Wisconsin Department of Children and Families - Division of Early Care and Education
Bureau of Early Care Regulation
Child Care Licensing Procedure Manual
If, upon review of the details surrounding the event described in the self-report, the licensing specialist determines there is some likelihood that there was a violation of one or more administrative rules, or that more information will be necessary to determine if a rule violation may have occurred, the licensing specialist must determine what type of investigative action will be taken. Follow-up investigation may involve a site visit, a discussion over the phone with the licensee, a review of additional documentation submitted by the licensee, a review of medical reports, police reports or county investigations or interviews with staff members or parents.
Before developing the investigation plan, the licensing specialist should conduct a review of the facility file with particular attention to the compliance history and any previous complaints. If the licensing specialist is not familiar with the center, s/he should discuss its history with other staff who are familiar with it. The reason for reviewing the center’s file is to identify information that may have a bearing on the current incident and/or identify other issues that may be included in the investigation. The center’s history may help to establish whether the current potential violation is an isolated incident or there has been a pattern of related 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.
An investigation plan should include the following:
A review all licensing administrative rules that have potentially been violated
A determination of what information must be known in order to determine whether the alleged violations occurred
Identification of likely sources for obtaining this information;
A plan for the investigation methodology
A determination of the best method for gathering the information
A determination of the best place to gather the information and
A determination of the best time to gather the information.
After careful consideration of all possible violations and all other aspects of the investigation plan, the licensing specialist may proceed with one of the following investigative options:
Conduct a desk review based on a determination that an on-site visit isn’t needed. A desk review must involve, at a minimum, a review of the incident, accident, injury or death report in relation to the center’s policies and phone interviews with the licensee, witnesses and those knowledgeable of the incident or accident. It is good practice to be mindful of the report during subsequent on-site monitoring visits.
Conduct an on-site monitoring visit to investigate the circumstances related to the incident or accident. The investigation would follow the process required of a complaint investigation and include face-to-face interviews with the licensee, witnesses and those knowledgeable of the incident or accident, observation of the area of the center where the event took place, review of any medical documentation from the treating physician and review of on-site documents such as the medical log.
For more information regarding carrying out an investigation, see the section titled Complaint Investigation - Licensed Facilities.
This page last updated 10/2019.