Chapter Adm 82

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.

Adm 82.80(1) (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.

Adm 82.80(2) (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:

Adm 82.80(2)(a) (a) The change is not material, and the certification of the DVB continues.

Adm 82.80(2)(b) (b) The change is material and warrants a review of the status of the DVB.

Adm 82.80(3) (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.

Adm 82.80(4) (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.

Adm 82.80 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 82.90 Adm 82.90 Certification of a business, financial adviser, or investment firm by another public agency.

Adm 82.90(1) (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.

Adm 82.90(2) (2) In making the determination in sub. (1), the department may consider factors that include the following:

Adm 82.90(2)(a) (a) The documentation that the applicant was required to provide to receive certification by the agency.

Adm 82.90(2)(b) (b) Whether an on-site visit was performed.

Adm 82.90(2)(c) (c) The length of time for which certification is effective.

Adm 82.90(3) (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).

Adm 82.90(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.

Adm 82.90 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 82.95 Adm 82.95 Certification criteria for a corporation owned by a nonprofit organization.

Adm 82.95(1) (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:

Adm 82.95(1)(a) (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.

Adm 82.95(1)(b) (b) At least 51 percent of the board of directors or trustees of the nonprofit organization are disabled veterans.

Adm 82.95(1)(c) (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.

Adm 82.95(1)(d) (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.

Adm 82.95(2) (2) The applicant and department shall follow the certification procedures described in s. Adm 82.50.

Adm 82.95 History 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.