Wisconsin Department of Children and Families - Division of Early Care and Education
Bureau of Early Care Regulation
Child Care Certification Policy Manual
Developing an investigation plan is a critical step in the investigation process. Lack of initial planning can result in an inefficient investigation process that, at best, delays the conclusion or, at worst, results in a flawed or incomplete investigation. Developing a plan does not need to take a great deal of time if the initial intake information is complete and the proper screening has occurred.
Some certification workers may be very structured with their plan. For example, they may develop a checklist itemizing each step they will take and strictly follow it. Others may take a more informal approach to planning their investigation. Regardless of how certification agencies / workers approach it, the purpose of planning the investigation is to ensure that the goals of the investigation are achieved and that the investigation is conducted efficiently and effectively with nothing overlooked.
Before developing the investigation plan, the certification worker should conduct a review of the certified program/operator file with particular attention paid to the compliance history and any previous complaints. If the certification worker is not familiar with the program, s/he may wish to discuss its history with other staff who are familiar it. The reason for reviewing the operator’s file is to identify information that may have a bearing on the current complaint and / or identify other issues that may be included in the investigation. The certified operator’s history may help to establish whether the current alleged violation is an isolated incident or has been a pattern of 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.
When developing a complaint investigation plan, the certification worker should:
Review all certification rules that have potentially been violated.
Decide what information must be known in order to determine whether the alleged non-compliance(s) is substantiated or unsubstantiated.
Identify the likely source(s) for obtaining this information.
Plan the investigation methodology.
Determine the best method for gathering the information.
Decide on the best place to gather the information.
Determine the best time to gather the information.
One approach to addressing these planning components would be to write each alleged rule violation on a separate piece of paper. The questions / facts that must be answered / uncovered during the course of the investigation could be listed under each alleged violation along with notes regarding who / what is a likely source of necessary information and how, where and when the information will be gathered. Field notes can then be organized in a similar fashion.
5.1 Deciding What Information Must be Known in Order to Reach a Finding About Each Alleged Violation
5.2 Identifying Who and/or What Can Provide the Needed Information
5.3 Determining the Investigation Methodology
5.3.1 Determining the Best Method to Gather Specific Information
5.3.2 Considering the Best Place to Gather the Information
5.3.3 Determining the Best Time to Gather the Information
This page last updated 07/2015.