Wisconsin Department of Children and Families - Division of Early Care and Education
Bureau of Early Care Regulation
Child Care Certification Policy Manual
The Standards and Checklist form is a tool used by both the applicant / operator and the certification worker. Completion of the form meets the requirements of DCF 202. The form includes abbreviated rule language under DCF 202. The form includes instructions for the applicant / certified operator, as well as instructions for the certification worker.
The Standards and Checklist form shall be included in the initial application packet with instructions for the applicant to complete the form as a ‘self-survey / assessment’, indicating which rule the applicant is in compliance with and which rules do not apply to the program. It also instructs the applicant to check with the certification agency whether or not submission of the form is required prior to the initial (or relocation / recertification) site visit.
The certification worker reviews and considers the applicant’s / operator’s responses in preparation for the site visit and / or monitoring. The certification worker utilizes the Standards and Checklist form to ensure that all administrative rules are reviewed during each monitoring site visit, or reviewed over the two-year certification period. The form should be used to document compliance and noncompliance with certification rules (or indicate N/A if a rule is not applicable to the location/provider).
A Standards and Checklist form shall be used for each initial, relocation and subsequent monitoring visits, including re-certification. The certification worker observes and documents each operator’s compliance with certification rules using the checklist. After granting initial/relocation, an on-site visit for any purpose can be used to complete portions of the checklist. Although certification workers must monitor for specific health and safety rules unannounced annually, there is nothing precluding certification workers from monitoring for additional rules on the Standards and Checklist annually. Specific health and safety rules that need to be monitored unannounced, annually are noted with an asterisk in before the rule number, are bold and in italics. Certification workers may monitor for 100% of the rules at each visit or 100% of the rules at the two-year re-certification visit or may monitor for 100% over a two-year period. Utilizing the checklist ensures that certification workers are monitoring for compliance with all appropriate rules.
COVID-19 Update
See Module 7 - Monitoring, Section 1 - Overview for updated COVID-19 guidance.
It is best practice to use a new Standards and Checklist form for each monitoring visit. However, if the certification worker uses one form to document all monitoring conducted over the two-year period, the certification worker should use different colored ink to signify the different dates for which the operator was monitored using the same checklist form.
Any rule that was reviewed / monitored for should be identified by a check mark in the shaded columns with the heading ‘Certification Agency’. If the applicant / operator is in compliance with the specific rule, check ‘Y’ for yes. If the applicant / operator is not in compliance with the specific rule, check ‘N” for no. If the rule was not monitored it may be left blank. (See section 9.2 for additional guidance regarding citing violations)
Standards marked with an (*) asterisk preceding the rule number are health and safety rules that must be monitored annually, unannounced.
In-home providers are exempt from rules marked with an (*) preceding the rule language.
Sample
If a specific rule does not apply to the applicant / operator, check "N/A" for not applicable.
If the operator is certified to care for children ages 2 and older, many of the rules pertaining to infants may not apply. N/A may signify the rule 202.08(1)(b)1 is not applicable: Each family and in−home operator and all employees and volunteers who provide care and supervision for children under 1 year of age shall receive training in the most current medically accepted methods of preventing sudden infant death syndrome.
However, if an operator is certified to care for children 6 weeks to 12 years of age, but at the time of the monitoring visit does not currently have infants enrolled, this is not a proper use of the N/A indicator.
If the operator does not have a basement in the home, or if there is a condition (stipulation) restricting use of the basement, the certification worker may choose to indicate “N/A” for 202.08(2)(a)5.a and 5.b. If the care is provided in a basement, the secondary exit shall be one of the following: (2)(a)5.a. A door or stairway that provides unobstructed travel to the outside of the building at street or ground level. (2)5.b. A window not more than 46 inches above the floor that is capable of being opened from the inside without the use of tool or removal of a sash and which has a window opening size of at least 20 inches in width and 24 inches in height. The window shall open directly to the ground or to a window well with an area of at least 6 square feet that is not more than 46 inches below the ground.
If at the time of initial certification, the applicant does not have any weapons in the home and there is no evidence of weapons violations then the certification worker may check “yes”, indicating the rule was reviewed with the provider. The worker could add an internal comment “no weapons in home at this time” but should not indicate “N/A” as the rule would still apply if the operator were to obtain weapons in the future.
If the certification is for in-home care, any rule marked with an (*) in front of the rule language (vs. the rule number) can be marked with N/A.
Recommendation: Adding a comment in the margin of the form, indicating the basis or rationale for the N/A, is an appropriate comment/documentation.
Note: See the Monitoring Results User Guide for instruction on how to document monitoring results (i.e. rules met and violations).
A site visit for any purpose can be used to complete portions of the checklist. The certification worker, for example, may complete portions of the checklist while conducting a complaint investigation, but is not required to do so if the worker did not do any additional monitoring beyond those rules identified in the complaint allegation. When completing the checklist, any rule that was reviewed / monitored should be identified, as explained above.
8.1 When to Cite and Document Violations
This page last updated 02/2021.