Chapter Adm 82

Adm 82.50(1)(c) (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.

Adm 82.50(1)(d) (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.

Adm 82.50(1)(e) (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.

Adm 82.50(1)(f) (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.

Adm 82.50(1)(g) (g) All information submitted shall become the property of the department.

Adm 82.50(1)(h) (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:

Adm 82.50(1)(h)1. 1. A discussion of business operations with the owners.

Adm 82.50(1)(h)2. 2. 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.

Adm 82.50(1)(h)3. 3. A review of the applicant’s organizational structure, management responsibilities and labor force characteristics. In this review, the department may do the following:

Adm 82.50(1)(h)3.a. a. Analyze the ownership of stock in the business, if the applicant is a corporation.

Adm 82.50(1)(h)3.b. b. Examine the work history of the applicant, including contracts the applicant has received and the work the applicant has completed.

Adm 82.50(1)(i) (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.

Adm 82.50(1)(j) (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.

Adm 82.50(2) (2) Denial of certification.

Adm 82.50(2)(a) (a) The department may deny certification for any of the following reasons:

Adm 82.50(2)(a)1. 1. The department determines that the applicant fails to meet the eligibility standards for certification or other requirements of this chapter.

Adm 82.50(2)(a)2. 2. The applicant fails to furnish the department with requested information within the allotted time period.

Adm 82.50(2)(a)3. 3. The applicant knowingly provides false or misleading information to the department.

Adm 82.50(2)(a)4. 4. 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.

Adm 82.50(2)(b) (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.

Adm 82.50(2)(c) (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.

Adm 82.50(2)(d) (d) Each applicant denied certification may reapply for certification, no earlier than the following:

Adm 82.50(2)(d)1. 1. 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.

Adm 82.50(2)(d)2. 2. 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.

Adm 82.50(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.

Adm 82.50 History 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.

Adm 82.52 Adm 82.52 Renewal procedure.

Adm 82.52(1) (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.

Adm 82.52(2) (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.

Adm 82.52(3) (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.

Adm 82.52 History 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.

Adm 82.55 Adm 82.55 Recertification procedure. To maintain its certification status, a DVB shall reapply for its certification prior to the designated expiration date, in accordance with the following procedure:

Adm 82.55(1) (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.

Adm 82.55(2) (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.

Adm 82.55(3) (3) Processing of recertification applications shall follow the certification procedure described in s. Adm 82.50.

Adm 82.55(4) (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.

Adm 82.55 History 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.

Adm 82.60 Adm 82.60 Decertification criteria.

Adm 82.60(1) (1) The department shall decertify a DVB that is found to not meet the DVB eligibility standards in s. Adm 82.20.

Adm 82.60(2) (2) Sufficient reasons for decertification include the following:

Adm 82.60(2)(a) (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.

Adm 82.60(2)(b) (b) The DVB fails to submit an application for recertification within the allotted time period.

Adm 82.60(2)(c) (c) The DVB fails to comply with a request from the department for records or information within the allotted time period.

Adm 82.60(2)(d) (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.

Adm 82.60(2)(e) (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.

Adm 82.60(2)(f) (f) The DVB does not maintain current information on the DVB database.

Adm 82.60 History 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.

Adm 82.65 Adm 82.65 Decertification procedure.

Adm 82.65(1) (1) Initiation of decertification process.

Adm 82.65(1)(a) (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.

Adm 82.65(1)(b) (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.

Adm 82.65(2) (2) Investigation procedure.

Adm 82.65(2)(a) (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.

Adm 82.65(2)(b) (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.

Adm 82.65(2)(c) (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.

Adm 82.65(2)(d) (d) Upon completion of the investigation, the department shall prepare a written report that includes all of the following:

Adm 82.65(2)(d)1. 1. A statement of the facts leading to the investigation.

Adm 82.65(2)(d)2. 2. Steps taken in the investigation.

Adm 82.65(2)(d)3. 3. Findings of the investigation.

Adm 82.65(2)(d)4. 4. A conclusion that contains a recommendation for disposition of the matter.

Adm 82.65(3) (3) Notice of intent to decertify.

Adm 82.65(3)(a) (a)

Adm 82.65(3)(a)1. 1. 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.

Adm 82.65(3)(a)2. 2. The department shall send a copy of any notice issued under subd. 1. to the department of transportation.

Adm 82.65(3)(b) (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.

Adm 82.65(3)(c) (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.

Adm 82.65(3)(d) (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).

Adm 82.65(4) (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.

Adm 82.65 History 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.

Adm 82.70 Adm 82.70 Informal hearing procedure.

Adm 82.70(1) (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.

Adm 82.70 Note 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.

Adm 82.70(2) (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.

Adm 82.70(3) (3) The department shall conduct the hearing on an informal basis.

Adm 82.70(4) (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.

Adm 82.70(5) (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.

Adm 82.70(6) (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.

Adm 82.70 History 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.

Adm 82.75 Adm 82.75 Appeal procedure.

Adm 82.75(1) (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.

Adm 82.75 Note Note: The mailing address for the Secretary of the Department of Administration is P.O. Box 7864, Madison, WI 53707.

Adm 82.75(2) (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.

Adm 82.75(3) (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.

Adm 82.75 Note 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.

Adm 82.75(4) (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).

Adm 82.75(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.

Adm 82.75(6) (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.

Adm 82.75 History 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.

Adm 82.80 Adm 82.80 Notification of changes in application information.