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Corporate Guardianship: Application Process

This webpage describes the steps needed to become a corporate guardianship business. You must complete the prerequisite steps in Sections I and II before completing the application for approval in Section III.

Section I: Organize the private nonprofit corporation or unaffiliated association with the Department of Financial Institutions (DFI)

The Division of Quality Assurance (DQA) Corporate Guardianship Program (CGP) verifies entity type with the DFI when processing applications. If DFI status is not complete or not correct, the CGP pauses application processing and requests revision of application materials.

Per Wis. Admin. Code § DHS 85.01, applicants must be a private nonprofit corporation organized under Wis. Stat. chs. 181, 187, or 188, or an unincorporated association under Wis. Stat. ch. 184. Other business types are not eligible to apply.

These are limited instructions provided for organization under the most prevalent organization type, Wis. Stat. ch. 181. The DFI allows applicants to choose between completing form DFI-102 online or form DFI-102 as a fillable PDF document (PDF). It also offers form instructions (PDF). The name of a corporate guardianship business should not exceed 50 characters in length and must end with the abbreviation "Inc." (refer to Article 1 of DFI-102 instructions). The CGP requests revision of application materials if applying corporations don't have "Inc." at the end of the corporation's name.

Section II: Caregiver background checks

The Caregiver Law, under Wis. Stat. § 50.065, requires two types of caregiver background checks initially and every four years:

  • Entity operator background checks for the owner and program manager are requested and paid for by the corporate guardianship agency and processed by DQA. Applicants can learn how to request an entity operator background check online by visiting the Background Check Program webpage under the "Checks completed by DQA" subheading.

    Note: per the Wisconsin Caregiver Program Manual, P-00038 (PDF) chapter 3.1.1.1, "If the owner/entity operator is a corporation or other type of business that does not have a single owner (e.g., domestic corporation, non-stock corporation, partnership, limited liability company, etc.), then the organization must designate one principal officer to legally represent the organization as the entity operator for the purposes of fulfilling the background check requirements."

  • Caregiver background checks for guardian representatives/employees are completed by corporate guardianships for their employees, volunteers, students, and contractors [see chapters 1 and 2 of the Wisconsin Caregiver Program Manual, P-00038 (PDF)]. Applicants can learn how to request and process caregiver background checks by visiting the Background Check Program webpage under the "Checks completed by entities" subheading.

Results of employee background checks must be maintained in employee records in accordance with Wis. Admin. Code § DHS 85.09(4)(d).

Section III: Corporate guardianship program status application

Prerequisite steps (Section I and Section II on this page) must be completed prior to application.

  1. Organize the private nonprofit corporation or unaffiliated association with the Department of Financial Institutions (DFI).
  2. Submit and pay for entity operator background checks for the corporate guardianship owner/designated principal officer and the program manager. The entity operator background check process will notify the applicant of the outcome via email. An application can be submitted after receiving the eligibility outcome email.

Application must be completed by the corporate guardianship's owner or program manager during one session. If the corporate guardianship is board owned, the designated principal officer may complete the application.

Prepare these attachments in Word or PDF format prior to beginning the application:

  1. DQA Corporate Guardianship Provider Agreement, F-03189 (PDF)
  2. Business plan (including financial and staffing projections)
  3. Grievance procedure
  4. Grievance form
  5. Program manager's resume

Application questions may be directed to CGP at dhsdqacguardianship@dhs.wisconsin.gov.

Completing the Corporate Guardianship Program Status Application, F-60820 is the last step in the application process.

Business plan

  • Executive summary:
    • Describe the business and the program manager's professional background.
    • Which services will the entity provide (Guardian of Person, Guardian of Estate, Rep Payee, Conservatorship, other)?
    • Who is the entity's target clientele (anyone the court determines is incompetent or focused on individuals with a particular disability such as intellectual disability, traumatic brain injury, serious & persistent mental illness, or degenerative brain disorders)?
    • Will the entity use a board? If so, what are the board's roles?
  • Business description and vision:
    • Where is the business located? (Physical and mailing addresses)
    • If there is a mission statement or business philosophy, what is it?
    • Do you anticipate any changes in the near future?
  • Market analysis:
    • Contact Adult Protective Services (APS), Aging and Disability Resource Center (ADRC) and/or Register in Probate of counties the entity anticipates serving to assist in determining need for corporate guardians as well as county specific requirements (ex: surety bonds, contracts). Every county operates slightly different. Some counties have bond/insurance requirements and/or compensation/reimbursement limits/guidelines.
    • Review Wis. Stat. § 54.72 and Wis. Admin. Code § DHS 85.14(6) regarding Guardian compensation and reimbursement.
  • Program operation(s):
  • Organization and management: How is this business managed and run? Include information about:
    • Legal issues, such as bonds, insurance, communication, etc.
    • Avoiding conflicts of interest as required by Wis. Admin. Code § DHS 85.12. Specifically address employment conflicts and ward fund/account management.
    • Management of personnel/personnel files.
    • How will organization and storage of ward records be maintained to meet Wis. Admin. Code § DHS 85.15 and security of files/HIPAA?
    • Include an organizational chart or board of directors listing (if applicable).
  • Financial management and staffing projections:
    • What is the business financial plan?
    • Include projections, budgets (start up and annual), and performance, for the first three years (refer to information gathered from counties).
    • What accounting or bookkeeping systems will be in place/used?
    • These systems should ensure that business operating funds are kept separate from wards' funds and also ensure a separate and complete accounting of each ward's funds as required in Wis. Admin. Code § DHS 85.12(6).
  • Staff development: Document a plan for training and staff development to ensure that employees are initially and periodically trained in accordance with Wis. Admin. Code § DHS 85.10.
    • Job responsibilities.
    • Prevention and reporting of abuse, neglect, or misappropriation of ward property.
    • Ward's rights and grievance procedures.
    • Information regarding needs and services for each ward.
    • Information about local resources.
    • Best practices for corporate guardians (such as those developed by the Wisconsin Guardianship Association or the National Guardianship Association).
    • Agency policies and procedures.

Grievance procedure

Wisconsin Admin. Code § DHS 85.05(2) requires that a corporate guardianship’s application include a copy of the applicant's written grievance procedure for use by wards and interested parties. The intent of this procedure is to support each client's right to voice grievances. It also aims to assure that after receiving a complaint/grievance, the corporate guardianship agency:

  • Actively seeks a resolution.
  • Keeps the client informed of its progress toward resolution.

Corporate guardianship agency’s procedures should be a flexible and open process that adopts applicable standards for grievance resolution procedures located in Wis. Admin. Code ch. DHS 94, subch. III.

The grievance procedure should include, at a minimum:

  • Retaliation prohibition: Wisconsin Admin. Code § DHS 85.13(1)(h) requires that a ward or interested party be able to file a grievance without retaliation. The corporate guardianship agency shall ensure that no retaliation will be threatened or imposed against any client who files a grievance. This also applies to any person, including an employee of the agency, who helps a client file a grievance.
  • Information on how to file a grievance: The procedure must include the guardianship agency’s mailing address, email address, and phone number. The procedure must be explicit that any staff member accepts grievances by any communication method the grievant ordinarily uses (Wis. Admin. Code § DHS 94.41(1)(b)).
  • Assistance availability statement: Guardianship staff must assist with putting grievances into writing (Wis. Admin. Code § DHS 94.41(2)(b)) when needed or requested.
  • Timelines: The procedure should disclose grievance processing timelines for each step of the grievance process. The guardianship needs to evaluate which timelines at Wis. Admin. Code § DHS 94.41(5) are appropriate for the guardianship to adopt. The guardianship must identify when a grievant should expect to hear the result/resolution of the grievance.
  • Third party review: When a grievant is dissatisfied with resolution, a third party review may be appropriate to assist with resolution. The ward retains the right to contact an advocacy organization at any time (Wis. Stat. § 54.25(2)(b)3. & Wis. Admin. Code § 85.13(1)(g)), but the guardianship should ensure contact if needed during the grievance process. The third party should be the appropriate advocacy agency ombudsman based on ward age. The guardianship must include the following advocacy agency contact information to ensure the ward or interested party can directly contact an advocate.
  • DQA complaint information: If wards or persons acting on behalf of clients have a corporate guardianship complaint or are dissatisfied with a corporate guardianship's grievance resolution, they have the right to file a complaint with the DQA per Wis. Admin. Code § 85.13(2). The entity is required to provide DQA complaint information per Wis. Admin. Code § DHS 85.14(1)(e). Include the following as the final step in the grievance procedure to meet the requirement:

Grievance form

Every guardianship is required to develop a grievance form template for use in conjunction with the guardianship's grievance procedures. The grievance form is a tool the guardianship uses to track and document a grievance from start to finish.

Per Wis. Admin. Code § DHS 94.41(1)(b), "A grievance may be presented to the program manager or any staff person in writing, orally or by any alternative method through which the client or other person ordinarily communicates."

Therefore, the guardianship should include where (email and mailing address) a form can be submitted and a telephone number the grievant can call for a guardian representative to assist with completing a form on the grievant's behalf.

A ward cannot be required to state they have a grievance. Instead, guardian representatives must be trained to identify grievances and handle them per guardianship procedures.

The guardianship's grievance form should create spaces to document:

  1. Who the grievant is
  2. The grievant's contact information
  3. Date the guardianship received the grievance
  4. Affected ward(s) name(s)
  5. What the grievance is
  6. When the situation that led to the grievance occurred
  7. What resolution the grievant is seeking
  8. The guardianship's investigation
  9. The guardianship's resolution
  10. Date the resolution was communicated to the grievant
  11. Whether the grievant was satisfied

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Last revised April 15, 2025