Wisconsin Department of Children and Families - Division of Early Care and Education
Bureau of Early Care Regulation
Child Care Certification Policy Manual
Upon receipt of a report of an incident, accident or death, the certification worker must review the report and determine the appropriate next steps and the timing for initiating the next steps. Such a determination is based on the information provided in the self-report and on what the certification worker may know about that particular program. This assessment will determine how quickly the certification worker must respond to the report and what type of further investigative response, if any, is required. The certification worker will need to decide on the appropriate investigative response, which may vary from no investigation at all, or only a desk review, to an extensive investigation. Subsequent regulatory action may, likewise, range from none to suspension or revocation.
The certification worker screens reports of the incidents/accidents (or deaths) in the same way that s/he would screen a complaint. The certification worker must consider whether there may have been violations of administrative rule, whether there is a potential risk to children in relation to these potential rule violations, the nature and extent of the potential risk to children, whether other agencies have been notified, if required, and what sort of follow up action is needed. A fatality or serious injury of a child while in care warrants an immediate response plan.
If, upon review of the details surrounding the event described in the incident, accident or death report, the certification worker determines there is some likelihood that there was a violation of one or more administrative rules, or that more information will be necessary to determine if a rule violation may have occurred, the certification worker must determine what type of investigative action will be taken. Follow-up investigation may involve a site visit, a discussion over the phone with the operator, a review of additional documentation submitted by the operator, a review of medical reports, police reports or county investigations or interviews with staff members or parents.
Before developing the investigation plan, the certification worker should conduct a review of the operator file with particular attention to the compliance history and any previous complaints. The reason for reviewing the center’s file is to identify information that may have a bearing on the current incident and/or identify other issues that may be included in the investigation. The operator’s history may help to establish whether the current potential violation is an isolated incident or there has been a pattern of related violations. It will help establish a context in which to assess potential risk to children in care and may help determine actions to take once the investigation is concluded.
An investigation plan should include the following:
A review of certification administrative rules that have potentially been violated
A determination of what information must be known in order to determine whether the alleged violations occurred
Identification of likely sources for obtaining this information
A plan for the investigation methodology
A determination of the best method for gathering the information
A determination of the best place to gather the information
A determination of the best time to gather the information
If the report is for a death of a child, the initial response might include actions such as:
Informing the appropriate county CPS unit of alleged child abuse/neglect
Contacting other authorities, such as law enforcement (to intervene if necessary)
Making an unannounced visit to the program to assess the potential risk of danger to other children in care and whether the risk has been addressed by the operator
Assessing the need for suspension while conducting the investigation or other sanction/enforcement action and if appropriate delivering the notice
Phoning the operator to gather information to clarify the situation and to give instruction on actions to take and/or to assess what should be done next
Once the risk to children in care has been addressed (e.g., closing the program through a suspension, initiating a stipulation, etc.), or the risk has been ruled out, the certification worker should proceed with the investigation.
The purpose of the death investigation is to determine if one or more violations of the administrative rule played any role in the death, and, if so, to ensure appropriate follow-up action. The certification worker/agency has the authority and responsibility to conduct a thorough investigation using whatever customary means and techniques are, in the certification worker’s judgment, appropriate and warranted. These may include, but are not limited to, individual interviews with the operator, staff, parents, witnesses and other persons such as the medical examiner, law enforcement officials, county child protective workers; a review of the records; a review of policies and procedures of the program (if they exist); and inspection of the premise. See section 12.4 for additional guidance on yielding to other agencies with jurisdiction.
This page last updated 01/2020.