Wisconsin Department of Children and Families - Division of Early Care and Education
Bureau of Early Care Regulation
Child Care Certification Policy Manual
Annual unannounced visits are required. In-home family child care providers must be inspected annually, however, the inspection can be scheduled. Conducting an unannounced complaint inspections is an essential component of the complaint investigation and most frequently the first investigative step. An unannounced complaint visit does not meet the requirement for annual unannounced monitoring unless the secondary visit reason includes monitoring of standards beyond those alleged as violations in the complaint. Depending on the nature of the allegations and history with the certified operator, it is sometimes valuable for the certification worker to take a partner along on the site visit(s). This facilitates the collection of information, provides a built-in witness and, in the rare situations when necessary, increases safety.
Under DCF 202.08(1m)(a)9. a certified child care operator shall permit a child care certification worker to have unrestricted access to the premises, including access to children served, child records, and any other materials related to compliance. It is very unusual for a certification worker to be denied entry, although occasionally the operator may resist in allowing entry to parts of the premises not used for childcare (e.g., the operator’s bedroom). If access is denied to the premises or any part of the premises where a violation is alleged to have occurred, the certification worker has authority under DCF 202.06 to impose sanctions/enforcements ranging from issuing a noncompliance statement to revocation.
Occasionally, the inspection may be delayed when the nature of the complaint suggests a better first step. For example, interviews with former staff members or parents might be a better first step in some cases. This will have been considered during development of the investigation plan.
During the inspection, the certification worker should follow agency protocol for conducting home visits, which may include, but is not limited to, any of the following:
Make introductions and show ID, if necessary.
Inform the person in charge of the purpose of the inspection in general terms. It is sometimes best to wait until after observations have occurred to discuss the complaint allegations. It is best if the conference regarding the allegation(s) is conducted privately.
Protect the identity of children identified in the complaint to the extent possible.
Do not reveal the name of the complainant unless specific permission was given. Note: This information may be available to the operator or others through discovery and public record law (Chapter 19, Wis. Stats.).
Be businesslike, yet empathetic.
Be objective, not judgmental.
Focus on complaint issues but be aware of other related or unrelated violations.
Make observations and inspect the physical environment.
Interview all persons who may have something to contribute to the investigation; Use active listening techniques and other interviewing skills (see section 6.2).
Collect physical evidence, make photocopies of records, and / or take photos in accordance with the investigation plan or as deemed necessary (see section 6.4.).
Document all aspects of the investigation.
Formally end the inspection by:
Summarizing what occurred during the inspection
Describing the investigative process
Predict the investigation time frame
Describe the possible outcomes of the investigation
Describe how and when the findings will be communicated. If the investigation is final at this point and the outcome is known, the certification worker may inform the operator of the finding and, as appropriate, indicate that there is a possibility that further sanctions or other action will be taken.
This page last updated 01/2020.