Wisconsin Department of Children and Families - Division of Early Care and Education

Bureau of Early Care Regulation

Child Care Certification Policy Manual

6.4 - Recording Evidence - Documentation

Recording or documenting evidence as it is collected is a critical component of the complaint investigation process. In the midst of an intense interview or a complex observation, it is possible to forget to make adequate notes or to overlook recording essential information about how the information was acquired. Such lapses, however, can seriously damage the investigation because important facts may be forgotten or overlooked. Inadequate notes can also cause problems should any resulting sanction be appealed. On the other hand, written notes that contain inappropriate material, for example, statements that are subjective or derogatory in nature, can also be damaging. The certification worker must be mindful that anything written down, or collected and kept, is discoverable should an action later be appealed. The same general principles that apply to writing the final investigation report also apply to recording field notes and other documentation recordings (see the guidelines related to report writing in section 10 below).

Following are guidelines for recording evidence:

• Interviews – written notes or audio recorded:

• • Record the interviewee’s name, address, telephone number and relationship to the certified program / incident. If others are present during the interview, this should also be recorded along with identifying information. In the rare instances when a child is interviewed (see section 6.2.1), record the date of birth.
    Note: because interview notes are potentially subject to public disclosure, the certification worker must be mindful of confidentiality requirements (see section 11).

  • Record the location and the start and stop times of all interviews.

  • Record the questions posed to the interviewee and their response. The certification worker should attempt to keep the interviewee on track through skillful interviewing. Sometimes, however, superfluous information will be offered. It is generally best to document statements as made and make editing decisions at a later point in the investigation.

  • At the judgment of the certification worker, the interviewee may be asked to read written interview notes and sign and date them indicating that the notes accurately represent what the interviewee said.

• Observations
  The certification worker should carefully document where the observation occurs, the start/stop time, the names of persons present and their relationship to the certified program/incident, and a factual narrative or bullet presentation of what is observed. The observation may be signed by the person(s) making them who can testify to the facts.

• Affidavits and written statements
  The value of the information obtained is considerably enhanced if a witness or collateral contact is willing to make a written statement of the information furnished. Generally, the statement maker should write the statement, but this is not mandatory. In some cases, the certification worker may write the statement for the person and have every page read by, or read to, and signed and dated by the statement maker. The statement maker’s name, address, telephone number and relationship to the center / incident should be included in the statement.

• Photographs
  Photographs are good, primary evidence, as they present an accurate, factual and objective record. However, they can only document visible compliance or noncompliance with certification requirements. They cannot reflect the absence of some activity, object or person because whatever is absent could be just outside the camera’s field of vision. Photographs should be labeled with the location, time and date taken and the name(s) of a person who is able to testify to that evidence. When a photograph is taken of a child(ren), the confidentiality of the child(ren) shall be maintained. To the extent possible, avoid photographing faces.

• Diagrams / program floor plans
  Sometimes it may be useful to draw a diagram of the location of objects, program staff, and so forth.  This may be especially useful when documenting visual obstacles, etc. Diagrams should be as close to scale as possible - and should be clearly labeled and dated by the drawer.

• Program documents
  The most original document is always the best evidence to collect. However, the certification worker might have to use a photocopy of an original document or simply record information from observed records. Notes on photocopies or of observations should include information about what the document represents, the date and where it was collected and the name of the person who is able to testify to that evidence. In some instances, the certification worker may ask the operator / provider to sign and date the copy or notes, indicating they are a true representation of the original.

• Records from other Agencies
  During the course of a complaint investigation, the certification worker may need to obtain a record(s) from other agencies or offices. When a document is obtained, it is best practice if the person providing it verifies that the document(s) is a true and actual copy. Some agencies or offices, especially court agencies and law enforcement, have their own certification format.

This page last updated 07/2015.