Wisconsin Department of Children and Families - Division of Early Care and Education
Bureau of Early Care Regulation
Child Care Licensing Procedure Manual
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 enforcement action 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 licensing specialist 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 11.)
The following are guidelines for recording evidence:
Interviews – written notes or audio recorded:
Record the interviewee’s name, address, telephone number and relationship to the center/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 licensing specialist must be mindful of confidentiality requirements. (See section 12.);
Record the location and start-stop times of all interviews;
Record the questions posed to the interviewee and their response. The licensing specialist 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. (See section 7.);
At the judgement of the licensing specialist, 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 licensing specialist should carefully document where the observation occurs, the start/stop time, the names of persons present and their relationship to the center/incident, and a factual narrative or bullet presentation of what is observed. The observation should 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 licensing specialist 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 licensing 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 must 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) must be maintained. To the extent possible, avoid photographing faces. (See section 12.1.)
Diagrams/center floor plans:
Sometimes it may be useful to draw a diagram of the location of objects, center 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. Note: The center floor plan submitted with the license application may be useful.
Center documents:
The most original document is always the best evidence to collect. Most frequently, however, the licensing specialist must use a photograph or a photocopy of an original document or simply record information from observed records;
Notes on photographs or 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 licensing specialist may ask someone at the center to sign and date the copy or notes, indicating they are a true representation of the original.
If the center requests payment for copying done at the center, the licensing specialist should pay for the copies and obtain reimbursement through submittal of a state reimbursement request.
6.3 Recording Evidence - Documentation
6.3.1 Certification of Records
This page last updated 01/2017.