Child Care Concern/Investigating Concerns 620-01-115

(Revised 9/9/25 ML #3941)

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All concerns involving licensed child care programs must be addressed promptly and in accordance with state regulations. When a Licensing Specialist becomes aware of a concern, it must be thoroughly investigated, documented, and, if applicable, reported to appropriate external agencies such as Child Protective Services (CPS) or law enforcement.

 

Definitions

• SFN 1269: Concern form used in the licensing system to document concerns and investigations.

• Sentinel Event: A serious and/or potentially life-threatening incident requiring immediate administrative review. Review Child Care Concern/Sentinel Event 620-01-115-01 policy for more information.

• Concern: An allegation or indication that a rule may have been violated in a child care setting.

 

Procedure

Licensing Specialist Responsibilities

1. Initial Response and Notification

   1. Complete SFN 1269 in the licensing system within 48 hours of learning of the concern.

   2. Notify the Licensing Supervisor of the concern.

      1. If the Supervisor is unavailable and the concern may be a sentinel event, the Licensing Specialist must consult with the Licensing Administrator.

          

2. Reporting to CPS

   1. Contact CPS immediately if there is any suspicion that the incident involves child abuse or neglect.

   2. Consultation with the Licensing Supervisor is encouraged if clarification is needed.

       

3. Investigation

   1. Identify and document:

      1. Name of the facility/provider

      2. Nature of the concern

      3. Reporter information, if known

   2. Conduct an unannounced visit to the facility to assess the concern.

   3. Interview provider/staff with attention to detail (include specific dates/times).

   4. Interview witnesses (e.g., staff, parents, children, neighbors, law enforcement) as appropriate.

   5. Attempt to speak with children during visits; if not possible, contact parents for permission.

       

4. Evidence & Documentation

   1. Document interviews and observations clearly.

   2. Include notes on credibility (e.g., changes in story, body language).

   3. Avoid making conclusions during interviews—only state that the concern is under investigation.

       

5. Decision & Action

   1. If evidence or admission of violation is present:

      1. Issue a Correction Order or

      2. Consult with Licensing Supervisor for further action.

   2. If no admission or observed violation:

      1. Consult with Licensing Supervisor to determine next steps.

          

6. Joint Assessments

   1. Work collaboratively with CPS and/or law enforcement when involved.

      1. CPS and law enforcement lead joint investigations.

      2. Licensing actions are independent of CPS findings.

          

7. Ongoing Updates

   1. Keep Licensing Supervisor informed throughout the investigation.

   2. Document all investigative findings, interviews, and conclusions in the licensing system.

       

8. Closure

   1. Upload CPS closing letter to the licensing system.

   2. Enter decision and close the concern.

   3. Inform Licensing Supervisor of the final decision.

 

Licensing Supervisor Responsibilities

1. Initial Oversight

   1. Review and acknowledge SFN 1269.

   2. Notify the Licensing Administrator if the concern may be a sentinel event or results in a CPS assessment.

       

2. Investigation Support

   1. Provide guidance to Licensing Specialist throughout the investigation.

   2. Consult with Licensing Administrator as necessary.

       

3. Licensing Actions

   1. Determine whether licensing action is needed before CPS completes its assessment.

   2. Ensure all documentation and decisions are entered and completed.

 

Licensing Administrator Responsibilities

1. Provide consultation for potential sentinel events.

    

2. Be informed of:

   1. Any concern resulting in a CPS assessment.

   2. Situations requiring administrative or legal action.