Section 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.(c) The named survivor of the deceased under s. 40.02(41r), 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; 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 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.Wis. Admin. Code Department of Employee Trust Funds ETF 10.70
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.Amended by, correction in (4) (intro.), (a) to (e) made under s. 13.92(4) (b) or 35.17(2), Stats.,Register April 2017 No. 736, eff. 5/1/2017