase the property;
All bona fide mortgages or land contracts that were valid liens on the displacement dwelling for at least 180 days before initiation of negotiations on the acquired dwelling shall be used to compute the increased interest payment.

(b) Payment computation. The increased interest payment shall be computed as follows:

The interest payment shall be an amount which will reduce the mortgage balance on the replacement dwelling to an amount which could be amortized with the same monthly payment for principal and interest as that for the mortgage or mortgages on the displacement dwelling, except that the payment for a person obtaining a mortgage that is less than the mortgage balance computed in the buydown determination, shall be prorated and reduced accordingly. In the case of a home equity loan, the unpaid balance shall be that balance which existed 180 days before the initiation of negotiations or the balance on the date of acquisition, whichever is less.
The amount paid by a person as points, loan origination or assumption fees, but not seller’s points, shall be based on the amount refinanced, not exceeding the amount which would have been paid had the original mortgage been refinanced, and shall be added to the amount as specified under subd. 1. The origination or assumption fee shall be limited to the fee normal for real estate transactions in the area.

(c) Interest rate on replacement dwelling mortgage. The interest rate on the mortgage for a replacement dwelling used in the computation may not exceed the rate typically charged by mortgage lenders in the area.

(d) Mortgage term. The payment shall be based on the remaining term of the mortgage or mortgages on the displacement dwelling regardless of the term on the new mortgage.

(e) Adjustment to interest payment amount.

Larger than typical size lot. The interest payment shall be reduced to the percentage ratio that the value of the typical residential portion is to the value of the entire property before acquisition, when a dwelling is located on a lot larger than typical for the area.
Multi-use property. The interest payment on multi-use property shall be reduced to the percentage ratio that the residential value of the multi-use property is to the value of the entire property before acquisition.
Dwelling on land with higher and better use. An agency shall compute an interest payment as specified under par. (b) when a dwelling is located on land where the fair market value is established on a higher and better than residential use, and when the mortgage is based on residential value. The interest payment shall be reduced to the percentage ratio that the estimated residential value of the land is to the value of the entire property before acquisition, when the mortgage is based on the higher use.

(f) Prompt payment. An agency shall advise a displaced person of the approximate amount of a refinancing payment as soon as the facts relative to a person’s current mortgages are known. If requested by the displaced person, the refinancing payment shall be made available at or near the time of closing on the replacement to permit reduction of the new mortgage amount.

(6) Incidental expense payment. An agency shall pay a person for actual and reasonable expense incurred incidental to the purchase of a replacement dwelling. The payment shall include the following:

(a) Legal, closing and related cost including title search, preparing conveyance contracts, notary fees, surveys, preparing drawings or plats and recording fees;

(b) Lender, appraisal or application fees, and loan origination or assumption fees that do not represent prepaid interest;

(d) Credit reports;

(e) Owner or mortgagee title insurance policy or abstract of title;

(f) Escrow agent fee;

(g) Other expense approved by an agency.

Note: The payment may not include a prepaid expense (e.g. taxes, water, fuel) or fee, cost, charge or expense which is part of a debt service or finance charge under 15 USC 1631-1641 and Regulation Z issued pursuant thereto by the board of governors of the federal reserve system.

(7) Owner-occupant retains dwelling. An owner-occupant may purchase the property back from an agency and move it to another location following receipt of payment for the acquired property, and when not inconsistent with project development. The replacement payment shall be determined as follows:

(a) Amount payable. The payment shall be the amount, if any, between the acquisition price and the cost to relocate the dwelling. The cost to relocate shall include the purchase-back price, the cost to acquire and develop a new site, or when moved to retained land, the market value of the residential lot, installing utility service, constructing a foundation, moving the dwelling, restoring it to comparable standards and other moving costs.

(b) Limitation. The differential payment under this subsection may not exceed the amount necessary to purchase a comparable replacement dwelling as specified under sub. (3), plus any increased interest or incidental expense payment due under subs. (5) and (6).

(8) Replacement payment conversion. An agency shall pay a person as specified under this section. A replacement payment for a prior move to a rental unit shall be deducted from the amount payable under this section. The combined payment may not exceed $25,000, unless a person is eligible for a payment in excess of $25,000 under s. Adm 92.68 (9).

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1) (b) (intro.), (5) (a) and (b) and (6) (b), r. and recr. (5) (d), cr. (5) (f), Register, November, 1989, No. 407, eff. 12-1-89; correction in (8) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (8) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.72 180-day owner who rents {#sec-adm-92.72 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.72}

(1) General. An agency shall pay a person who rents a replacement dwelling, and is eligible for a replacement payment as specified under s. Adm 92.68 (1), a rental assistance payment not to exceed $8,000 for 4 years.

(2) Computation of payment. The payment shall be computed as specified under s. Adm 92.78, except the economic rent of the acquired dwelling shall be used to compute the payment.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (2), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.74 90-day owner or tenant who purchases {#sec-adm-92.74 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.74}

(1) General. An agency shall pay a person who has occupied a dwelling for not less than 90 days before initiation of negotiations, an amount up to $8,000 for a downpayment on the purchase of a replacement dwelling and reimbursement for expenses incidental to purchase.

(2) Computation of down payment and incidental cost.

(a) An agency shall pay a person a downpayment assistance payment equal to a rental assistance payment computed as specified under s. Adm 92.78.

(b) An amount required to be paid by a person for incidental cost as specified under s. Adm 92.70 (6), shall be added to the amount as specified under par. (a).

(c) An agency shall pay a person who purchases and occupies a decent, safe and sanitary dwelling within one year after the date the person moves from the dwelling or the date the person receives payment for the acquired property, whichever is later. The agency may extend this period for good cause.

(3) Limitation.

(a) An agency may require that the full amount of the downpayment assistance payment be applied to the purchase price of the replacement dwelling or related incidental expenses, except that an agency may pay the downpayment assistance directly to a displaced person upon reasonable assurance that the displaced person will apply the payment toward replacement housing costs.

(b) A downpayment assistance payment to a 90-day owner may not exceed the amount the owner would have received if eligible under the 180-day occupancy provisions.

(c) An owner eligible for a payment as a 180-day owner under s. Adm 92.70 is ineligible for a downpayment assistance payment under this section.

(4) Owner retains dwelling. An agency shall pay a person who retains and moves an acquired dwelling, a replacement payment as specified under s. Adm 92.70 (7), except the amount may not exceed $8,000.

(5) Replacement payment conversion. An agency shall pay a person as specified under this section. A replacement payment for a prior move to a rental unit shall be deducted from the amount payable under this section. The combined payment may not exceed $8,000, unless a person is eligible for a payment in excess of $8,000 under s. Adm 92.68 (9).

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1), (2) (a) and (3), r. (2) (b), renum. (2) (c) and (d) to be (2) (b) and (c) and am., Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (2) (a), (b), (3) (c), (4), (5) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.76 90-day owner who rents {#sec-adm-92.76 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.76}

(1) General. An agency shall pay a person who has occupied a dwelling for not less than 90 days before initiation of negotiations, a rental assistance payment not to exceed $8,000 for 4 years.

(2) Computation of payment. The payment shall be computed as specified under s. Adm 92.78, except the economic rent of the acquired dwelling shall be used to compute the payment.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; corrections in (2) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.78 90-day tenant who rents {#sec-adm-92.78 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.78}

An agency shall pay a person who has occupied a displacement dwelling for not less than 90 days before initiation of negotiations, for the increased cost to rent a comparable dwelling as specified under this section. A rental assistance payment shall not exceed $8,000 unless a person is eligible for a greater payment under s. Adm 92.68 (9).

(1) Eligibility requirement. A person shall be eligible for a payment when the person:

(a) Occupies a dwelling for not less than 90 days immediately before the date of initiation of negotiations for a property which is subsequently acquired or affected by displacement and;

(b) Rents and occupies a decent, safe and sanitary replacement dwelling within one year of the date of vacation. The agency may extend this period for good cause.

(2) Rent differential payment. An agency shall pay a person who rents a replacement dwelling, a payment equal to the difference for 48 months, if any, between the monthly rent for the displacement unit and the lesser of the monthly rent for a comparable dwelling or the actual replacement rent.

(3) Preferred replacement housing tenure. The agency shall assist a person relocate to original tenancy status or, at a person’s option, purchase a replacement using the downpayment assistance provisions under s. Adm 92.80.

(4) Payment computation. To compute a payment, an agency shall determine the base monthly rent, the rent of a comparable dwelling and the rent paid for the replacement as follows:

(a) Base monthly rent. The base monthly rent shall be:

The average monthly rent and utilities paid by the tenant-occupant, including a rent supplement provided by another person except when the supplement will be discontinued after relocation, for a 3 month period before initiation of negotiations, or a more representative period; or
The economic rent when the actual rent is insignificant in relation to market rents for similar dwellings in the area.
The agency may establish the base monthly rent by using a person’s financial means as specified under s. Adm 92.01 (20) in lieu of the rent specified in subd. 1. or 2. If the person refuses to provide appropriate evidence of income or is a dependent, the base monthly rent shall be established as specified in subd. 1. or 2. A full time student or resident of an institution may be assumed to be a dependent, unless the person demonstrates otherwise.

(b) Determine rent of a comparable dwelling. The agency shall determine the rent of a comparable dwelling using the selection procedures specified under s. Adm 92.70 (3) and (4).

(5) Comparability of rent factors. Rental cost factors such as utilities, furnishings, parking and others, shall be the same for the acquired dwelling and the comparable or replacement dwelling. However, rental factors in the comparable property which must be paid by the displaced person shall be included in the payment regardless of whether or not they existed in the acquired dwelling.

(6) Change of occupancy. A person who, after moving to a decent, safe and sanitary dwelling, moves to a higher rent dwelling within one year, may be eligible for an amount in excess of the original claim but not to exceed the amount necessary to rent a comparable replacement dwelling.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (intro.) (1) (a) and (b), (2) and (4) (intro.), cr. (4) (a) 3., Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (intro.), (3), (4) (a) 3., (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.80 90-day tenant who purchases {#sec-adm-92.80 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.80}

(1) General. An agency shall pay a tenant occupant of a dwelling who purchases a replacement and who is eligible under s. Adm 92.78 (1) (a), a payment not to exceed $8,000 for a downpayment on the purchase of a comparable replacement dwelling plus incidental expenses under s. Adm 92.70 (6).

(2) Computation of payment. The payment shall be computed as specified under s. Adm 92.74.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.82 Mobile home — general {#sec-adm-92.82 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.82}

A person who is a tenant or an owner of a mobile home shall meet the same eligibility requirements and is entitled to the same replacement payment provisions applicable for a person displaced from a conventional dwelling, except as specified under this section. The ownership or tenancy of the mobile home, not the land on which it is located shall determine a person’s status as an owner or tenant occupant. The length of ownership and occupancy of the mobile home in a mobile home park, or on the site, determines a person’s status as an 180-day owner or a 90-day owner or tenant.

(1) Permanent foundation. An agency shall treat a person who owns and occupies a mobile home on a permanent foundation the same as a person displaced from a conventional dwelling, except the selected comparable shall be a mobile home and site.

(2) Non-permanent foundation.

(a) An agency shall treat a person who owns and occupies a mobile home not on a permanent foundation on land a person owns or rents, the same as a person displaced from a conventional dwelling, provided one of the following conditions exist:

The mobile home is not decent, safe and sanitary as specified under s. Adm 92.04;
The mobile home, because of its condition, cannot be moved without substantial damage or cost;
There is no adequate or available site to move the mobile home.

(b) The acquisition price for the purpose of computing a replacement housing payment shall be the trade-in or salvage value of the mobile home, when the mobile home is not acquired by the agency.

(3) Combined purchase and site rental payment. An agency shall pay a person who owns and occupies a mobile home and rents the site, a payment for the increased cost to rent a comparable mobile home site or the necessary downpayment on the purchase of a comparable mobile home site, in addition to the amount necessary to purchase a comparable mobile home as specified under this chapter.

(4) Mobile home park fee. An agency shall include a fee in the replacement or rental assistance payment, when a person is required to pay a fee to enter a mobile home park provided the fee is legally permitted and is not returnable to a person.

(5) Partial acquisition of mobile home park. A person occupying a mobile home who is required to move from the mobile home park as a result of partial acquisition and displacement of the park operator, shall be a displaced person under this section.

(6) Comparable based on conventional housing. A replacement payment shall be based on a conventionally built comparable dwelling when there is no comparable mobile home available.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; correction in (2) (a) 1., made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (2) (a) 1. made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.84 180-day mobile home owner {#sec-adm-92.84 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.84}

(1) General. An agency shall pay a person who has owned and occupied a mobile home for not less than 180 days for the following:

(a) A differential amount to purchase a replacement as specified under this section and s. Adm 92.70 (1), (2), (3), and (4);

(b) An increased interest payment on an existing mortgage or land contract as specified under s. Adm 92.70 (5);

(d) A rental assistance payment as specified under this section and s. Adm 92.72;

(2) Acquisition of mobile home and site.

(a) An agency shall pay a person an amount, if any, when added to the payment for the acquired mobile home and site, equals an amount a person pays for a replacement, or an amount determined by an agency as necessary to purchase a comparable mobile home and site, whichever is less.

(b) An agency shall pay a person who rents a replacement mobile home and site, a rental assistance payment as specified under s. Adm 92.72. The monthly rent for a replacement computation shall be the economic rent for the acquired mobile home and site.

(3) Acquisition of site only.

(a) An agency shall pay a person, when only the site is acquired and the mobile home is moved, an amount, if any, when added to the payment for the site, equals the amount a person pays for a replacement site or an amount determined by an agency as necessary to purchase a comparable site, whichever is less.

(b) An agency shall pay a person who rents a replacement site, a rental assistance payment as specified under s. Adm 92.72. The economic rent for the site being acquired shall be used to compute the payment.

(4) Acquisition of mobile home only — owner rents site.

(a) An agency shall pay a person who owns and occupies a mobile home but rents the site, a replacement housing payment when only the mobile home is acquired. Payment shall be the amount, if any, when added to the payment for the mobile home, equals the lesser of the following:

The amount a person pays for a replacement dwelling and site;
The amount determined by an agency as necessary to purchase a comparable dwelling plus the difference, if any, between the rent for the acquired site and the replacement rent, or an amount necessary to rent a comparable mobile home site, whichever is less, for 48 months.

(b) An agency shall pay a displaced person who purchases a replacement site, a downpayment assistance payment as specified under s. Adm 92.74.

(c) An agency shall pay a person who rents a replacement mobile home and site, a payment as specified under s. Adm 92.78, except the base rent shall be the economic rent of the mobile home and the actual rent of the site.

(5) Acquisition of rented site only — mobile home not acquired.

(a) An agency shall pay a person who owns and occupies a mobile home to be moved from a rented site, a payment not to exceed $8,000, for the difference, for 48 months, if any, between rent for the acquired site and the monthly rent for a comparable site, or the rent for a replacement site, whichever is less; or

(b) An agency shall make a downpayment assistance payment as specified under s. Adm 92.74, to a person who purchases a replacement site.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1) (a), (b), (c), (d), (2) (b), (3) (b), (4) (b), (c), (5) (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.86 90-day mobile home owner {#sec-adm-92.86 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.86}

(1) General. An agency shall pay a person who has owned and occupied a mobile home for at least 90 days but less than 180 days, for the following:

(a) A rental assistance payment as specified under this section and s. Adm 92.78;

(b) A downpayment assistance payment as specified under s. Adm 92.74;

(2) Acquisition of mobile home and site.

(a) An agency shall pay a person who purchases a replacement dwelling, a payment as specified under s. Adm 92.74. The amount shall be limited to that necessary to purchase a comparable mobile home and site.

(b) An agency shall pay a person who rents a replacement mobile home and site, a payment as specified under s. Adm 92.78. The economic rent for the mobile home and site shall be used for the computation.

(3) Acquisition of site only.

(a) An agency shall pay a person who purchases a replacement site a downpayment assistance payment as specified under s. Adm 92.74 except the payment shall be limited to an amount necessary to purchase a comparable replacement site.

(b) An agency shall pay a person who rents a replacement site, a payment as specified under s. Adm 92.78 except the payment shall be limited to an amount necessary to rent a comparable replacement site.

(4) Acquisition of mobile home only — owner rents site.

(a) An agency shall pay a person who owns and occupies the mobile home but rents the site, a downpayment assistance payment under s. Adm 92.74 except the payment shall be limited to the amount necessary to purchase a comparable mobile home, plus the difference, if any, between the monthly rent for the acquired site and the actual replacement rent, or the amount needed to rent a comparable site, whichever is less, for 48 months.

(b) An agency shall pay a person who rents a replacement mobile home, a payment as specified under s. Adm 92.78, except the base rent shall be the economic rent of the acquired mobile home.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1) (a), (b), (2) (a), (b), (3) (a), (b), (4) (a), (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.88 90-day mobile home tenant {#sec-adm-92.88 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.88}

An agency shall pay a person who is a tenant of a mobile home for not less than 90 days, a replacement payment as follows:

(1) A rental assistance under s. Adm 92.78; or

(2) A downpayment assistance under s. Adm 92.80.

History

Cr. Register, March, 1968, No. 363, eff. 4-1-86; corrections made under s. 13.93 (2m) (b) 1. and 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Subchapter VI Replacement Business and Farm Payment

Wis. Admin. Code § Adm 92.90 General {#sec-adm-92.90 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.90}

This section describes the general requirements for a replacement payment to a displaced person who is a tenant-occupant or an owner-occupant of a business, farm operation, or nonprofit organization. A person is not required to relocate to the same owner or tenant occupancy status, but has other options as specified under this subchapter. An agency shall make one payment for each displacement, not to exceed $30,000 for a tenant-occupant or $50,000 for an owner-occupant.

(1) Eligibility requirements. An agency shall make a replacement payment to a displaced business or farm operation provided:

(a) The property is subsequently acquired, a tenant is affected by displacement, or a notice to vacate is issued;

(b) The person owns and occupies a business or farm conducted on the real property acquired or affected by displacement, for not less than one year before initiation of negotiations.

(c) The person purchases or rents a replacement business or farm operation within 2 years of the date the person vacates or receives final payment for the acquired property, whichever is later.

(d) For the purpose of this section, a replacement business or farm property is purchased when a person:

Acquires an existing property as a replacement for the business or farm operation;
Relocates or rehabilitates a property owned or acquired.

Note: The cost to achieve comparable standards and to correct code deficiencies shall be included in the actual cost of purchasing a replacement property when it is not comparable or in code compliance.

Contracts to, or constructs a building or structure for a new business or farm operation on a site owned or acquired.

Note: The cost of construction shall be limited to that necessary to construct a comparable replacement. The cost shall include the value of the land at the time it was acquired. The cost of constructing a replacement structure shall include the value of labor furnished by a self-help builder.

(e) The entire business or farm operation shall be displaced to qualify for a replacement payment. However, a business or farm operation shall be considered eligible for a replacement payment when:

The property remaining after the acquisition is not an economic unit or would result in a significant reduction in net earnings for the same type of business or farm operation, as determined by an agency;
The acquisition substantially changed or interfered with the principal operation or the nature of the business or farm operation so as to constitute a displacement.

(2) Delayed occupancy for construction and rehabilitation. A person who contracts for the construction or rehabilitation of a replacement building, is considered to have purchased the replacement as of the date of the contract. The replacement payment may be deferred until a final acquisition price is known and relocation is completed provided the agency makes payment into an interest-bearing escrow account for release upon reestablishment of the business or farm operation. An agency may pay a person before reestablishment when there is assurance of reestablishment.

(3) Prior ownership of a replacement building or land. An agency shall pay a person who is an owner of a replacement building or land upon which a replacement building is constructed and within the time limit under sub. (1), a replacement payment as specified under this subchapter. The fair market value of the land and the building at the time of displacement shall be used as the actual cost in determining the payment.

(4) Inspection for compliance with federal, state or local code. An agency shall inspect a replacement business or farm operation to determine if it meets federal, state or local codes before making a replacement payment. An agency shall take the following steps before terminating assistance or denying eligibility for a replacement payment because a person moved to a facility which is not in compliance;

(a) Assist a person to correct a deficiency and when necessary, refer a person to another facility in compliance with applicable codes;

(b) Notify a person in writing within 10 days of the inspection regarding a deficiency to be corrected to receive payment, and that when the deficiency is corrected by the date as specified under sub. (1), or when a person moves to another facility which is in compliance, the person shall receive payment.

(5) Statement of eligibility to lender. An agency, upon request of a person to be relocated, shall inform an interested person or mortgage lender that the person shall be eligible for a replacement payment upon the purchase or rent and reestablishment of a replacement property within the applicable time limit.

(6) Advance payment in condemnation case. An agency shall promptly pay a replacement business or farm payment. An advance payment shall be made when an agency determines the acquisition payment will be delayed because of condemnation proceedings. An agency’s offer shall be used as the acquisition price for calculating the payment. The payment shall be contingent on a person signing an affidavit of intent that:

(a) The agency shall re-compute the replacement payment using the acquisition amount, set by the court;

(b) The person shall refund the excess amount from the judgment when the amount awarded as acquisition amount plus the advance payment exceeds the amount paid for a replacement or the agency’s determined cost of a comparable replacement. A person is not required to refund more than the advance payment. The payment shall be made after the condemnation proceedings are completed when a person does not sign an affidavit.

(7) Carve-out and modification of replacement payment computation.

(a) Complete acquisition.

‘Typical size lot.’ The maximum replacement payment shall be the selling price of a comparable replacement on land typical in size for the business less the price of the acquired building and the site when the acquired business is located on land typical in size for the type of business conducted.
‘Larger than typical size lot.’ The maximum replacement payment shall be the selling price of a comparable replacement on land typical in size for the business, less the price of the acquired building, plus the price of that portion of the acquired land typical in size for the business being conducted, when the acquired business is located on land larger in size than typical for the type of business conducted.

(b) Partial acquisition.

‘Typical size lot.’ The maximum replacement payment shall be the selling price of a comparable replacement on land typical in size for the business, less the value of that portion of the acquired property which represents the typical size for the business, when the acquired business is located on land larger than typical for the business conducted.
‘Larger than typical size lot.’ The maximum replacement payment shall be the selling price of a comparable replacement on land typical in size for the business, less the value of that portion of the acquired property which represents the typical size for the business, when the acquired business is located on land larger in size than typical for the business conducted.
‘Remainder property.’ If a buildable residential lot or an uneconomic remnant remains after a partial taking and the owner of the remaining property refuses to sell the remainder to the agency, the market value of the remainder may be added to the acquisition cost for the purposes of computing the payment.

Note: Under ss. 32.05 (3m) and 32.06 (3m), Stats., an agency is required to offer to purchase a remainder if it is an uneconomic remnant.

(c) A business or farm operation on land with higher and better use. The maximum payment shall be the selling price of a comparable replacement business or farm operation on land typical in size for the existing business or farm use in the area, less the price for the acquired property and the price of that portion of the acquired land which represents land typical for the existing use, when the market value is based on a higher and better use than the existing use.

(d) Mixed residential and nonresidential use property. An agency shall determine a replacement payment by using only that portion of the acquired or displacement property occupied by the displaced business or farm.

(e) Multiple occupancy of the same parcel.

Each separately organized business or farm operation which occupies a parcel shall be eligible for a replacement payment. The acquisition price or rent used for a replacement payment computation shall be the amount each business or farm occupant receives from the total payment for the property acquired, or the rent each tenant-occupant pays toward the total rent.
There shall be only one business or farm operation replacement payment for a business or farm operation under one ownership but engaged in more than one operation.

Note: An agency shall consider the factors under s. Adm 92.66 in determining whether more than one business or farm is eligible for payment under this subchapter.

(f) Decentralization of business or farm. The purchase price or the cost of a replacement, when a business or farm operation displaced from one site relocates to more than one site. The replacement payment shall be limited to a selected comparable at one site unless an agency determines the needs of a business or farm operation require location at more than one site.

(g) Joint business and investment use. A person who owns and occupies a business and also rents out a residence or business facility on the same property, shall receive a replacement payment based only on that portion of the space and that portion of the acquisition price utilized by the business.

(8) Nonprofit organization. A nonprofit organization is eligible for a replacement business payment as specified under this chapter, provided the organization has not claimed a replacement housing payment under subch. V.

(9) Outside professional assistance. The agency may use professional assistance to reestablish a displaced business or farm operation. Professional assistance for searching and other incidental expense incurred by a displaced person shall be compensable if the costs are necessary for reestablishment of the business or farm operation.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1) (a) and (b), (3) and (7) (d), Register, November, 1989, No. 407, eff. 12-1-89.

Wis. Admin. Code § Adm 92.92 Owner-occupant who purchases {#sec-adm-92.92 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.92}

An agency shall pay an owner-occupant of a business or farm operation a payment, not to exceed $50,000, for the difference necessary to purchase a replacement business or farm operation; for the loss of favorable financing on an existing mortgage or land contract in financing a replacement property, and expenses incidental to the purchase of a replacement business or farm operation. The payment shall be computed as specified under this section.

(1) Differential amount payable. A differential amount payable is an amount, if any, when added to the acquisition payment for the acquired business or farm operation, equals an amount a person pays for a replacement property, or an amount determined by an agency as necessary to purchase a comparable replacement, whichever is less. A replacement payment shall include the difference between the price paid for a fixture or other real property improvement acquired and the cost to purchase and install the improvement in a replacement facility. A replacement payment shall also include the cost to modify a property to meet comparable standards and code requirements.

(2) Selection and cost of comparable and actual replacements. The agency shall determine the cost of a comparable replacement business or farm operation by analyzing 3 or more comparable replacement business or farm operations and selecting the one that is the most comparable. Fewer may be analyzed if 3 are not available.

(b) The cost of physical changes or improvements necessary to meet comparable standards in the selected comparable or the actual replacement shall be included in the maximum replacement payment.

(c) An agency shall select a comparable business or farm operation from the area of a displaced person provided the area is not designated for governmental acquisition and displacement, or subject to adverse environmental conditions.

(d) The selected comparable shall be equal to or better than the acquired property and a payment shall be based on new construction when there is no comparable business or farm operation available.

(3) Revision to selected comparable amount. An agency, upon request of a displaced person, shall offer a comparable replacement business or farm operation within the maximum differential payment determined. Another comparable study shall be made to determine a new replacement payment when there is no comparable available, except the new replacement payment may not be less than the original payment.

(4) Increased interest payment.

(a) General. An agency shall pay a displaced person for the increased interest expense and other debt service costs incurred in financing the purchase of a replacement business or farm operation, provided:

The acquired business or farm operation property was encumbered by a bona fide mortgage or land contract;
The mortgage or land contract was executed in good faith not less than one year before initiation of negotiations to purchase the property;
All bona fide mortgages or land contracts that were valid liens on the displacement property for at least one year before initiation of negotiations on the acquired property shall be used to compute the increased interest payment.

(b) Payment computation. The increased interest payment shall be computed as follows:

The interest payment difference shall be an amount which will reduce the mortgage balance on the replacement property to an amount which could be amortized with the same monthly payment for principal and interest as that for the mortgage or mortgages on the displacement property, except that the payment for a person obtaining a mortgage that is less than the mortgage balance computed in the buydown determination, shall be prorated and reduced accordingly.
The amount paid by a person as points, loan origination or assumption fees, but not seller’s points, shall be based on the amount refinanced, not exceeding the amount which would have been paid had the original mortgage balance been refinanced, and shall be added to an amount as specified under subd. 1. The origination or assumption fee shall be limited to the fee normal for real estate transactions in the area.

(c) Interest rate on replacement mortgage. The interest rate on the mortgage for a replacement business or farm operation used in the computation may not exceed the rate typically charged by mortgage lenders in the area.

(d) Mortgage term. The payment shall be based on the remaining term of the mortgage(s) on the displacement dwelling regardless of the term on the new mortgage.

(e) Adjustment to interest payment amount.

Larger than typical size lot. The interest payment shall be reduced to the percentage ratio that the value of the typical and necessary part is to the value of the entire property before acquisition, when a property is located on a lot larger than typical and necessary for the type of business or farm operation being operated.
Multi-use property. The interest payment on multi-use property shall be reduced to the percentage ratio that the business or farm operation value of the multi-use property is to the value of the entire property before acquisition.
Business or farm on land with higher and better use. An agency shall compute an interest payment under par. (b), when a business or farm operation is located on land where the fair market value is established on a higher and better use, and when the mortgage is based on business or farm operation value. The interest payment shall be reduced to the percentage ratio that the estimated business or farm operation value of the parcel is to the value of the entire property before acquisition, when the mortgage is based on the higher use.

(f) Prompt payment. An agency shall advise a displaced person of the approximate amount of a refinancing payment as soon as the facts relative to a person’s mortgages are known. If requested by the displaced person, the refinancing payment shall be made available at or near the time of closing on the replacement to permit reduction of the new mortgage amount.

(5) Incidental expense payment. An agency shall pay a person for actual and reasonable expense incurred incidental to the purchase of a replacement business or farm operation. The payment shall include the following:

(a) Legal, closing and related cost including title research, preparing conveyance contracts, notary fees, surveys, preparing drawings or plats and recording fees;

(b) Lender, appraisal or application fees, and loan origination or assumption fees that do not represent prepaid interest;

(d) Credit reports;

(e) Owner or mortgagee title insurance policy or abstract of title;

(f) Escrow agent fee;

(g) Other expense approved by an agency.

Note: The payment may not include a prepaid expense such as taxes, water, or fuel costs, or a fee, cost, charge or expense which is part of a debt service or finance charge.

(6) Owner retention. An owner-occupant may purchase the property back from an agency and move it to another location following receipt of the payment for the acquired property, and when not inconsistent with project development. The replacement payment shall be determined as follows:

(a) Amount payable. The payment shall be the amount, if any, between the acquisition price and the cost to relocate. The cost to relocate shall include the purchase-back price, the cost to acquire and develop a new site, or when moved to retained land, the market value of the site, installing utility service, constructing a foundation, moving the property, restoring it to comparable standards and other moving costs.

(b) Limitation. The differential payment computed under this section may not exceed the amount necessary to purchase a comparable replacement under sub. (2) plus any increased interest or incidental expense payment due under subs. (4) and (5).

(7) Replacement payment conversion. An agency shall pay a person as specified under this section. A replacement payment for a prior move to a rental property shall be deducted from the amount payable under this section. The combined payment may not exceed $50,000.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (4) (a) (intro.) and 3., (b) and (5) (b), r. and recr. (4) (d), cr. (4) (f), Register, November, 1989, No. 407, eff. 12-1-89.

Wis. Admin. Code § Adm 92.94 Owner-occupant who rents {#sec-adm-92.94 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.94}

(1) General. An agency shall pay an owner-occupant who rents a replacement business or farm operation, a rental assistance payment not to exceed $30,000 for 4 years, or the amount the person is eligible for as an owner under s. Adm 92.92, whichever is less.

(2) Computation of payment. The payment shall be computed as specified under s. Adm 92.96, except that the economic rent of the acquired property shall be used to compute the payment.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.96 Tenant-occupant who rents {#sec-adm-92.96 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.96}

An agency shall pay a tenant-occupant of a business or farm operation, a rental assistance payment, not to exceed $30,000, for the increased cost to rent or lease a replacement business or farm operation. The payment shall be computed as specified under this section.

(1) Rent differential payment. An agency shall pay a person who rents a replacement business or farm operation, a payment equal to the difference for 48 months, if any, between the monthly rent for the displacement unit and the lesser of the monthly rent for a comparable business or farm operation, or the actual replacement.

(2) Preferred replacement tenure. An agency shall assist a person to relocate to original tenancy status or, at a person’s option, purchase a replacement using the downpayment assistance provisions under s. Adm 92.98.

(3) Payment computation. To compute a payment, an agency shall determine the base monthly rent, the rent of a comparable replacement, and the rent paid for the replacement property as follows:

(a) Base monthly rent. The base monthly rent shall be either:

The average monthly rent and utilities paid by the tenant-occupant for the 12-month period before initiation of negotiations, or a more representative period; or
The economic rent when the actual rent is insignificant in relation to market rents for similar property in the area.

(b) Determine rent of a comparable replacement. The agency shall determine the rent of a comparable replacement business or farm operation using the selection procedures under s. Adm 92.92 (2) and (3) except:

An agency shall increase the rent by the additional amount the owner would charge if required to make modifications necessary to bring a property up to comparable standards, or
An agency shall pay a person who rents a replacement business or farm operation requiring modifications to meet comparable standards, the actual cost of these modifications if incurred by the person. The amount shall be included in the rent differential payment.

(4) Comparability of rent factors. Rent factors such as utilities, furnishings, parking and others, shall be the same for the displacement property and the comparable or replacement property. However, rent factors in the comparable property which must be paid by the displaced person shall be included in the payment regardless of whether they existed in the displacement property.

(5) Change of occupancy. A person, after moving to a replacement business or farm operation, moves to a higher rent property within a 2 year period, may be eligible for an amount in excess of the original claim but not to exceed the amount necessary to rent a comparable replacement.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am. (1), (3) and (4), Register, November, 1989, No. 407, eff. 12-1-89; correction in (2) and (3) (b) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (2), (3) (b) (intro.) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.98 Tenant-occupant who purchases {#sec-adm-92.98 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.98}

(1) General. An agency shall pay a person otherwise eligible under s. Adm 92.96, an amount up to $30,000 for a downpayment on the purchase of a replacement, and reimbursement for actual expenses incidental to the purchase. The payment may not exceed the amount necessary to rent a comparable replacement as specified under s. Adm 92.96.

(2) Computation of downpayment and incidental cost.

(a) The agency shall pay a person the amount the person is entitled to receive for a rental replacement payment as specified under s. Adm 92.96.

(b) An agency shall pay the amount calculated under s. Adm 92.96 to a tenant-occupant who purchases a replacement business or farm operation within 2 years after the person moves from the displacement property.

(d) An agency may require that the full amount of the downpayment assistance payment be applied to the purchase price of the replacement property and related incidental expenses. An agency may pay the amount directly to a displaced person upon reasonable assurance that the displaced person will apply the payment toward business or farm reestablishment costs.

(e) An owner eligible for a payment under s. Adm 92.92 is ineligible for a downpayment assistance payment under this section.

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; am., cr. (2) (e), Register, November, 1989, No. 407, eff. 12-1-89; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (1), (2) (a), (b), (c), (e) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672.

Wis. Admin. Code § Adm 92.99 Forms {#sec-adm-92.99 omnilex-key=us-wi-regs-official--agency-adm--Adm 92.99}

Material and forms noted under this chapter are available from the Department of Administration, Division of Energy Services, P.O. Box 7868, Madison, WI 53707-7868 or at the Department’s Web site http://energyindependence.wi.gov/section.asp?linkid=1783&locid=160. They are:

History

Cr. Register, March, 1986, No. 363, eff. 4-1-86; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, April, 1996, No. 484; correction in (intro.), (1) to (9) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672.

Chapter Adm 93 SMALL CITIES COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM FOR COMMUNITY AND ECONOMIC DEVELOPMENT

Subchapter I General Provisions

Wis. Admin. Code § Adm 93.01 Purpose and authority {#sec-adm-93.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.01}

(1) Purpose. The purpose of this chapter is to set forth the criteria the department will use to administer the Community Development Block Grant (CDBG) program with funds that the department receives from the federal government under 42 USC 5301 to 5319 and 24 CFR Part 570.

Note: Copies of 42 USC 5301 to 5319 and 24 CFR Part 570 are available on request from: U.S. Government Printing Office (GPO); phone (202) 512-1530 or (888) 293-6498; fax (202) 512-1262. Copies also may be accessed from the webpage: http://portal.hud.gov/hudportal/HUD?src=/program_offices/comm_planning/communitydevelopment/rulesandregs.

(2) Authority. This chapter constitutes the process for accepting, evaluating, and scoring applications, and awarding of grants for the CDBG program as promulgated under the authority given in s. 16.309, Stats.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.02 Eligibility {#sec-adm-93.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.02}

(1) Except as provided in sub. (2), any local government may apply for CDBG funds under this chapter.

(2) A local government that fails to comply with any of the administrative, underwriting, recordkeeping, reporting, auditing, closeout, payment, reimbursement, or other requirements of this chapter may not apply for or receive CDBG funds from the department under this chapter until such time as the noncompliance has been determined to be resolved to the satisfaction of the department.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14; correction in (2) made under s. 35.17, Stats., Register April 2014 No. 700.

Wis. Admin. Code § Adm 93.03 Definitions {#sec-adm-93.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.03}

In this chapter:

(1) “Application” means an application for CDBG funds under this chapter.

(2) “Blight” has the meaning set forth in s. 66.1331 (3) (a), Stats.

Note: Section 66.1331 (3) (a), Stats., reads: “Blighted area” means any area, including a slum area, in which a majority of the structures are residential or in which there is a predominance of buildings or improvements, whether residential or nonresidential, and which, by reason of dilapidation, deterioration, age or obsolescence, inadequate provision for ventilation, light, air, sanitation, or open spaces, high density of population and overcrowding, or the existence of conditions which endanger life or property by fire and other causes, or any combination of these factors, is conducive to ill health, transmission of disease, infant mortality, juvenile delinquency and crime, and is detrimental to the public health, safety, morals or welfare.

(3) “Blight elimination and brownfield redevelopment program” means the blight elimination and brownfield redevelopment program administered under subch. V.

(4) “Blighted property” has the meaning set forth in s. 66.1333 (2m) (bm), Stats. For the purposes of this chapter, the definition of blighted property shall apply to cities, villages, towns, and counties.

Note: Section 66.1333 (2m) (bm), Stats., reads: “Blighted property” means any property within a city, whether residential or nonresidential, which by reason of dilapidation, deterioration, age or obsolescence, inadequate provisions for ventilation, light, air or sanitation, high density of population and overcrowding, or the existence of conditions which endanger life or property by fire and other causes, or any combination of such factors, is conducive to ill health, transmission of disease, infant mortality, juvenile delinquency or crime, and is detrimental to the public health, safety, morals or welfare, or any property which by reason of faulty lot layout in relation to size, adequacy, accessibility or usefulness, insanitary or unsafe conditions, deterioration of site or other improvements, diversity of ownership, tax or special assessment delinquency exceeding the fair market value of the land, defective or unusual conditions of title, or the existence of conditions which endanger life or property by fire and other causes, or any combination of such factors, substantially impairs or arrests the sound growth of a city, retards the provisions of housing accommodations or constitutes an economic or social liability and is a menace to the public health, safety, morals or welfare in its present condition and use, or any property which is predominantly open and which because of obsolete platting, diversity of ownership, deterioration of structures or of site improvements, or otherwise, substantially impairs or arrests the sound growth of the community.

(5) “Blighted site or brownfield site redevelopment project” means any work or undertaking by a local government to acquire a blighted or brownfield site, to conduct an environmental audit, to engage in environmental remediation, and to raze, demolish, remove, reconstruct, renovate, or rehabilitate existing buildings, structures, or other improvements to promote use of a blighted or brownfield site by a business or person for purposes that will result in end uses with a taxable value in accordance with an approved blighted or brownfield site redevelopment plan.

(6) “Blighted site or brownfield site” means an abandoned, idle, or underused industrial or commercial facility or site in a blighted area, or that qualifies as a blighted property, the expansion or redevelopment of which is adversely affected by actual or perceived environmental pollution.

(7) “CDBG funds” means community development block grant funds awarded to the department by the federal government under 42 USC 5301 to 5319.

(8) “Department” means the department of administration.

(9) “Economic development program” means the economic development program administered under subch. III.

(10) “Eligible local government” means a local government that is eligible to apply for and receive CDBG funds under the U.S. Department of Housing and Urban Development’s State and Small Cities Program pursuant to 24 CFR 570.3.

(11) “Emergency grant program” means the program administered under subch. VI.

(12) “Environmental audit” means an investigation, analysis, and monitoring of a brownfield site to determine the existence and extent of actual or potential environmental pollution.

(13) “Environmental pollution” has the meaning set forth in s. 291.01 (4), Stats.

Note: Section 291.01 (4), Stats., defines “environmental pollution” to mean the contamination or rendering unclean or impure the air, land or waters of the state, or making the same injurious to public health, harmful for commercial or recreational use, or deleterious to fish, bird, animal or plant life.

(14) “Environmental remediation activities” has the meaning set forth in s. 238.13 (1) (d), Stats.

Note: Section 238.13 (1) (d), Stats., reads: “Environmental remediation activities” means investigation, analysis and monitoring of a brownfields facility or site to determine the existence and extent of actual or potential environmental pollution; abating, removing or containing environmental pollution at a brownfields facility or site; or restoring soil or groundwater at a brownfields facility or site.

(15) “Full-time job” has the meaning set forth in s. 71.07 (2dx) (a) 4., Stats.

Note: Section 71.07 (2dx) (a) 4. reads: “Full-time job” means a regular, non-seasonal full-time position in which an individual, as a condition of employment, is required to work at least 2,080 hours per year, including paid leave and holidays, and for which the individual receives pay that is equal to at least 150% of the federal minimum wage and receives benefits that are not required by federal or state law. “Full-time job” does not include initial training before an employment position begins.

(16) “HUD” means the U.S. Department of Housing and Urban Development.

(17) “Local government” means a city, village, town, or county that is in a nonentitlement area as defined in 24 CFR 570.3 and is not eligible to directly apply for or participate in the federal community development block grant entitlement program.

(18) “Low to moderate household income” means the median household income in the county where the local government is located, as reported by the latest U.S. census and updated periodically by HUD.

(19) “Municipality” means a local government that is eligible for CDBG funds under s. Adm 93.02.

(20) “Net mill rate” means the total of all property taxes levied by local governments against a given property for all purposes less general property tax relief payments divided by the estimated market value of taxable property in the municipality.

(21) “Person” means an individual, partnership, corporation, nonprofit organization, city, village, town, county, or trustee, including a trustee in bankruptcy.

(21m) “Program income” has the meaning set forth in s. 24 C.F.R 570.489.

Note: The definition of “program income,” including applicable exceptions, is too lengthy to be quoted in full here. A summary of the definition of the term “program income” is all gross income received by a unit of general local government, or a subrecipient of a unit of general local government, that was generated from the use of CDBG funds.

(22) “Public facilities economic development program” means the public facilities economic development program administered under subch. IV.

(23) “Public facilities plan” means a written plan for proposed project for which an eligible local government may seek funding under subch. VII.

(24) “Public facilities program” means the annual public facilities program administered under subch. II.

(25) “Residential utility rate” means for areas served by public water and sanitary sewer service, the average annual household utility rate paid for water and sanitary sewer services determined by dividing the total gross annual residential water and sewer revenue collected for the preceding calendar year by the number of households, as reported by the latest U.S. census and updated periodically by the U.S. department of commerce.

(26) “Site redevelopment plan” means a plan adopted by a local government for the acquisition, clearance, reconstruction, rehabilitation, and future use of a blighted or brownfield site.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.04 National objectives {#sec-adm-93.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.04}

A project funded with CDBG funds under this chapter shall meet one or more national objectives as enumerated in and required by 24 CFR 570.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.05 Application materials and manual {#sec-adm-93.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.05}

The department shall prepare application materials and an application instruction manual, all of which may be updated as needed. The application materials shall set forth the application instructions and requirements for funding under the programs described in this chapter. The application instruction manual shall contain a scoring system to be utilized under s. Adm 93.09 (1) (a); amounts required as “minimal local financial participation” required under s. Adm 93.09 (1) (b); and the point systems related to distress indicators utilized under ss. Adm 93.10 to 93.13.

Note: Application materials and the application instruction manual are available on request without charge from the Department of Administration, Division of Housing, P.O. Box 7970, Madison, WI 53707; phone (608) 266-7531; fax (608) 266-5381. Application materials and the application instruction manual may also be accessed from the Department of Administration webpage: http://doa.wi.gov/index.asp?locid=173.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.06 Distribution of funds {#sec-adm-93.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.06}

(1) For each annual grant of CDBG funds the department receives from the federal government, the department shall establish distribution amounts. The department shall file an action plan with HUD each year, per HUD regulations. Funds may be distributed only in accordance with said plan or any amendments thereto that are accepted by HUD.

(2) Program income received by the department under this chapter shall be allocated for awards under any program administered under this chapter.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.07 Limits upon awards {#sec-adm-93.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.07}

The maximum amount of CDBG funds that may be awarded to any local government under the public facilities program, as specified under subch. II, in a 12-month period, shall be announced by the department in its application instruction manual.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14; correction in numbering made under s. 13.92 (4) (b) 1., Stats., Register April 2014 No. 700.

Wis. Admin. Code § Adm 93.08 Construction {#sec-adm-93.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.08}

This chapter shall be liberally construed to effect the national objectives set forth in s. Adm 93.04 and 24 CFR 570.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Subchapter II Public Facilities Program

Wis. Admin. Code § Adm 93.09 Public facilities program {#sec-adm-93.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.09}

(1) General.

(a) The department may award a grant to an eligible local government for a public facilities project based upon the department’s evaluation of all applications received from eligible local governments. The department’s evaluation shall be established based upon the scoring system set forth in its application instruction manual.

(b) The minimum local financial participation as specified in the application instruction manual may be waived when the specific project has a particular urgency because existing conditions pose a serious and immediate threat to the safety, health, or welfare of the community, where other financial resources are not available to meet such needs or when the specific project is located in a distressed area.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.10 Distress indicators {#sec-adm-93.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.10}

The department shall award points to a local government based upon the department’s evaluation of the documented level of distress, as set forth in the department’s application instruction manual.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.11 Needs assessment {#sec-adm-93.11 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.11}

The department shall award points to a local government based upon the department’s evaluation of the local government’s documented need for the public facilities project, as set forth in the department’s application instruction manual.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.12 Utility rates {#sec-adm-93.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.12}

The department shall award points to an eligible local government based upon the department’s evaluation of the local government’s ability to pay for the public facilities project, as measured by the local residential utility rates, as set forth in the department’s application instruction manual.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.13 Leveraging {#sec-adm-93.13 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.13}

The department shall award points to a local government based upon the department’s evaluation of the local government’s leveraging of CDBG funds with funds from other public or private sources, as set forth in the department’s application instruction manual. To qualify for points under this section, a local government shall document the availability of firm commitments for the balance of project funding from creditworthy sources to ensure timely completion of the project.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Subchapter III Economic Development Program

Wis. Admin. Code § Adm 93.14 Economic development program {#sec-adm-93.14 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.14}

The department may award a grant to an eligible local government under the economic development program upon receipt and consideration of an application. When making a determination regarding an application, the department shall consider the extent of poverty and unemployment and other economic factors in the area of the project, in accordance with current HUD economic and population data available for the area.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.15 Job creation and retention requirements {#sec-adm-93.15 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.15}

(1) If an eligible local government awards CDBG funds received under this subchapter, to any person, whether as a grant or a loan, the person shall execute an agreement with the eligible local government, and other documents prescribed by the department, committing to create full-time equivalent jobs or retain full-time equivalent jobs, or both, in accordance with 24 CFR Part 570, as required by the department.

(2) The department shall require a person that receives an award under this subchapter to document full-time equivalent job creation and retention with a list of full-time jobs or positions created and retained, the job title for each full-time equivalent job created and retained, job skills, wages and benefits, and any other information the department considers relevant.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.16 Revolving loan funds {#sec-adm-93.16 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.16}

(1) An eligible local government that is awarded CDBG Housing or Economic Development funds, whether individually, as part of a regional group of such local governments, and whether directly or indirectly through a sub-grant recipient, may retain program income from all grants awarded to establish and capitalize a revolving loan fund to promote further housing or economic development activities as authorized by the Housing and Community Development Act of 1974. Any fund administered by a sub-grantee shall be subject to the limitations set forth in section 105 (a) (15) of the Community Development Act of 1974. A local government or regional group that establishes a revolving loan fund under this section shall further administer and use the fund in accordance with all applicable requirements established by the federal government and the department, and shall require the same of any fund administered by a sub-grantee.

(2) Any local government, regional group, or sub-grantee administering a revolving loan fund shall report to the department on the use of such a fund as prescribed by the department. The department may establish a maximum amount of program income that may be retained in any revolving loan fund, and may establish a maximum amount of time for which funds may be held without use, either as a separate or as a combined limitation. Any amount of program income in excess of the maximum amount or time established by the department shall be immediately remitted to the department by the local government, regional group, or sub-grantee.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Subchapter IV Public Facilities Economic Development

Wis. Admin. Code § Adm 93.17 Public facilities economic development program {#sec-adm-93.17 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.17}

(1) The department may award a grant to an eligible local government under the public facilities economic development program following consideration of some or all of the following:

(a) The project serves a public purpose.

(b) The project costs are reasonable.

(d) The project is financially feasible.

(e) The project will likely retain or create jobs in this state.

(f) The local government will use the CDBG funds for one of the following purposes:

A public facilities project or other public infrastructure improvements to facilitate a business’s efforts to engage in job creation or retention activities under 24 CFR 570.483 (b) (4) designed to benefit low and moderate income persons.
Other activities under 24 CFR Part 570 that meet the national objective of benefit to low and moderate income persons through job creation.
Activities under 24 CFR 570.483 (c) that meet the national objective of preventing or eliminating slums or blight.

(g) The local government will contribute at least 25% of the total cost of the project from funding sources other than grants from the federal and state government, subject to s. Adm 93.09 (1) (b).

(2) When making a determination under sub. (1), the department shall consider all of the following:

(a) The extent of poverty and unemployment and other economic factors in the area of the project.

(b) The prospects for new investment and economic development in the area.

(d) The number of full-time jobs that are likely to be created or retained.

(e) The total cost per full-time job created or retained.

(f) The amount of wages and benefits to be provided by the business that will create or retain the full-time jobs.

(g) Whether the award will provide the business with an unreasonable competitive advantage over other similar Wisconsin businesses in the vicinity of the project.

(h) Whether the project will involve the relocation of a business and displacement of jobs from one municipality in Wisconsin to another municipality in Wisconsin.

(i) Whether the project will result in redevelopment of a brownfield site.

(j) Whether the project will result in the elimination of slum or blight.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.18 Job creation and retention requirements {#sec-adm-93.18 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.18}

(1) A business that will benefit from a public facilities economic development project shall execute a development agreement with the eligible local government and other documents prescribed by the department, committing to the creation and retention of full-time jobs.

(2) The amount of CDBG funds awarded by the department for a public facilities economic development project under this subchapter may not exceed $35,000 for each full-time job created or retained by the business.

(3) The department shall require businesses that benefit from grants under this subchapter to document full-time job creation and retention with a list of full-time jobs or positions created and retained, the job title for each full-time job created and retained, job skills, wages and benefits, and any other information the department considers relevant.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Subchapter V Blight Elimination and Brownfield Site Redevelopment Program

Wis. Admin. Code § Adm 93.19 Blight elimination and brownfield site redevelopment program {#sec-adm-93.19 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.19}

(1) The department may make a grant to an eligible local government for a blighted or brownfield site redevelopment project after the department considers some or all of the following:

(a) Whether the project is intended to address the national objective of preventing or eliminating slums or blight set forth in 24 CFR 570.483 (c) and s. Adm 93.04.

(b) The extent of poverty and unemployment and other economic factors in the area of the project.

(d) The amount of investment that is likely to result from the project.

(e) The likelihood that the project will result in the creation or retention of full-time jobs in the area.

(f) The amount of estimated tax base to be created at project completion.

(g) The likelihood that the proposed activity will commence shortly after receipt of the grant.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.20 Blight elimination and brownfield site redevelopment project requirements and limits {#sec-adm-93.20 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.20}

A local government receiving CDBG funds from the department under this subchapter may use such funds for an environmental audit or environmental remediation, or may loan or grant the CDBG funds to a business or nonprofit corporation to conduct an environmental audit or environmental remediation.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Subchapter VI Emergency Grants

Wis. Admin. Code § Adm 93.21 Eligibility {#sec-adm-93.21 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.21}

(1) The department may award a grant to an eligible local government under this subchapter upon receipt of an application and upon the department’s consideration of whether:

(a) The municipality has suffered a natural disaster or other catastrophic event.

(b) The project is designed to alleviate existing conditions which pose a serious and immediate threat to the health, safety, or welfare of the municipality.

(c) The local government will use the grant to pay for public infrastructure repairs or replacements that are otherwise eligible for CDBG funds under subch. II, or emergency services necessitated by the natural disaster or other catastrophic event.

(d) The local government lacks the financial capability to pay for the infrastructure repairs or replacements.

(e) The local government is unable to await funding through a grant awarded under subch. II.

(f) The local government will contribute at least 25% of the total cost of the project from other funding sources, subject to s. Adm 93.09 (1) (b).

(g) Other criteria as set forth in 24 CFR 570.

(2) In making a determination under sub. (1) (d), the department shall consider all of the following:

(a) The local government’s general obligation debt borrowing capacity.

(b) The availability of funding from other federal and state government sources.

(d) Any other factors the department considers relevant.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.22 Funding {#sec-adm-93.22 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.22}

(1) The maximum amount of CDBG funds that may be awarded to any local government under this subchapter shall be based on the scope of the natural disaster or catastrophic event and funds available.

(2) Where a catastrophic event is caused by human activity and the local government recovers funds to repair the damage from a responsible person or another party, then the local government shall pay the department a proportionate share of the total amount recovered.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Wis. Admin. Code § Adm 93.23 Applications {#sec-adm-93.23 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.23}

(1) A local government interested in applying for an emergency grant under this subchapter shall provide the department with written notice of intent to apply within 90 days of the natural disaster or catastrophic event.

(2) An application for emergency assistance under this subchapter shall include the following:

(a) Documentation of a state or federal disaster declaration or a description of the natural disaster or catastrophic event.

(b) A description of the resulting damage or destruction.

(d) A budget evidencing that the local government has matching funds to cover at least 25% of the total cost of the project, subject to s. Adm 93.09 (1) (b).

(e) A discussion of alternative remedies available to the local government.

(f) Any other information that the department considers relevant.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Subchapter VII Planning Grants

Wis. Admin. Code § Adm 93.24 Planning grant program {#sec-adm-93.24 omnilex-key=us-wi-regs-official--agency-adm--Adm 93.24}

(1) General.

(a) The department may make a grant to an eligible local government for preparing a plan for a specific project.

(b) An eligible local government may submit an application for a planning grant to the department as specified in the department’s application manual.

(2) Application. An application for a planning grant under this section shall contain sufficient information to identify how all of the following requirements are satisfied:

(a) The local government has identified a specific project that needs further planning.

(b) The specific project will serve a public purpose.

(d) The local government has a citizen participation plan as required under 24 CFR 570.486 (a).

(e) The specific planning cost estimates are reasonable.

(f) At least 25% of the total cost of the planning shall originate from sources other than grants provided by the federal or state government.

(g) The planning for the specific project has the support of local community or economic development organizations or business groups.

(h) The local government has the capacity and capability to conduct the planning or commits to the retention of professional planning services.

(i) The planning will likely result in the implementation of the specific project being planned.

(j) The local government certifies that the planning grant is not a commitment of CDBG funding at a later date for plan implementation.

(k) The application shall include, where applicable, at least the following:

An analysis of the current status and any deficiencies in public facilities, services, buildings, or a defined geographic area.
An analysis of alternative means of correcting such deficiencies described in subd. 1.
A written plan for the selection of a proposed course of action, a narrative description, cost estimates, and map of the project location or defined geographic area.

(3) Other considerations. When reviewing the applications received under sub. (2), the department shall consider some or all of the following:

(a) Whether the specific project plan is intended to address one of the 3 national objectives as specified in s. Adm 93.04.

(b) The extent of poverty, unemployment, labor shortages, or other economic factors in the specific project area.

(d) The amount of additional investment and improved public health and safety that is likely to result from the plan implementation.

(e) The likelihood that the specific project will result in the preservation or expansion of the existing tax base.

(f) The planning for the specific project is consistent with other planned or recently completed community or economic development projects such as, but not limited to, smart growth planning as specified in s. 16.965 (1) (b), Stats.

History

EmR1309: emerg. cr. eff. 7-1-13; CR 13-069: cr. Register April 2014 No. 700, eff. 5-1-14.

Chapter Adm 94 DIESEL TRUCK IDLING REDUCTION GRANTS

Wis. Admin. Code § Adm 94.10 Purpose {#sec-adm-94.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 94.10}

Pursuant to s. 16.956 (5m), Stats., this chapter sets forth the requirements for applying for, receiving, and using grants for purchasing and field testing diesel truck idling reduction units.

History

CR 06-034: cr. Register December 2006 No. 612, eff. 1-1-07; correction made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; correction made under s. 13.92 (4) (b) 7., Stats., Register September 2013 No. 693.

Wis. Admin. Code § Adm 94.20 Definitions {#sec-adm-94.20 omnilex-key=us-wi-regs-official--agency-adm--Adm 94.20}

In this chapter:

(1) The definitions in s. 16.956 (1), Stats., shall apply.

Note: See Appendix for a reprint of s. 16.956 (1), Stats., and the statute sections referenced in that section.

(2) “Department” means the department of administration.

(3) “Headquartered in this state,” as referenced under s. Adm 94.30 (1), means the applicant’s principal central administrative office is located in Wisconsin, or the applicant’s business pays at least 80 percent of its payroll to employees employed in Wisconsin.

History

CR 06-034: cr. Register December 2006 No. 612, eff. 1-1-07; correction in (1), (2), (3) made under s. 13.92 (4) (b) 6., 7., Stats., Register December 2011 No. 672; corrections in (1) to (3) made under s. 13.92 (4) (b) 6., 7., Stats., Register September 2013 No. 693.

Wis. Admin. Code § Adm 94.30 Eligibility {#sec-adm-94.30 omnilex-key=us-wi-regs-official--agency-adm--Adm 94.30}

(1) Eligible applicants.

(a) Only applicants meeting all of the eligibility criteria in s. 16.956 (3), Stats., and in par. (b) may receive grants under this chapter.

(b)

The applicant is not failing to comply with any conditions imposed by the department on any previous grant received under this chapter.
If requested by the department, the applicant agrees to pay a percentage of the eligible costs that exceeds the 50 percent specified in s. 16.956 (3) (c), Stats.

(2) Eligible costs. Grants awarded under this chapter shall only be used to cover costs that are established as eligible in s. 16.956 (4) (a) and (b), Stats.

Note: See Appendix for a reprint of s. 16.956 (3) and (4) (a) and (b), Stats.

History

CR 06-034: cr. Register December 2006 No. 612, eff. 1-1-07; CR 08-037: am. (1) (b) 2. Register October 2008 No. 634, eff. 11-1-08; correction in (1) (a), (b) 2., (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; corrections in (1) (a), (b) 2., (2) made under s. 13.92 (4) (b) 7., Stats., Register September 2013 No. 693.

Wis. Admin. Code § Adm 94.40 Applications for grants {#sec-adm-94.40 omnilex-key=us-wi-regs-official--agency-adm--Adm 94.40}

Every application for a grant under this chapter shall be submitted to the department on a fully completed, valid form provided by the department.

Note: The department’s application form is generally available at the department’s Web site at http://www.stateenergyoffice.wi.gov, through links there for the diesel truck idling reduction grant program.

History

CR 06-034: cr. Register December 2006 No. 612, eff. 1-1-07.

Wis. Admin. Code § Adm 94.50 Awarding of grants {#sec-adm-94.50 omnilex-key=us-wi-regs-official--agency-adm--Adm 94.50}

(1) Limits. Every grant awarded under this chapter shall comply with the limits established in s. 16.956 (4) (d), Stats.

Note: As specified in s. 16.956 (2), Stats., the department’s authority to award grants under this chapter expires on June 30, 2020.

(2) Truck tractors without sleeper cabs. The department may refuse to award a grant for purchasing and installing an idling reduction unit on a truck tractor that does not have a sleeper berth.

(3) Allocation for small fleets. The department may annually allocate up to 25 percent of the grant funding under this chapter, for awarding only to applicants who own and operate 50 or fewer truck tractors.

(4) Preference for fleets without previous awards. The department may preferentially direct funding to an applicant who owns a fleet for which no previous grant has been awarded under this chapter.

(5) Prorating awards. The department may set cutoff dates for accepting the applications specified in s. Adm 94.30, and then prorate the awards to the applicants if the total funding requested in the applications exceeds the available revenue.

(6) Conditions.

(a) General. Each recipient of a grant awarded under this chapter shall comply with any corresponding conditions imposed by the department, as authorized under s. 560.125 (4) (f), Stats.

Note: Section s. 560.125 (4) (f) was repealed.

(b) Reports. Each recipient of a grant awarded under this chapter shall submit six- and twelve-month post-installation reports in a format prescribed by the department. These reports shall include evidence of being derived from on-board, electronically recorded data.

Note: As required by s. 16.956 (5), Stats., the department will collect information from recipients of grants under this section relating to the operation and performance of idling reduction units. The department will also summarize the information collected and make it available to common motor carriers, contract motor carriers, and private motor carriers, on the department’s Web site at http://www.stateenergyoffice.wi.gov, through links there for the diesel truck idling reduction grant program.

History

CR 06-034: cr. Register December 2006 No. 612, eff. 1-1-07; correction in (1) made under s. 13.92 (4) (b) 7., Stats., Register December 2009 No. 648; correction in (1), (5) made under s. 13.92 (4) (b) 7., Stats., Register December 2011 No. 672; corrections in (1), (5) made under s. 13.92 (4) (b) 7., Stats., Register September 2013 No. 693.

Chapter Adm 94 Appendix APPENDIX

Wis. Admin. Code § Chapter Adm 94 APPENDIX {#sec-chapter-adm-94 omnilex-key=us-wi-regs-official--agency-adm--Chapter Adm 94}

The material contained in this appendix is for informational purposes only, and is numbered to correspond to the number of the rule, as the rule appears in the text of the code.

(Statutes cited are current through 2013 Wisconsin Act 45.)

A–94.20 Reprint of s. 16.956 (1), Stats., and the statute sections (in italics) referenced in that section. “16.956 (1) (a) ‘Common motor carrier’ has the meaning given in s. 194.01 (1). [“194.01 (1) ‘Common motor carrier’ means any person who holds himself or herself out to the public as willing to undertake for hire to transport passengers by motor vehicle between fixed end points or over a regular route upon the public highways or property over regular or irregular routes upon the public highways. The transportation of passengers in taxicab service or in commuter car pool or van pool vehicles with a passenger-carrying capacity of less than 16 persons or in a school bus under s. 120.13 (27) shall not be construed as being that of a common motor carrier.”]

(b) ‘Contract motor carrier’ has the meaning given in s. 194.01 (2). [“194.01 (2) ‘Contract motor carrier’ means any person engaged in the transportation by motor vehicle over a regular or irregular route upon the public highways of property for hire, including the transportation of buildings, as defined in s. 348.27 (12m) (a) 1.”]

(c) ‘Idling reduction unit’ means a device that is installed on a diesel truck to reduce the long-duration idling of the truck by providing heat, air conditioning, or electricity to the truck while the truck is stationary and the main drive engine of the truck is not operating.

(d) ‘Post-1998 diesel truck engine’ means a heavy-duty highway diesel engine that complies with the air pollutant emission standards promulgated by the federal environmental protection agency under 42 USC 7521 for engine model year 1998 or a later engine model year.

(e) ‘Private motor carrier’ has the meaning given in s. 194.01 (11). [“194.01 (11) ‘Private motor carrier’ means any person except a common or contract motor carrier engaged in the transportation of property by motor vehicle other than an automobile or trailer used therewith, upon the public highways.”]

(f) ‘Truck tractor’ has the meaning given in s. 340.01 (73).” [“340.01 (73) ‘Truck tractor’ means a motor vehicle designed and used primarily for drawing other vehicles and not so constructed as to carry a load other than a part of the weight of the vehicle and load so drawn.”]

A–94.30 and 94.50 Reprint of s. 16.956 (3) and (4), Stats. “16.956 (3) Eligible applicants. An applicant is eligible for a grant under this section only if all of the following apply:

(a) The applicant is a common motor carrier, contract motor carrier, or private motor carrier that transports freight.

(b) The applicant is headquartered in this state.

(c) The applicant pays 50 percent of the eligible costs for each idling reduction unit covered by a grant under this section without the use of grants, loans, or other financial assistance from this state or from a local governmental unit in this state.

(d) The applicant agrees to collect information relating to the operation and performance of each idling reduction unit covered by a grant under this section, as required by the department, and to report that information to the department.

(4) Grants. (a) Except as provided in par. (b), the costs that an applicant has incurred or will incur to purchase and install an idling reduction unit on a truck tractor that is owned and operated by the applicant and that has a post-1998 diesel truck engine are eligible costs under this section if the use of the idling reduction unit will result, in the aggregate, in a decrease in the emissions of one or more air contaminants, as defined in s. 285.01 (1), from the truck tractor on which the idling reduction unit is installed or in a decrease in the use of energy by the truck tractor on which the idling reduction unit is installed.

(b) The following costs are not eligible costs:

The cost of shipping an idling reduction unit from the manufacturer to the facility where the idling reduction unit will be installed on the truck tractor.
The cost of operating an idling reduction unit.
The cost of maintaining an idling reduction unit.

(cm) Subject to par. (d), the department may make grants under this section from July 1, 2009 to June 30, 2015, of 50 percent of the eligible costs for an idling reduction unit installed on a truck tractor, unless the department has previously awarded a grant under this section for an idling reduction unit installed on the truck tractor.

(d) In any fiscal year, the department may not pay to any one applicant more than 20 percent of the amount appropriated under s. 20.165 (2) (sm) [s. 20.505 (1) (sa)] for the fiscal year.

NOTE: The correct cross-reference is shown in brackets. Corrective legislation is pending.

(e) The department may pay a grant over more than one fiscal year, subject to the availability of funds and to par. (d).”

Chapter Adm 95 VFF-EMT SERVICE AWARD PROGRAM

Wis. Admin. Code § Adm 95.01 Authority {#sec-adm-95.01 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.01}

Sections 16.004 (1) and 16.25 (2), (3), (4), and (5), Stats., and 2015 Wisconsin Act 55, section 9101 (10j) (e), authorize the department to promulgate rules for establishing a length of service award program for volunteer fire fighters, emergency medical responders, and emergency medical services practitioners.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: am. Register June 2009 No. 642, eff. 7-1-09; corrections made under s. 13.92 (4) (b) 6. and 7., Stats., Register December 2015 No. 720; CR 18-011: am. Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.02 Purpose {#sec-adm-95.02 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.02}

The purpose of this chapter is to establish a program for length of service awards to VFF-EMT participants who provide services to municipalities that operate volunteer fire departments or volunteer fire companies, or authorize emergency medical and technical services, and to emergency medical responders in any municipality that authorizes emergency medical responders to provide emergency medical responder services, and to establish qualifications and requirements for private sector individuals and organizations eligible to provide administrative and investment services for length of service award programs.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: am. Register June 2009 No. 642, eff. 7-1-09; CR 18-011: am. Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.03 Definitions {#sec-adm-95.03 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.03}

In this chapter:

(1) “Account” means a statement or record of all state and municipal length of service award contributions, including all applicable earnings, redistributions, and deductions made on behalf of a VFF-EMT maintained by a program administrator.

(2) “Beneficiary” means a person, trust, or entity designated by a VFF-EMT to receive benefits under a program.

(4) “Credit” means the recognition of the fulfillment of the requirements for performing service toward a length of service award under the program.

(4m) “Department” means the department of administration as specified in s. 16.25, Stats.

(4s) “Emergency medical responder” has the meaning given in s. 16.25 (1) (am), Stats.

(5) “Emergency medical services” means medical care that is rendered to a sick, disabled, or injured individual based on signs, symptoms, or complaints, prior to the individual’s hospitalization or while transporting the individual between health care facilities and that is limited to the use of the knowledge, skills, and techniques received from training required under s. 256.15, Stats., and ch. DHS 110, as a condition for being issued an emergency medical services practitioner license.

(5m) “Emergency medical services practitioner” has the meaning given in s. 16.25 (1) (at), Stats.

(6) “Fire fighting services” means the organized suppression and prevention of fires.

(7) “Fiscal year” means the period beginning on July 1 and ending on June 30.

(8) “Length of service award program” or “program” means a program as described in section 457 of the internal revenue code that is implemented and administered by a program administrator approved by the department, and that to the extent allowed by federal law, provides a tax-deferred benefit to a VFF-EMT consistent with the internal revenue code, s. 16.25, Stats., and this chapter.

(9) “Municipality” means a city, county, village, or town.

(10) “Net asset value” means the value of an individual length of service award determined by adding the municipal contributions and the state matching contributions, all earnings thereon, and any redistributions as provided in s. Adm 95.08, less investment expenses.

(11) “Participating municipality” means a municipality that meets the program eligibility requirements of s. Adm 95.04 and elects to participate in a program.

(12) “Prior service” means the service performed by a VFF-EMT for a participating municipality before that municipality began participation in a program.

(13) “Program administrator” means a non-governmental individual or organization in the private sector that provides and administers a program or a designee.

(14) “Service” includes fire fighting services, emergency medical responder services, emergency medical services, or rescue services provided to a participating municipality by a VFF-EMT.

(15) “State” means the state of Wisconsin.

(17) “Volunteer fire company” means one that is organized under s. 213.05, Stats.

(18) “Volunteer fire department” has the meaning specified in s. 213.08, Stats.

(19) “Volunteer fire fighter” or “VFF” means a person that renders fire fighting or rescue services to a participating municipality and does not receive compensation under a contract of employment as a fire fighter.

(20) “VFF-EMT” means a volunteer fire fighter, volunteer emergency medical responder, or volunteer emergency medical services practitioner.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: cr. (6m), am. (9), (14) and (20) Register June 2009 No. 642, eff. 7-1-09; corrections in (5) and (16) made under s. 13.92 (4) (b) 7., Stats., Register June 2009 No. 642; correction in (6m) made under s. 13.92 (4) (b) 7., Stats; correction in (5) made under s. 13.92 (4) (b) 7., Stats., Register May 2015 No. 713; (4m) renumbered from (3) under s. 13.92 (4) (b) 1., Stats., corrections in (4m), (8) made under s. 13.92 (4) (b) 6., corrections in (4m), (10), (11) made under s. 13.92 (4) (b) 7., Stats., Register December 2015 No. 720; CR 18-011: cr. (4s), am. (5), cr. (5m), r. (6m), am. (14), r. (16), am. (20) Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.04 Participating municipalities {#sec-adm-95.04 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.04}

(1) A municipality that operates a volunteer fire department or that contracts with a volunteer fire company organized under ch. 181 or 213, Stats., that authorizes emergency medical responders to provide emergency medical responder services or that authorizes volunteer emergency medical services practitioners to provide emergency medical services, is eligible to become a participating municipality.

(2) An eligible municipality may participate in a program by adopting a resolution or ordinance stating that it shall abide by all statutes, administrative rules, regulations, and procedures pertaining to a length of service award program. The adopted resolution or ordinance shall be on a form approved by the department and provided to the program administrator or the department upon request.

Note: To request approval of a form for a resolution or ordinance, contact the Service Award Program, c/o Department of Administration, Division of Intergovernmental Relations, P.O. Box 8944, Madison, Wisconsin 53708 or (608) 266-7043.

(3) Each participating municipality shall develop standards for determining the service required of the volunteer fire fighters, emergency medical responders, and emergency medical services practitioners it sponsors under the program in order to qualify for credit and an annual contribution.

(4) Municipalities that jointly operate or contract with a volunteer fire department or a volunteer fire company or that jointly authorize volunteer emergency medical services practitioners, or that jointly authorize emergency medical responders to provide emergency medical responder services, may operate as a single participating municipality under the program, and may be required to do so by the program administrator.

(5)

(a) A VFF-EMT may perform service for credit toward a length of service award to more than one volunteer fire department, volunteer fire company, emergency medical responder service, or entity authorized to provide volunteer emergency medical services.

(b) A VFF-EMT may have only one account for each volunteer fire department, volunteer fire company, emergency medical responder service, or entity authorized to provide volunteer emergency medical services to which the VFF-EMT provides service.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: am. (1), (3), (4) and (5) Register June 2009 No. 642, eff. 7-1-09; correction in (2) made under s. 13.92 (4) (b) 6., Stats., Register December 2015 No. 720; CR 18-011: am. Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.05 Contributions to a program {#sec-adm-95.05 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.05}

(1) Municipal contributions. A participating municipality shall determine the amount it will contribute on behalf of each VFF-EMT it sponsors under a program. A participating municipality shall cause an account to be opened with the program administrator for each sponsored VFF-EMT. A participating municipality’s contributions shall be paid at least annually to the program administrator.

(2) Matching contributions.

(a) On a calendar year basis, the department shall pay all amounts matched under s. 16.25 (3) (d) 1., Stats., directly to the program administrator, up to the maximum appropriated under s. 20.505 (4) (er), Stats., and subject to any proration required under s. 16.25 (3) (d) 2., Stats.

Note: 2021 Wisconsin Act 58 repealed s. 16.25 (3) (d) 2. and renumbered s. 16.25 (3) (d) 1.

(b) Subject to the time period for a protest or appeal under s. Adm 95.16, a participating municipality shall pay all contributions for a calendar year to the program administrator on or before February 15 of the following year in order to receive a matching contribution from the department.

(3) Annual adjustment. Annually on July 1, the department shall make any adjustments necessary to the matched funds to be paid in the subsequent calendar year to reflect changes in U.S. consumer price index for all urban consumers, using the method set forth in s. 16.25 (3) (d), Stats.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; corrections in (2), (3) made under s. 13.92 (4) (b) 6., Stats., correction in (2) (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2015 No. 720; CR 18-001: am. (2) (a), (b) Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.06 Contributions for prior service {#sec-adm-95.06 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.06}

(1)

(a) A participating municipality may make contributions for prior service provided that the VFF-EMT has performed service to that municipality, which may include a combination of prior service and service performed after the municipality began participating in a program. The number of years of prior service for which the participating municipality may contribute shall not exceed the number of years of total prior service performed by the VFF-EMT to that municipality. A participating municipality may impose additional eligibility requirements for accepting prior service.

(b) Subject to applicable internal revenue code restrictions as determined by the program administrator, the minimum contribution payable by a participating municipality for each year of prior service credited to a VFF-EMT shall be $100. A participating municipality may pay a different amount for prior service than the amount paid for service performed after the municipality began participating in a program.

(c) Subject to applicable internal revenue code restrictions as determined by the program administrator, a participating municipality that makes contributions for prior service may pay those contributions over a number of years not to exceed 20, and may include interest on such payments to reflect the fact that they are being added for prior service over a number of years in lieu of a lump sum payment.

(d) For purposes of determining the department’s matching contribution under s. Adm 95.05 (2), any contributions made by a participating municipality for prior service shall be accounted for separately from contributions for service performed after the municipality began participating in a program.

(e) If a participating municipality ceases to exist or ceases its participation in a program, it shall pay the balance owed on any account for contributions made for prior service no later than under the schedule of payments set forth in its agreement with the program administrator.

(2) If a municipality’s records are insufficient to establish eligibility for the purchase of prior service for a VFF-EMT, the municipality shall conduct a thorough investigation and, using the standards for determining the service required to qualify for annual contributions under s. Adm 95.04 (3), shall make a decision based upon good faith belief and the best information available as to the prior service claimed.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: am. (1) (a) Register June 2009 No. 642, eff. 7-1-09; correction in (1) (d) made under s. 13.92 (4) (b) 6., Stats., corrections in (1) (d), (2) made under s. 13.92 (4) (b) 7., Stats., Register December 2015 No. 720.

Wis. Admin. Code § Adm 95.07 Vesting and receipt of length of service award {#sec-adm-95.07 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.07}

A VFF-EMT is required to provide 10 years of service for which credit has been given before the VFF-EMT may receive any benefits under the program.

(1) Full vesting.

(a) A VFF-EMT who has provided 15 years of service for credit to a participating municipality shall be fully vested and paid a length of service award upon reaching age 60.

(b) A VFF-EMT may elect to receive their length of service award under this subsection by notifying the program administrator and the participating municipality within the time period required by the program administrator or the applicable program. A VFF-EMT receiving an award under this subsection shall receive the full net asset value of their account.

(c) Upon receiving payment of a length of service award, a fully vested VFF-EMT age 60 or older may continue to provide service for credit toward a length of service award under a new account, but shall be paid any subsequent contributions made on the VFF-EMT’s behalf by the participating municipality or the department immediately after they are received by the program administrator.

(2) Partial vesting.

(a) A VFF-EMT who has discontinued providing eligible service after performing a minimum of 10 years of service for credit shall be partially vested and may elect to receive a partial length of service award under this subsection at any time after reaching age 53, by notifying the program administrator and the participating municipality within the time period required by the program administrator or the applicable program.

(b) A VFF-EMT electing to receive a partial length of service award under this subsection shall be entitled to receive the award in the next calendar year following the date of the election. The VFF-EMT shall receive 50% of the net asset value of their account as of the date of the election for the first 10 years of service for credit performed. For each year of service for credit more than 10, but less than 15, performed by the VFF-EMT, ten percent of the net asset value of the account as of the date of the election shall be added. A VFF-EMT who has reached the age of 53 but has not reached the age of 60 and who has 15 or more years of service shall receive 95% of the net asset value of the account as of the date of the election. The amounts not paid to a VFF-EMT under this subsection shall be forfeited and equally distributed among all other open VFF-EMT accounts sponsored by that municipality at the time of the forfeiture.

(c) A VFF-EMT who has reached age 53 but is not fully vested may continue to perform service for credit toward a length of service award.

(d) A VFF-EMT who has discontinued providing eligible service after performing a minimum of 15 years of service for credit and who has not elected to receive a partial length of service award under this subsection may instead elect to receive their length of service award under sub. (1) upon reaching age 60.

(3) New accounts. At any time a VFF-EMT receives a length of service award associated with an account, they may discontinue providing eligible service and accruing service credit under that account, and begin providing eligible service under a new account.

(4) Prior service credit. For vesting purposes under this section and s. 16.25, Stats., credit for service performed by a VFF-EMT may include prior service for credit under s. Adm 95.06 (1) (a).

(5) Form of benefit distribution. A VFF-EMT may receive their length of service award payment either in a lump sum or by any other method offered by the program administrator and approved by the department. The form of benefit distribution shall be determined by the program administrator and approved by the department. The chosen form shall be stated in the specific plan documents provided by the program administrator.

(6) Simultaneous service. For purposes of determining vesting under this section and s. 16.25, Stats., if a VFF-EMT simultaneously renders service to 2 or more municipalities, or two or more separate and distinct services for a single municipality, only one year of service may be credited toward any length of service award in any calendar year the VFF-EMT provided multiple service.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: am. (6) Register June 2009 No. 642, eff. 7-1-09; corrections in (1) (c), (5) made under s. 13.92 (4) (b) 6., Stats., correction in (4) made under s. 13.92 (4) (b) 7., Stats., Register December 2015 No. 720; CR 18-011: am. (1) (a), (b), r. and recr. (2) (a), am. (2) (b), (c), cr. (2) (d) Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.08 Non-vested account closure and leaves of absence {#sec-adm-95.08 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.08}

(1) Non-vested forfeiture. The account of a VFF-EMT who has performed less than 10 years of service under a program shall be closed if the VFF-EMT ceases to perform creditable service for a period of 12 months or more and fails to meet any other program requirement established by the municipality, unless a supervisor has granted the VFF-EMT a leave of absence for that period.

(2) Leaves of absence. A participating municipality may determine the conditions under which a leave of absence shall be granted. A participating municipality shall grant a leave of absence in writing on or before December 31 of the calendar year in which it is to take effect.

(3) Closed account distribution. A forfeited account shall be equally distributed among all other open VFF-EMT accounts sponsored by a participating municipality at the time of the forfeiture. Forfeitures may not be distributed to an account frozen under s. Adm 95.09 (1).

(4) Notice upon transfer of service. For vesting purposes under s. Adm 95.07, upon joining or exiting a program, a VFF-EMT shall notify the new program administrator and any previous program administrator before forfeiture is to occur in order to qualify for transfer of their service years.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: am. (title), (1) and (3) (title) Register June 2009 No. 642, eff. 7-1-09; corrections in (3), (4) made under s. 13.92 (4) (b) 7., Stats., Register December 2015 No. 720; CR 18-011: am. (1) Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.09 Transfer of service to a different program administrator {#sec-adm-95.09 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.09}

(1) Frozen accounts. When a VFF-EMT ceases performing service for one participating municipality and begins performing service for another that utilizes a different program administrator, their account shall be frozen. No contributions or forfeiture distributions may be made to a frozen account, but a frozen account shall continue to accrue earnings.

(2) Service transfer. Any service credited to a VFF-EMT associated with a frozen account shall count toward vesting under s. Adm 95.07, provided the VFF-EMT meets the notice requirements of this section, and either of the following occurs:

(a) If the VFF-EMT has accumulated less than 10 years of service, the participating municipality, for which the service was provided and the account opened, has granted the VFF-EMT a leave of absence, or

(b) The VFF-EMT begins performing creditable service for a subsequent participating municipality within 12 months of ceasing to perform creditable service for the VFF-EMT’s former participating municipality.

(3) VFF-EMT notice.

(a) A VFF-EMT shall provide a copy of the leave of absence granted under s. Adm 95.08 (2) to the current participating municipality’s program administrator within 6 months of beginning their new service.

(b) A VFF-EMT wishing to transfer service under this section shall provide the current program administrator with the most recent annual statement of service issued under s. Adm 95.11 (2) by their former participating municipality.

(c) Payment of a length of service award may only occur after a VFF-EMT has reached age 53, and must be made under the provisions of either s. Adm 95.07 (1) or (2), as the individual circumstances permit. In order to receive payment of a length of service award from a frozen account, a VFF-EMT shall notify their former program administrator of any service credited by a subsequent program administrator.

(4) Program administrator notice.

(a) A program administrator shall accept a statement of service provided by a VFF-EMT under this section, and record the number of whole years stated and the associated account identifier on the new account opened for the VFF-EMT.

(b) For purposes of vesting and payment of a length of service award under s. Adm 95.07, a program administrator shall accept all service credited to a VFF-EMT by any prior or subsequent program administrator, provided it has received notice from the VFF-EMT as required by sub. (3) (c).

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; corrections in (2) (intro.), (3), (4) (b) made under s. 13.92 (4) (b) 7., Stats., Register December 2015 No. 720; CR 18-011: am. (2) (b), (3) (c) Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.10 Disability and death benefits {#sec-adm-95.10 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.10}

(1) Disability. If a VFF-EMT becomes permanently disabled as determined by the Wisconsin worker’s compensation program under ch. 102, Stats., while actively on duty performing service, the VFF-EMT may apply to the program administrator for payment of the net asset value of each of the disabled VFF-EMT participant’s accounts. Upon request, the program administrator shall make payment as soon as administratively possible.

(2) Death. If a VFF-EMT dies while actively on the rolls of a volunteer fire department, volunteer fire company, emergency medical responder service in any municipality that authorizes emergency medical responders to provide emergency medical responder services, or an emergency medical service that provides services to a participating municipality under a program, the VFF-EMT’s designated beneficiary shall be paid an amount equal to the net asset value of each account held by the VFF-EMT designating that beneficiary. Upon request, the program administrator shall make payment as soon as administratively possible.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; CR 08-033: am. (2) Register June 2009 No. 642, eff. 7-1-09; CR 18-011: am. (2) Register June 2018 No. 750, eff. 7-1-18.

Wis. Admin. Code § Adm 95.11 Records and certification of service {#sec-adm-95.11 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.11}

(1) Each participating municipality shall maintain and submit to the program administrator as required under a program, detailed and accurate records of every VFF-EMT providing fire fighting or emergency medical services to that municipality.

(2) Annually, on or before January 31, a participating municipality shall submit under oath a statement of service to the program administrator listing all VFF-EMT members that have performed service for that municipality for the preceding calendar year, and post the statement of service in a conspicuous place for a minimum of 30 days thereafter.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02.

Wis. Admin. Code § Adm 95.12 Program administrator qualifications {#sec-adm-95.12 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.12}

(1) Pursuant to a fair and equitable procurement process adopted by the department, and based upon the provisions of s. 16.75, Stats., the department shall contract with one or more program administrators to offer a length of service award program. A program administrator awarded a contract shall comply with all of the following:

(a) Have at least 5 years experience administering a length of service award program as described in section 457 of the internal revenue code, or a deferred compensation program as provided for therein. The program administrator’s experience shall include administering at least one program that has a participation level of 1,000 or more individual members, multiple participating jurisdictions, and consolidated record keeping for all investment options offered.

(b) Have marketing and enrollment services that include the following:

At least annual contacts to each participating municipality and VFF-EMT describing the program and the investment options offered by the program administrator.
Presentations to all participating municipalities and VFF-EMT participants that include full disclosure of all direct and indirect fees and costs of the program as well as advantages and disadvantages of participating investment options offered by the program administrator.
Literature and forms regarding the program and the investment options offered by the program administrator to be distributed to all participating municipalities and VFF-EMT participants that are in a format approved by the department.

(c) Have services that provide unlimited opportunities to increase or decrease contributions and to redirect contributions to other investment options offered by the program administrator.

(d) Have accounting procedures and consolidated record keeping for account transactions that maintain all participating municipalities’ and VFF-EMT participants’ records and submits deposits, transfers, and withdrawals to the investment companies offering investment options under the program.

(e) Have membership in good standing by the program administrator or the manager of any investment options offered in an organization customary in the program administrator’s or investment manager’s industry that provides protection against loss.

(f) Have no litigation risks or involvement in pending regulatory action deemed by the department or the department to be material to the continued operations of the program administrator.

(2) The department shall consider the financial strength of a program administrator or an entity affiliated with the program administrator for purposes of operating a program, on the basis of its net worth and the ratio of net worth to present or projected assets under management.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; corrections in (1) (intro.), (b) 3., (f), (2) made under s. 13.92 (4) b) 6., Stats., Register December 2015 No. 720.

Wis. Admin. Code § Adm 95.13 Program administration {#sec-adm-95.13 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.13}

(1) A program administrator awarded a contract to provide a length of service award program shall sign a contract with the department in which the program administrator agrees to do all of the following:

(a) Comply with all statutes, rules, and regulations governing the program and share pertinent information, such as municipal contributions and state matching funds, with the department and any other program administrator under contract with the department to ensure compliance with the state and federal law and regulations.

(b) Provide the services set forth in s. Adm 95.12 (1) (b) and (c).

(c) Obtain pre-approval by the department of the mandatory disclosures to participating municipalities set forth in s. Adm 95.12 (1) (b) 2.

(d) At least annually, provide full disclosure to the department of all fees and commissions earned directly or indirectly on operations of the program by the program administrator, and other financial information relative to a VFF-EMT account maintained by a program administrator, including municipal and state contributions, forfeitures, and disbursements.

(e) Provide, at the program administrator’s expense, an annual independently audited financial statement of the affiliated entity providing the investment or insurance plan to a participating municipality under the program to the department within 120 days following the end of each calendar year.

(f) Submit to the department an acceptable contingency plan to address both data processing systems failures and administrative service interruptions.

(g) Upon request, provide a copy of the fund prospectus and annual report for each investment option offered by the program administrator to participating municipalities and enrolled VFF-EMT participants.

(h) Cooperate with other program administrators to provide for service credit portability between program administrators under s. Adm 95.09.

(i) At least annually, provide statements to participating municipalities and enrolled VFF-EMT participants detailing contributions made on behalf of a VFF-EMT by a participating municipality, account balance information, and disclosure of all fees, commissions, and charges affecting that account’s earnings or balances.

(j) Provide an annual report to all participating municipalities, VFF-EMT participants and the department illustrating the investment performance of all investment options offered.

(k) Cooperate with any successor program administrator, including extending the term of the contract for a reasonable period of time as may be necessary, to ensure a smooth transition of program administrators.

(L) Provide opinions of tax counsel or other legal counsel to the department as necessary.

(m) Provide a set of procedures to the department and participating municipalities under contract with the program administrator, detailing the steps that a participating municipality must take when terminating its participation in the program.

(2) The program administrator, its agents, and the investment options offered, shall meet all applicable state and federal laws, rules and regulations including the internal revenue code, security and exchange commission regulations, and state and federal insurance laws and regulations.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; corrections in (1) (intro.), (a), (c), (f), (j), (L), (m) made under s. 13.92 (4) (b) 6., Stats., corrections in (1) (b), (c), (h) made under s. 13.92 (4) (b) 7., Stats., Register December 2015 No. 720.

Wis. Admin. Code § Adm 95.14 Participating municipality obligations {#sec-adm-95.14 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.14}

(1) In fulfillment of its responsibility as a fiduciary of the program, a participating municipality shall review information provided by the program administrator including the mandatory disclosures described in s. Adm 95.12 (1) (b) 2.

(2) A participating municipality shall sign a contract with the program administrator for program services provided under s.16.25, Stats., and ch. Adm 95.

(3) A participating municipality shall sign a memorandum of understanding with the program administrator prior to selecting any investment option offered stating that all requirements and regulations pertinent to that option have been clearly explained by that program administrator and that the participating municipality has received an explanation by the program administrator or its representatives of the mandatory disclosures described in s. Adm 95.12 (1) (b) 2.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; corrections in (1) to (3) made under s. 13.92 (4) (b) 7., Stats., December 2015 No. 720.

Wis. Admin. Code § Adm 95.15 Program termination {#sec-adm-95.15 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.15}

A participating municipality may terminate a program by adopting and filing a resolution to that effect with the department. The department shall promptly submit a copy of the resolution to the program administrator. A termination shall comply with all applicable statutes and rules, and the requirements of the program administrator and the department. All accounts of VFF-EMT participants in a terminated program shall be treated in the same manner as accounts in a program in which the sponsoring participating municipality ceased to exist as set forth in s. Adm 95.06 (1) (e).

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; corrections made under s. 13.92 (4) (b) 6. and 7., Stats., Register December 2015 No. 720.

Wis. Admin. Code § Adm 95.16 Appeals {#sec-adm-95.16 omnilex-key=us-wi-regs-official--agency-adm--Adm 95.16}

(1) Protest to municipality. A VFF-EMT may protest an issue of service credit or other matter affecting the VFF-EMT’s substantial interest under the program in writing to the sponsoring participating municipality. The participating municipality shall review the documentation and other submissions and make a determination in writing and return it to the protesting party within 30 days of the receipt of the written protest. The participating municipality may consult with the program administrator as required. Upon request, the department may review a participating municipality’s decision.

(2) Appeal to the department. An individual who has a substantial interest affected by a department decision may appeal in writing to the department within 30 days of the receipt of the participating municipality’s written determination. The department shall review the documentation and other submissions and make a determination in writing and return it to the appealing party within 90 days of the receipt of the written appeal. All decisions of the department shall be final.

History

CR 01-123: cr. Register May 2002 No. 557, eff. 6-1-02; corrections in (1), (2) made under s. 13.92 (4) (b) 6., Stats., Register December 2015 No. 720.