Wisconsin Legislature: ETF 10.71(1)(b)

ETF 10.70 Individual personal information.

(1) “Individual personal information” means all information in any individual record of the department, including the date of birth, earnings, contributions, interest credits, beneficiary designations, creditable service, marital or domestic partnership status, address, and social security number, but does not include information in any statistical report, other report or summary in which individual identification is not possible.

(2) Individual personal information may be disclosed as required for the proper administration of benefit programs under ch. 40, Stats., including discussion of this information in any meeting of any board created under s. 15.16 or 15.165, Stats., or disclosure in any written record of the board proceedings.

(3)

(a) Pursuant to s. 40.07 (1m) (a), Stats., an individual’s personal information may be disclosed, except as otherwise prohibited, upon proper identification, to that individual or the duly authorized personal representative of that individual in person, by telephone, or in writing.

(b) Except as provided in par. (d), an individual’s authorization to release information to a personal representative shall be in writing, signed, and dated and shall refer specifically to the records in this department.

(c) A written authorization under par. (b) which does not contain an expiration date shall be deemed to have expired 6 months following the date the authorization was signed.

(d) The secretary of the department, or specific departmental employees designated by the secretary, may authorize disclosure of information without written authorization when urgent circumstances exist which warrant an exception to normal procedures and when the person to whom the information is to be given is otherwise authorized to receive it.

(4) In case of death, disabling injury, or disabling disease, the department may disclose individual personal information only to any of the following, as identified by the department:

(a) The legal representative of the individual whose record is the subject of the inquiry.

(b) A beneficiary of the deceased under s. 40.02 (8), Stats.

(d) The duly authorized representative of the beneficiary or the named survivor.

(e) The legal representative of the deceased individual’s estate.

Note: The definition of “beneficiary” was affected by 2007 Wis. Act 131. The existing administrative rules using that term were reviewed in order to ensure that the use of the term remained logical, correct and consistent with the new definition. While conducting that review, the department located three provisions that needed to be amended: ss. ETF 10.70 (4), 10.70 (5) (b) 1. and 20.04 (2). This rule (CR 09-057) amends the current rule allowing disclosure of confidential personal information in case of death, disabling injury or disease, to clarify that disclosure to a beneficiary may be made only after the participant has died, since only then can the actual beneficiary be determined. The amendment will also help safeguard the confidential information of living participants.

(5) Notwithstanding sub. (3), disclosure of an individual’s beneficiary designation shall only be made under any of the following circumstances:

(a) While the individual is living, to the individual or to his or her duly authorized representative, upon request.

(b) After the death of the individual:

1. Upon request, to the personal representative of the individual’s estate, to the beneficiary of the individual under s. 40.02 (8), Stats., as identified by the department, or to the duly authorized representative of the personal representative or that beneficiary;

This rule (CR 09-057) amends the current rule allowing disclosure of a deceased individual’s confidential personal information to clarify that the persons who may request that information are the personal representative of the estate, the decedent’s beneficiary or a duly authorized representative of either of them.

2. To an insurance carrier or administrator of benefits under ch. 40, Stats., or predecessor as necessary for proper payment of benefits.

(c) To parties determined by the department to have an interest in the designation, when the information is relevant to a pending court action or to a pending appeal under s. 40.03 (1) (j), (6) (i), (7) (f), (8) (f), or 40.80 (2g), Stats.

(d) Nothing in this subsection shall be construed to prohibit the department from communicating with the individual or the individual’s guardian about the individual’s beneficiary designation at the department’s initiative as necessary for the proper administration of the department.

(6) Nothing in this section shall require the department to disclose individual personal information if in the judgement of the department the requestor has not provided adequate evidence of identity or proper authorization to receive the information.

History: Cr. Register, June, 1983, No. 330, eff. 7-1-83; r. and recr. (5), Register, October, 1992, No. 442, eff. 11-1-92; am. (5) (a) and (b) 1., cr. (5) (d) and (6), Register, January, 1996, No. 481, eff. 2-1-96; correction in (3) (a) made under s. 13.93 (2m) (b) 7., Stats., Register September 2006 No. 609; CR 09-057: am. (4) and (5) (b), 1. Register May 2010 No. 653, eff. 6-1-10; EmR0938: emerg. am. (1), eff. 1-1-10; CR 10-004: am. (1) Register July 2010 No. 655, eff. 8-1-10; CR 16-033: renum. (4) to (4) (intro.), (a), (b), (d), (e) and am., cr. (4) (c) Register April 2017 No. 736, eff. 5-1-17; correction in (4) (intro.) made under s. 35.17, Stats., Register April 2017 No. 736.

ETF 10.71 Transcript fees.

(1) The department shall provide a party to an appeal under ch. ETF 11, or a party to department proceedings under s. 227.42, Stats., with a copy of the transcript of any proceedings upon request and payment of a fee. The party shall make the request for the transcript in writing and pay a fee as follows:

(a) For an existing written transcript, a $5.00 flat charge plus $1.00 for each page of the transcript for single copies.

(b) For other electronic record, the reasonable cost of the medium and copying.

(2) One free copy of the transcript shall be provided to any party who establishes to the satisfaction of the department, that the payment of a transcript fee would prove to be an unreasonable financial burden due to the party’s lack of financial resources.

History: Cr. Register, July, 1977, No. 259, eff. 8-1-77; renum. from ETF 3.02 and am. (1) (intro.) and (2), Register, June, 1983, No. 330, eff. 7-1-83; r. and recr. (1) (intro.), am. (1) (a), cr. (1) (c) to (e), Register, June, 1992, No. 438, eff. 7-1-92; CR 11-040: am. (1) (a), r. (1) (b), (c), (d), renum. (1) (e) to be (1) (b) Register July 2012 No. 679, eff. 8-1-12.

ETF 10.72 Fee for search of historical records. Individuals and employers may be charged an administrative fee of $5.00 for information concerning an account or record which is not readily available and which requires a search of historical records, either within the department or at the state records center. This charge shall not apply for searches required by s. 40.285 (2) (d), Stats.

History: Cr. Register, April, 1978, No. 268, eff. 5-1-78; renum. from ETF 3.03 am., Register, June, 1983, No. 330, eff. 7-1-83; correction made under s. 13.93 (2m) (b) 7., Stats., Register July 2005 No. 595.

ETF 10.75 Power of attorney.

(1) As used in this section, “power of attorney” includes all of the following:

(a) A uniform statutory power of attorney as set forth in s. 244.61, Stats.

(b) A uniform statutory power of attorney as defined under and containing the language required in a uniform statutory power of attorney act enacted by a jurisdiction other than the state of Wisconsin, provided the power of attorney meets the requirements of and does not conflict with s. 244.61, Stats.

(d) A durable power of attorney as defined under and containing the language required in a uniform durable power of attorney act enacted by a jurisdiction other than the state of Wisconsin, provided the power of attorney meets the requirements of and does not conflict with s. 244.02 (3), Stats.

(e) A person’s common law authorization, whether durable or non-durable, to act as the person’s agent under a power of attorney.

(1m)

(a) A power of attorney document signed before September 1, 2010, is presumed to be non-durable unless the power of attorney document specifies that it is durable.

(b) A power of attorney document signed on or after September 1, 2010, is presumed to be durable unless the power of attorney document specifies that it is non-durable.

(2) The department or the Wisconsin deferred compensation program administrator, as applicable, shall accept the agent’s signature in lieu of the principal’s signature for all transactions for which the department or the Wisconsin deferred compensation program administrator requires the principal’s signature, provided that all of the following conditions are met:

(a) The department or the Wisconsin deferred compensation program administrator, as applicable, received either the original of the power of attorney which is dated and signed by the person granting the power of attorney, or a legible facsimile copy or e-mail attachment, subject to s. ETF 10.82. The department or the Wisconsin deferred compensation program administrator, as applicable, may require additional documentation deemed necessary to verify that the power of attorney remains in effect.

(b) The appointment under power of attorney has not terminated or expired.

(d) If requested by the department or the Wisconsin deferred compensation program administrator, the agent certifies that he or she does not have knowledge of the termination of the appointment, the principal’s death, or if applicable, the principal’s incapacitation. If the department or the Wisconsin deferred compensation program administrator requests such certification, and the agent does not provide the certification as requested, the department or the Wisconsin deferred compensation program administrator may decline to act upon the request.

(e) If the power of attorney is conditioned on the incapacitation of the principal, upon request of the department or the Wisconsin deferred compensation program administrator the agent provides evidence satisfactory to the department or the Wisconsin deferred compensation program administrator that the principal has become incapacitated. In this paragraph, “incapacity” has the meaning given in s. 244.02 (7), Stats.

(f) Subject to par. (c), the department and the Wisconsin deferred compensation program administrator, as applicable, shall treat as valid any beneficiary designation received prior to the principal’s death that is signed by the agent, without regard to the date on which the power of attorney was executed by the principal or the date on which the department or the Wisconsin deferred compensation program administrator receives the beneficiary designation form, provided that the agent signed the beneficiary designation on or after the date on which the principal executed the power of attorney granting that authority to the agent.

(3)

(a) The department or the Wisconsin deferred compensation program administrator, as applicable, shall review acknowledged power of attorney documents for technical completeness, and will reject any that are technically deficient within 10 days after receipt by the department.

(b) The department and the Wisconsin deferred compensation program administrator, as applicable, shall not honor transaction requests by the agent for which the power of attorney document does not grant authority to the agent, regardless of whether the agent’s request is rejected within 10 days after the department received the agent’s request.

(c) The effective dates of certain transactions are based on the receipt date of either the transaction request or certain documents, such as a benefit application. If the department receives such a transaction request from the agent, but either has not received the power of attorney or the department requests certification under sub. (2) (d), the department must receive the requested certification or the power of attorney within 30 days after the department’s notification to the agent that the power of attorney or certification is required. If the department receives the certification or power of attorney within 30 days, the effective date of the transaction requested will be based on the original date on which the department received the transaction request.

(d) Paragraph (c) shall not apply if the principal executed the power of attorney after the date on which the department received the transaction request.

(e) A document signed by the agent prior to the date on which the power of attorney becomes effective shall have no force or effect.

(4)

(a) If the principal has granted joint power of attorney to co-agents, the department or the Wisconsin deferred compensation program administrator, as applicable, shall require the signature of each agent on any transaction that requires the principal’s signature.

(b) If the principal has granted separate power of attorney to more than one agent, each with independent authority, the department and the Wisconsin deferred compensation program administrator, as applicable, shall honor transaction requests signed by any single agent, subject to sub. (2) (c).

(c) If agents under par. (b) request to execute conflicting transactions, the department or the Wisconsin deferred compensation program administrator, as applicable, may decline to act upon the requests of one or more of the agents if it is determined to be in the best interests of the principal.

(5) The department or the Wisconsin deferred compensation program administrator, as applicable, may decline to act upon the request of an agent acting under an alleged power of attorney if there is reason to believe that the purported agent is not the appointed person, the appointment is not in effect, the authority of the power of attorney does not extend to the particular transaction, or the power of attorney is otherwise defective.

(6)

(a) Unless otherwise specified in the power of attorney, if the agent is the principal’s spouse or domestic partner as defined in s. 770.01 (1), Stats., the power of attorney terminates if an action is filed for the dissolution of the agent’s marriage to the principal or the domestic partnership of the principal and agent is terminated.

(b) Unless otherwise specified in the power of attorney, if the agent is the principal’s domestic partner as defined in s. 40.02 (21c), Stats., the power of attorney does not automatically terminate if only the domestic partnership as defined in s. 40.02 (21d), Stats., terminates.

History: Cr. Register, September, 1986, No. 369, eff. 10-1-86; r. and recr. Register, December, 1996, No. 492, eff. 1-1-97; CR 04-104: am. (2) (a) Register July 2005 No. 595, eff. 8-1-05; CR 10-138: r. and recr. Register August 2011 No. 668, eff. 9-1-11; CR 23-023: am. (2) (e) Register May 2024 No. 821, eff. 6-1-24; correction in (2) (e) made under s. 35.17, Stats., Register May 2024 No. 821.

ETF 10.78 Guardianship requirements.

(1) When the amount of a single sum benefit payment to a minor, as defined under s. 54.01 (20), Stats., or incompetent, as described in s. 54.10 (3), Stats., exceeds $5,000, or when an annuity or disability annuity is payable, payment shall be made by the department to the court appointed guardian, for the benefit of the minor or incompetent, upon receipt of a certified copy of the letters of appointment. Letters of appointment shall be certified within the past 6 months. If the minor is married and has not been adjudged to be incompetent, the department shall make the payment to the minor.

(2) If a guardianship is identified prior to payment, payment shall be made to the guardian, for the benefit of the minor or incompetent, upon receipt of a certified copy of the letters of appointment.

(3) If there is a guardian of the estate and another guardian of the person, payment shall be made to the guardian of the estate.

History: Cr. Register, September, 1986, No. 369, eff. 10-1-86; corrections in (1) made under s. 13.93 (2m) (b) 7., Stats., Register September 2006 No. 609; EmR0938: emerg. r. (2), eff. 1-1-10; CR 10-004: r. (2) Register July 2010 No. 655, eff. 8-1-10; correction in (3) made under s. 13.92 (4) (b) 7., Stats., Register July 2010 No. 655; CR 11-040: am. (1), renum. (3), (4) to be (2), (3) Register July 2012 No. 679, eff. 8-1-12.

ETF 10.79 Reasonable efforts to locate benefit payees.

(1) The department shall make reasonable efforts to maintain current addresses on file for participants, other than for participating employees under s. 40.02 (46), Stats., alternate payees, beneficiaries or other potential benefit recipients. These efforts shall include, but shall not be limited to, the following:

(a) Require participating employers to report a current address for all terminating participants.

(b) Request social security numbers and addresses for all named beneficiaries on the departmental beneficiary designation form.

(c) Initiate a minimum of one written contact per year to alternate payees and participants, other than participating employees and annuitants, which may be accomplished by sending those persons an annual statement of account or benefit statement.

(d) Publish an article annually in the departmental participant newsletter communicating the importance of notifying the department of address changes.

(2) Before considering a benefit abandoned under s. 40.08 (8), Stats., the department shall make reasonable efforts to locate participants, alternate payees and beneficiaries except those persons whose accounts meet the conditions specified in s. 40.08 (8) (f), Stats. Reasonable efforts to locate potential benefit payees may include, but are not limited to:

(a) Seek current address information for potential benefit payees through locator services available from the social security administration, internal revenue service or other federal or state agencies.

(b) Seek current address information for potential benefit payees through private company data bases or locator services.

(c) Publish the names of potential benefit payees in the official state newspaper with instructions for contacting the department for application information. This paragraph shall not apply to accounts that meet the conditions specified in s. 40.08 (8) (f), Stats.

History: Cr. Register, June, 1998, No. 510, eff. 7-1-98.

ETF 10.82 Receipt by the department.

(1) Date of receipt or filing; nonbusiness hours and holidays excluded.

(a) Except as otherwise specifically provided in par. (am) for a facsimile or electronic mail, the date a document is received by, or filed with, the department is the date the original document is physically received at the department at its offices during regular business hours as provided under s. 230.35 (4) (f), Stats., regardless of the date the document was mailed or otherwise intended to be transmitted to the department and regardless of any mishandling or misdirection by the U.S. postal service or any other agency or person. A document which arrives at the department’s offices after 4:30 p.m. Monday through Friday or on a Saturday, Sunday or holiday as defined by s. 230.35 (4) (a), Stats., is deemed received by the department at 7:45 a.m. on the next day on which the department’s offices are regularly open for business as provided under s. 230.35 (4) (f), Stats.

(am) Unless otherwise provided in sub. (2), a fax or e-mail to which sub. (2) applies is received by the department, regardless of whether any individual is aware of its receipt, when it enters the information processing system designated or used by the department for the purpose of receiving facsimiles or electronic mail, respectively, provided the following are true:

1. The fax or e-mail transmission is in a form capable of being processed by department’s information processing system.

2. The department is able to retrieve the fax or e-mail from the information processing system.

(b) No department employee may affix a date stamp to a document received by the department which indicates a date received in conflict with par. (a).