Wisconsin Department of Children and Families - Division of Early Care and Education
Bureau of Early Care Regulation
Child Care Certification Policy Manual
The content of this certification module is intended to provide certification agencies with information that may be useful in their administration of the certification program. The information and guidance provided does not constitute legal advice or recommendations from the Department of Children and Families.
This module should not be used as a substitute for applicable administrative rules or statutes. Legislation and regulations are subject to change and, therefore, it is advisable for readers to refer to current rules, legislation and current Operations Memos. Certification agencies should consult with their corporation council as needed.
Readers must be aware that updates and amendments will be made from time to time to the module. It is the certification worker’s responsibility to determine whether there have been any such updates or amendments.
This module describes guidance related to sanctions/enforcements by certification agencies of certified family, and certified in-home child care operators.
A sanction is an action taken by the certification agency that:
Requires the operator to submit a plan of correction for violation in writing.
Denies an individual from obtaining certification/regulatory approval.
Revokes certification / regulatory approval.
Temporarily suspends certification / regulatory approval.
Warns of revocation.
Forbids the operator from enrolling any new children until violations have been corrected.
Places conditions or restrictions on the certification.
Certification workers shall use the Enforcements Module in WISCCRS to document details regarding the following sanctions/enforcement actions:
Denial
Revocation
Suspension
Warning Letter
The Enforcements Module in WISCCRS enables certification workers to document the following:
The enforcement action
Date notice of the enforcement action was mailed to applicant/operator
Who the enforcement action pertains to when the enforcement is due to concerns regarding background check results (i.e. applicant, operator, household member, employee)
The reason (tag) for the enforcement
Appeal request, hearing date and decision
Related enforcements
Enforcements tied to a complaint investigation
Although the Enforcements Module documents the enforcement details, the certification worker must still modify the category status accordingly on the Categories screen or on the Decisions page in WISCCRS. See the Enforcements User Guide for additional instructions.
Action to revoke, suspend or deny certification is only taken after a careful review of the evidence, and when:
Applicant / operator has a history of rule / statute violations and has not responded to progressive disciplinary actions.
Applicant / operator has conditions present in the program that present a serious risk to the health and/or safety of children.
Applicant / operator or other individual subject to the Background Check Law has committed an offense that prohibits regulatory approval.
The certification agency may consider any action by the applicant, operator, provider, employee or household resident that constitutes failure by the applicant / operator / employee to protect and promote the health, safety and welfare of a child. In certain circumstances, the applicant, operator or household member’s criminal history may prohibit certification. DCF 202.08(1m)(a)3. A certified child care operator shall ensure that any action, by commission or omission, or any condition or occurrence relating to the operation or maintenance of the child care premises does not adversely affect the health, safety, or welfare of any child in care.
In certain circumstances, the applicant, operator or household member’s background check results may prohibit certification.
There are various grounds for certification denial, revocation or suspension. In accordance with DCF 202.06 the county or tribal agency may deny, suspend, revoke or refuse to renew certification when the enumerated rules, (a)-(h), apply.
DCF 202.06 Enforcement actions and conditions. (1) A certification agency may deny, suspend, revoke, refuse to renew certification, issue a warning of enforcement, initiate other enforcement actions specified in this chapter, or place conditions on the certification if any of the following apply:
(a) The child care operator is not in compliance with this chapter, ch. DCF 13, s. 48.686, Stats., or conditions on the certification.
(b) The certification agency determines there is danger to the health, safety, or welfare of the children in care.
(c) The court, department, certification agency, or local agency that administers the child care subsidy program determines that a certified child care operator has done any of the following:
(c) 1. Misrepresented or withheld information.
(c) 2. Submitted false or misleading information.
(c) 3. Failed to comply with the terms of the child care subsidy program.
(d) The child care operator fails to cooperate with the department or certification agency.
(e) The applicant’s license or certificate to care for children or adults has been denied or revoked.
(f) The child care operator or other provider denies the child care certification worker access to the premises or children’s records to monitor compliance with the certification standards.
(g) The evaluation under s. DCF 202.04 (3) (c) 3. gives the certification agency reasonable concern that the person’s physical or mental health may endanger children in care.
(h) The certification agency has determined the applicant or operator is not fit and qualified.
In addition to the authority outlined in DCF 202.06, certification agencies are required to comply with DCF 13 and s. 48.686. The Background Check Law requires the department to conduct background checks. The DCF Child Care Background Unit (CBU) closely examines the results of the background check for criminal convictions, pending charges of a serious offense or substantiated findings of child abuse or neglect or misconduct by a governmental agency issues background check eligibility determinations based on the results of the background check, in accordance with the requirements and prohibitions in the law.
DCF 202.06 (3) A certification agency shall suspend certification if the operator, or other individual subject to the child care background check, is the subject of a pending charge for a serious crime under s. 48.686 (1) (c), Stats.
This page last updated 01/2020.