Corporate Guardianships: Application Process

This page describes the paperwork needed to become a corporate guardianship business. Paperwork in Sections I and II must be completed prior to paperwork in Section III.

Wis. Admin. Code § DHS 85.01 establishes the criteria by which the department determines whether a private nonprofit corporation organized under Wis. Stat. chs. 181, 187, or 188, or an unincorporated association, is suitable to perform the duties of a guardian of the person, or of the estate, or both, of a proposed ward.

Section I

Department of Financial Institutions (DFI): Form DFI-102 (Articles of Incorporation – Nonstock Corporation)

  • The Division of Quality Assurance (DQA) Corporate Guardianship program requires a copy of the submitted DFI-102 form when a corporate guardianship application is processed. The name of a corporate guardianship business must end with the abbreviation "Inc." (refer to Article 1 of DFI-102 instructions). DQA returns corporate guardian application materials if applying corporations do not have "Inc." at the end of names.
  • DFI provides form DFI-102 as an online form and as a PDF document (PDF) with instructions (PDF).

Section II

DQA—Office of Caregiver Quality (OCQ)

The Caregiver Law, under s. 50.065, Wis Stats., requires two types of caregiver background checks:

  1. Those completed by employers on their entities and contractors (see Chapters 1 and 2 of the Caregiver Program Manual).
  2. Those completed by DQA license holders/legal representatives and non-client residents of DQA-regulated entities.

The Caregiver Background Check Process page provides background check information and forms needed to fulfill requirements.

See Corporate Guardianship Background Check Process, P-01926 (PDF) for more information about the criminal background check requirement and process for Corporate Guardianship agencies and employees.

Section III

DQA—Bureau of Education Services and Technology

Completion of the Corporate Guardian Status Application, F-60820 (PDF) is the last step in the corporate guardian application process.

The guidance below provides clarification of the type of information to include in your Corporate Guardianship grievance procedure and Business Plan. This procedure and plan requirement can be found in Corporate Guardianship Program Status Application, page three (3), Section II. You are not limited to this list and are encouraged to add additional information you think is significant to your business plan. In order to better describe your business it is acceptable to duplicate some of the information in the different categories.   

Grievance Procedure

The intent of this procedure is to support each client’s right to voice grievances and to assure that after receiving a complaint/grievance, the corporate guardianship agency actively seeks a resolution and keeps the client appropriately apprised of its progress toward resolution. Also, the corporate guardianship agency shall have policies and procedures in place which provide that no sanctions will be threatened or imposed against any client who files a grievance, or any person, including an employee of the agency, who assists a client in filing a grievance.

Include your step-by-step process of the business client Grievance Procedure. How is the grievance accepted (written, verbalized or called in)? How is the grievance documented (date received, who responded, date of response)? What is the next step? What is the timeline between each step? At what point do you call in a third party to mediate and who would be the third party? If third party intervention fails would your business contact another aging and disability group or the county? How does the business verify the Grievance Procedure was explained and the client has received a copy of the procedure? In addition to the Grievance Procedure a copy of the business Grievance Form should be included.

Business Plan  

  1. Executive summary: Describe the business and your professional background. What services are provided and to what disability groups? How will these services be delivered? Is there a need for these services in the area? If so, explain your solution. Do you have a unique partnership, management team or staff? What is your business working towards? What makes your business more unique than others in the area? Is there a mission statement?
  2. Business description and vision: Where is the business located? What are the business goals and objectives? Is there a business philosophy for you and the staff? What are the strengths of the business? Do you anticipate any changes in the near future?
  3. Market analysis: Define the specific and tangible marketing goals. How do you plan to gain recognition and support? What does the business do to achieve the result of these marketing efforts? How do you plan on marketing the business to the target clients? How do you plan to promote your services? Explain how clients will benefit from your services.  
  4. Program operation(s): What are the business hours? Is there emergency contact information? Provide a description of how you are going to implement the services being offered. Also, include any pricing information.
  5. Organization and management: How is this business managed and run? Include information about how and where services are offered, location of business, legal issues (permits, health regulations, travel, communication) and how to manage personnel. Is there an organizational chart or Board of Directors?
  6. Financial management and staffing projections: What is the business financial plan consisting of projections, budgets (start up and annual), and performance, for the next few years? What accounting or bookkeeping systems will you have in place to ensure that business operating funds are kept separate from wards’ funds and to ensure a separate and complete accounting of each ward’s funds (as required in Wis. Admin. Code § DHS 85.12(6))?
  7. Staff development: What training or staff development do you plan to ensure that employees are trained in: job responsibilities; prevention and reporting of abuse, neglect or misappropriation of ward property; information regarding needs and services for each ward; information about local resources; best practices for corporate guardians (i.e. as developed by the Wisconsin Guardianship Association (WGA) or the National Guardianship Association (NGA); and agency policies and procedures. What plan do you have for employee continuing education (as required by Wis. Admin. Code § DHS 85.10(2))?

Contact Us

For questions regarding corporate guardianships email or call 608-266-8481.

Last Revised: July 17, 2018