Chapter SPS 2

Chapter SPS 2

PROCEDURES FOR PLEADING AND HEARINGS

SPS 2.01   Authority.

SPS 2.02   Scope; kinds of proceedings.

SPS 2.03   Definitions.

SPS 2.035   Receiving informal complaints.

SPS 2.036   Procedure for settlement conferences.

SPS 2.037   Parties to a disciplinary proceeding.

SPS 2.04   Commencement of disciplinary proceedings.

SPS 2.05   Pleadings to be captioned.

SPS 2.06   Complaint.

SPS 2.07   Notice of hearing.

SPS 2.08   Service and filing of complaint, notice of hearing and other papers.

SPS 2.09   Answer.

SPS 2.10   Administrative law judge.

SPS 2.11   Prehearing conference.

SPS 2.12   Settlements.

SPS 2.13   Discovery.

SPS 2.14   Default.

SPS 2.15   Conduct of hearing.

SPS 2.16   Witness fees and costs.

SPS 2.17   Transcription fees.

SPS 2.18   Assessment of costs.

SPS 2.20   Extension of time limits in disciplinary actions against physicians.

Ch. SPS 2 Note Note: Chapter RL 2 was renumbered chapter SPS 2 under s. 13.92 (4) (b) 1., Stats., Register November 2011 No. 671.

SPS 2.01 SPS 2.01 Authority. The rules in ch. SPS 2 are adopted pursuant to authority in s. 440.03 (1), Stats., and procedures in ch. 227, Stats.

SPS 2.01 History History: Cr. Register, October, 1978, No. 274, eff. 11-1-78; am. Register, May, 1982, No. 317, eff. 6-1-82; correction made under s. 13.92 (4) (b) 7., Stats., Register November 2011 No. 671.

SPS 2.02 SPS 2.02 Scope; kinds of proceedings. The rules in this chapter govern procedures in class 2 proceedings, as defined in s. 227.01 (3) (b), Stats., against licensees before the department and all disciplinary authorities attached to the department, except that s. SPS 2.17 applies also to class 1 proceedings, as defined in s. 227.01 (3) (a), Stats.

SPS 2.02 History History: Cr. Register, October, 1978, No. 274, eff. 11-1-78; am. Register, May, 1982, No. 317, eff. 6-1-82; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, May, 1988, No. 389; am. Register, June, 1992, No. 438, eff. 7-1-92; emerg. am. eff. 11-14-95; correction made under s. 13.92 (4) (b) 7., Stats., Register November 2011 No. 671.

SPS 2.03 SPS 2.03 Definitions. In this chapter:

SPS 2.03(1) (1) “Complainant” means the person who signs a complaint.

SPS 2.03(2) (2) “Complaint” means a document which meets the requirements of ss. SPS 2.05 and 2.06.

SPS 2.03(3) (3) “Department” means the department of safety and professional services.

SPS 2.03(4) (4) “Disciplinary authority” means the department or the attached examining board or board having authority to revoke the license of the holder whose conduct is under investigation.

SPS 2.03(5) (5) “Disciplinary proceeding” means a proceeding against one or more licensees in which a disciplinary authority may determine to revoke or suspend a license, to reprimand a licensee, to limit a license, to impose a forfeiture, or to refuse to renew a license because of a violation of law.

SPS 2.03(6) (6) “Division” means the division of legal services and compliance in the department.

SPS 2.03(7) (7) “Informal complaint” means any written information submitted to the division or any disciplinary authority by any person which requests that a disciplinary proceeding be commenced against a licensee or which alleges facts, which if true, warrant discipline.

SPS 2.03(8) (8) “Licensee” means a person, partnership, corporation or association holding any license, permit, certificate or registration granted by a disciplinary authority or having any right to renew a license, permit, certificate or registration granted by a disciplinary authority.

SPS 2.03(9) (9) “Respondent” means the person against whom a disciplinary proceeding has been commenced and who is named as respondent in a complaint.

SPS 2.03(10) (10) “Settlement conference” means a proceeding before a disciplinary authority or its designee conducted according to s. SPS 2.036, in which a conference with one or more licensee is held to attempt to reach a fair disposition of an informal complaint prior to the commencement of a disciplinary proceeding.

SPS 2.03 History History: Cr. Register, October, 1978, No. 274, eff. 11-1-78; am. (1) and (6), renum. (7) and (8) to be (8) and (9), cr. (7), Register, May, 1982, No. 317, eff. 6-1-82; r. (1), renum. (2) to (4) to be (1) to (3), cr. (4) and (10), am. (5), (7) and (8), Register, June, 1992, No. 438, eff. 7-1-92; correction in (2), (3), (10) made under s. 13.92 (4) (b) 6., 7., Stats., Register November 2011 No. 671; CR 14-019: am. (6) Register August 2014 No. 704, eff. 9-1-14.

SPS 2.035 SPS 2.035 Receiving informal complaints. All informal complaints received shall be referred to the division for filing, screening and, if necessary, investigation. Screening shall be done by the disciplinary authority, or, if the disciplinary authority directs, by a disciplinary authority member or the division. In this section, screening is a preliminary review of complaints to determine whether an investigation is necessary. Considerations in screening include, but are not limited to:

SPS 2.035(1) (1) Whether the person complained against is licensed;

SPS 2.035(2) (2) Whether the violation alleged is a fee dispute;

SPS 2.035(3) (3) Whether the matter alleged, if taken as a whole, is trivial; and

SPS 2.035(4) (4) Whether the matter alleged is a violation of any statute, rule or standard of practice.

SPS 2.035 History History: Cr. Register, May, 1982, No. 317, eff. 6-1-82; am. (intro.) and (3), Register, June, 1992, No. 438, eff. 7-1-92.

SPS 2.036 SPS 2.036 Procedure for settlement conferences. At the discretion of the disciplinary authority, a settlement conference may be held prior to the commencement of a disciplinary proceeding, pursuant to the following procedures:

SPS 2.036(1) (1) Selection of informal complaints. The disciplinary authority or its designee may determine that a settlement conference is appropriate during an investigation of an informal complaint if the information gathered during the investigation presents reasonable grounds to believe that a violation of the laws enforced by the disciplinary authority has occurred. Considerations in making the determination may include, but are not limited to:

SPS 2.036(1)(a) (a) Whether the issues arising out of the investigation of the informal complaint are clear, discrete and sufficiently limited to allow for resolution in the informal setting of a settlement conference; and

SPS 2.036(1)(b) (b) Whether the facts of the informal complaint are undisputed or clearly ascertainable from the documents received during investigation by the division.

SPS 2.036(2) (2) Procedures. When the disciplinary authority or its designee has selected an informal complaint for a possible settlement conference, the licensee shall be contacted by the division to determine whether the licensee desires to participate in a settlement conference. A notice of settlement conference and a description of settlement conference procedures, prepared on forms prescribed by the department, shall be sent to all participants in advance of any settlement conference. A settlement conference shall not be held without the consent of the licensee. No agreement reached between the licensee and the disciplinary authority or its designee at a settlement conference which imposes discipline upon the licensee shall be binding until the agreement is reduced to writing, signed by the licensee, and accepted by the disciplinary authority.

SPS 2.036(3) (3) Oral statements at settlement conference. Oral statements made during a settlement conference shall not be introduced into or made part of the record in a disciplinary proceeding.

SPS 2.036 History History: Cr. Register, June, 1992, No. 438, eff. 7-1-92.

SPS 2.037 SPS 2.037 Parties to a disciplinary proceeding. Parties to a disciplinary proceeding are the respondent, the division and the disciplinary authority before which the disciplinary proceeding is heard.

SPS 2.037 History History: Cr. Register, May, 1982, No. 317, eff. 6-1-82; renum. from RL 2.036 and am., Register, June, 1992, No. 438, eff. 7-1-92.

SPS 2.04 SPS 2.04 Commencement of disciplinary proceedings. Disciplinary proceedings are commenced when a notice of hearing is filed in the disciplinary authority office or with a designated administrative law judge.