Current through Register Vol. XLI, No. 43, October 25, 2024
Section 64-38-4 - State Administrative Procedures4.1. General Licensure Provisions 4.1.1. No corporation shall be appointed to serve as guardian, limited guardian or standby guardian for a mentally retarded or mentally handicapped person unless the corporation shall first obtain a valid license.4.1.2. A license shall be valid only for the corporation named in the license and shall not be transferable or assignable.4.1.3. A licensed corporation shall notify the department ninety days in advance of any pending merger or consolidation with another corporation, submitting with the notification a copy of the plan for merger or consolidation.4.1.4. In the event that the surviving or the new corporation proposes to continue as guardian, limited guardian or standby guardian to any of the wards of the licensed corporation, the incorporators of the proposed corporation shall prepare an application as for an initial license, supplying relevant information or documentation of intent where official documents are unavailable. The official documents, such as a copy of the corporation charter shall be filed with department immediately upon receipt. The new or surviving corporation shall upon the granting of the new license file notice with the fiduciary commissioner or supervisor and with the county clerk of the continuation of all existing guardianships, limited guardianships and standby guardianships. The county commission shall have and retain general jurisdiction over the wards and may entertain and adjudicate any additional proceedings relating to such transfer of guardianship as it may deem proper for the welfare of the wards for whom notice of such transfer is filed.4.1.5. In the event that the new corporation does not propose, is not granted a license, or is not approved by the county commission to continue as guardian, limited guardian or standby guardian, the licensed corporation shall dissolve itself from its guardianships according to law, these rules and the procedures of the corporation as approved by the department.4.1.6. A corporation shall notify the department in advance of any proposed amendment to the articles of incorporation, requesting a decision from the department as to whether the proposed amendment will affect the status of the license. In the event that the proposed amendment will adversely affect the status of the license, the corporation shall either: (a) abandon the proposed amendment and any proposals for associated activity; or (b) if the amendment is adopted, shall dissolve itself from its guardianships according to law, these rules and the procedures of the corporation as approved by the department.4.1.7. The corporation shall notify the department of any changes in the ownership and management of the corporation specified in Section 4.2.3 of these rules within thirty days following the change.4.1.8. An expired or otherwise nonvalid license shall be surrendered to the director on written demand.4.1.9. A license shall state the name of the nonprofit corporation, the type of license, the date of issue, and the date of expiration of the license.4.2. Initial License 4.2.1. An applicant shall submit an application to the director on forms provided by the director not less than thirty days and not more than ninety days prior to the date proposed for commencement of operation. A nonrefundable fee of one hundred dollars shall be submitted with the application.4.2.2. Information required may include affirmative evidence of ability to comply with these rules and regulations.4.2.3. The following information pertaining to ownership and management shall be submitted to the department: (a) the names, addresses and place of employment of all officers and directors of the corporation; (b) the name and address of the individual to receive notices and orders; (c) the address of the principal office of the corporation; (d) the names and addresses of all other offices or locations of the corporation where activities related to the guardianship services are performed; and (e) the name and address of any parent or subsidiary corporation and the names and addresses of its officers and directors.4.2.4. The application shall include a copy of: (a) the articles of incorporation filed with the West Virginia secretary of state; (b) the ruling or determination of the federal government regarding the corporation's status as a tax-exempt nonprofit corporation under federal income tax statutes and regulations; and (c) the letter of approval for nonprofit status under the tax laws of West Virginia issued by the State tax commissioner.4.2.5. The department shall issue an initial license if it finds that: (a) the corporation is in conformance with or, in the case of proposed activities supplies evidence of ability and intent to conform to, these rules and with applicable lawand (b) has submitted a complete application and the application fee.4.2.6. An initial license shall be issued for a term of two years from the date of issuance, subject to the conditions and penalties specified herein.4.3. Renewal License 4.3.1. An applicant for a renewal license shall submit an application to the director on forms provided by the director not less than thirty days and not more than sixty days prior to the expiration date of the current license. A nonrefundable fee of one hundred dollars shall be included with the application.4.3.2. The department shall issue a renewal license when it finds that: (a) the corporation is in compliance with the provisions of these rules and with applicable lawand (b) the corporation has submitted a complete application and the renewal license fee.4.3.3. A renewal license shall be issued for a term of two years from the date of issuance subject to the conditions and penalties specified herein.4.4. Provisional License 4.4.1. If the department finds that a corporation applying for a renewal license is not in compliance with the requirements of these rules, the department may issue a provisional license.4.4.2. A provisional license may be issued only when the corporation has demonstrated improvement in deficiencies and the potential for compliance within the term for which the provisional license is issued.4.4.3. The term of a provisional license shall be at the discretion of the department but in no case shall be longer than twelve months.4.4.4. A provisional license shall not be renewed.4.5. Inspections 4.5.1. The department shall conduct at least one on-site survey of the corporation and its activities annually. Such surveys shall include one or more of the locations from which the corporation provides services. Surveys shall include inspections of individual ward guardianship and financial records and corporation records required by law and these rules except those materials confidential under attorney-client privilege. Surveys may include visits and interviews with clients, employees, contractors for services and others as relevant. In the event that materials of record qualify as privileged attorney-client information, the corporation shall make available for department inspection that information of record not related to the matter under attorney-client privilege.4.5.2. A report of any initial or renewal license inspection shall be sent to the corporation within fifteen working days of the completion of the inspection.4.6. Complaint Investigation 4.6.1. Any person may register a complaint with the department alleging violation of applicable laws or rules by the corporation. A complaint shall state the substance of the complaint and the corporation by name.4.6.2. The department shall conduct an investigation of the complaint and shall prepare a report of its investigation.4.6.3. Within ten working days after the completion of its investigation the department shall notify the corporation and the county commission of the complaint, the results of its investigation and any corrective action required to be taken by the corporation.4.7. Plans of Correction 4.7.1. A corporation found on the basis of inspection or other investigation to have deficiencies in compliance with these rules shall develop a plan for correction of the deficiencies and shall submit such plan to the department within thirty days of receipt of the report of the inspection or other investigation.4.7.2. The plan of correction shall specify: (a) the deficiency to be corrected;(b) action taken or proposed to correct the deficiency and procedures proposed to prevent its recurrence;(c) the time within which the deficiency will be corrected. Such time shall be the shortest possible time within which the corporation may reasonably be expected to correct the deficiency.4.7.3. The plan of correction shall be approved, modified or rejected in whole or in part by the department in writing within ten working days of receipt.4.7.4. In accepting, modifying or rejecting the plan for correction, the department shall consider: (a) the adequacy of the actions and procedures taken or proposed to correct the deficiency;(b) the seriousness of the violation;(c) the number of wards affected;(d) the time proposed for effectuating the correction;(e) any other relevant factors.4.7.5. In modifying or rejecting a proposed plan of correction, the reasons for the modification or rejection shall be specifically stated.4.7.6. When the department rejects a plan of correction, a reasonable time for submission of a revised plan shall be allowed: Provided, however, That the department may require an immediate correction in the case of a violation severely jeopardizing the health or safety of a ward.4.7.7. The department shall conduct such procedures as are reasonable and necessary to ensure the correction of any deficiencies identified during a routine licensure inspection or any other investigation.4.8. Department Reports and Records 4.8.1. A report of any inspection or investigation made by the department shall be in writing and shall be on file with the department.4.8.2. Reports of the department shall specify the nature of each deficiency in compliance with these rules and indicate specifically the rule or law violated.4.8.3. The department shall make available for public inspection the following: (a) applications and exhibits;(c) reports of any other investigations;(d) any records of hearings, decisions and declaratory rulings; and(e) any responses of the corporation requested to be made part of the public record.4.8.4. The department shall provide copies of materials available for public information at a nominal cost upon written request.4.8.5. The department shall treat a report of inspection of a corporation as public information from the time a written plan of correction is submitted.4.8.6. If the corporation does not submit a written plan of correction within the time specified by the department or these rules, reports pertaining to the corporation shall be made public at the expiration of the specified time.4.8.7. Other records and reports shall be treated as public information from the time they are submitted to or issued by the director: Provided,however, That nothing contained in these rules shall be construed to require or permit the public disclosure of confidential medical, social, personal or financial records of any ward of the corporation.4.8.8. Before releasing a report or record deemed public information the department shall delete any confidential information regarding a ward which could reasonably permit identification of the ward.4.8.9. The department shall delete from complaints made available to the public under this section any information required to be held confidential under these rules or state or federal law.