ETF 10.82 NoteNote 3: Under s.
943.395 (1) (c), Stats., it is prohibited to present or cause to be presented a false or fraudulent claim or benefit application, or any false or fraudulent proof in support of such a claim or benefit application, or false or fraudulent information which would affect a future claim or benefit application, to be paid under any employee benefit program created by ch.
40, Stats. Criminal penalties are provided for violation of this prohibition.
ETF 10.82(2)(b)1.1. The department may, at its sole discretion and in whole or in part, treat as never received or formally reject any fax or e-mail unless the department is satisfied that the transmission is complete, duly authorized by the proper person, authentic and is not likely to result in any payment of benefits through fraud, misrepresentation or error. To the extent that the correspondence consists of a purported copy of a document, the department may reject a fax or e-mail or treat it as never received unless satisfied that the transmission is an accurate copy.
ETF 10.82(2)(b)2.
2. Examples of circumstances under which a transmission may be rejected or treated as if never received include the following:
ETF 10.82(2)(b)2.c.
c. The transmission was not received on a fax machine or e-mail server, for fax and e-mail correspondence respectively, used by the department.
ETF 10.82(2)(b)2.d.
d. There is no separate fax cover sheet or similar information accompanying the transmission which provides the sender's name, mailing address, and telephone number, as well as the fax number or e-mail address from which the transmission was sent.
ETF 10.82(2)(b)2.e.
e. The department is unable to determine to its satisfaction the identity of the sender from the information transmitted.
ETF 10.82(2)(b)2.f.
f. The department is unable to determine from the transmitted information to whom or to what transaction the transmission pertains.
ETF 10.82 Note
Note: Records in the department pertaining to participants, alternate payees and insured persons are filed by Social Security Number, member identification number and name. Records pertaining to beneficiaries of deceased participants are filed with the deceased participant's records, identified by the decedent's name, Social Security Number and member identification number, as well as the name and Social Security Number of the beneficiary.
ETF 10.82(2)(b)2.g.
g. A reasonable doubt exists that a fax or e-mail or e-mail attachment is a true copy of the document of which it purports to represent, as determined by the department.
ETF 10.82(2)(b)2.h.
h. The authenticity of an underlying document is not established to the satisfaction of the department.
ETF 10.82(2)(b)2.i.
i. With respect to a benefit application form, waiver of benefits, beneficiary designation, election concerning the variable retirement investment trust or other document affecting entitlement to or payment of benefits, it is not established to the satisfaction of the department that the sender of the transmission was the living person whose benefits are affected, a person duly authorized to act on that person's behalf, such as a guardian of the estate or attorney-in-fact, or the trustee of a trust or personal representative of an estate entitled to receive death benefits.
ETF 10.82(2)(b)2.j.
j. The document is received after the deadline for receipt by, or filing with, the department.
ETF 10.82 Note
Example: Annuity applications or beneficiary designations received after the death of the participant are never accepted.
ETF 10.82(2)(c)
(c) Department may request additional information. Before agreeing to acknowledge, accept, file, formally receive or act upon correspondence transmitted by fax or e-mail, the department may request additional information, including but not limited to the original document or other supporting representations and documentation, as necessary to establish to the department's satisfaction that the transmitted correspondence is authentic, offered by the proper person and, if the correspondence includes or consists of a copy of a document, that the transmission is a true and authentic copy.
ETF 10.82(2)(d)
(d) No presumptions as to receipt. Any attempt to file documents with the department by facsimile or electronic mail is entirely at the risk of the person transmitting the facsimile or electronic mail to the department. Transmission does not create a presumption of actual receipt by the department. Dates and times inserted into a fax or e-mail by a sending machine do not establish when, or if, correspondence was received by the department. Mere acknowledgement that a transmission was received does not establish that the transmission was complete, was accepted or that the content sent corresponds to the content received.
ETF 10.82 Note
Note: Silence by the department does not indicate receipt or acceptance. If verification of receipt is important to the sender, the sender should seek and obtain verification from the department division, bureau or staff actually responsible for processing the transaction in question.
ETF 10.82(2)(e)
(e) Agents and third-party administrators not affected. This subsection does not require a third party administrator or agent under contract to any board to administer a benefit program supervised by that board to accept correspondence or documents by fax or e-mail. Neither does this rule prohibit such an agent or third party administrator from doing so, provided security, privacy, authenticity and accuracy concerns are adequately addressed.
ETF 10.82(2)(f)
(f) Specific documents excluded. The department may not accept or rely on electronic copies of certain documents, as follows:
ETF 10.82(2)(f)1.
1. The text includes words to the effect that a copy may not be relied upon to the same extent as the original.
ETF 10.82(2)(f)2.
2. The document is a record, or is offered to the department as necessary evidence, of the execution of a will or the creation of a testamentary trust.
ETF 10.82(2)(g)
(g) Requirement to be in writing. If a provision of ch.
40, Stats. or a rule adopted under ch.
40, Stats., requires a document offered to the department to be in writing, then the department may deem an e-mail or fax to satisfy that requirement.
ETF 10.82(2)(h)
(h) Signature requirement. If a provision of ch.
40, Stats., or a rule adopted under ch.
40, Stats., requires a signature, then the department may deem a signature transmitted by fax or incorporated in an e-mail, including any electronic sound, symbol or process attached to or logically associated with the e-mail and executed, adopted, or affixed by a person with the intent to sign the e-mail, to satisfy that requirement.
ETF 10.82 History
History: Cr.
Register, December, 1994, No. 468, eff. 1-1-95; am. (2) (b) 27., 28. and 29.,
Register, January, 1996, No. 481, eff. 2-1-96;
CR 02-126: am. (2) (b) 5.
Register April 2003 No. 568, eff. 5-1-03;
CR 04-104: am. (1) (a), cr. (1) (am), r. and recr. (2)
Register July 2005 No. 595, eff. 8-1-05; correction in (2) (f) 2. a. made under s. 13.93 (2m) (b) 7., Stats.,
Register September 2006 No. 609;
CR 19-126: am. (2) (f) 1. b., r. (2) (f) 1. c., 2.
Register May 2021 No. 785, eff. 6-1-21;
CR 23-023: renum. (2) (f) 1. to (2) (f), r. (2) (f) 3. Register May 2024 No. 821, eff. 6-1-24. ETF 10.84(1)(1)
The department shall generally attempt to respond to requests to provide documents such as informational brochures, blank forms and annuity or disability estimates in the order in which such requests are received by the department.
ETF 10.84(2)
(2) When the department responds to a request for information, forms, estimates or similar documents, if the requestor is not actually available in the department's offices for delivery by hand, the method of transmission of requested documents to the requestor shall be through the U.S. mail, by e-mail, by facsimile, or through the requestor's participating employer, if any, at the discretion of the department.
ETF 10.84 History
History: Cr.
Register, December, 1994, No. 468, eff. 1-1-95;
CR 11-040: am. (2), r. (3)
Register July 2012 No. 679, eff. 8-1-12.
ETF 10.85
ETF 10.85 Prohibited transactions. Effective January 1, 1989, the department may not engage in a prohibited transaction as defined in section
503 (b) of the internal revenue code.
ETF 10.85 History
History: CR 13-004: cr.
Register August 2013 No. 692, eff. 9-1-13.
ETF 10.86
ETF 10.86 Electronic deposits. Any member, beneficiary, or distributee of any estate receiving benefits payable under any of the benefit plans administered by the department may have the benefits paid via electronic deposit into a financial institution account owned by a representative payee, nursing home, religious order, or other entity designated by the member, beneficiary, or distributee of any estate and approved by the department.
ETF 10.86 History
History: CR 12-054: cr.
Register October 2013 No. 694, eff. 11-1-13.
