Maltreatment investigations: Frequently asked questions

All reports and complaints received by DCYF receive a thorough review, or assessment. During this assessment, DCYF staff review for a history with the facility, the alleged victim, and the alleged perpetrator, if any. From there, phone calls are frequently made to gather additional information.  This information is then used to determine whether further investigation through an out-of-office maltreatment investigation is needed.  

Investigators gather information from various sources in order to answer several questions, including:

• What happened?
• Did the event meet a statutory definition of maltreatment?
• If maltreatment occurred, was an individual and/or the facility responsible?
• If maltreatment occurred, did it meet the statutory definition of recurring and/or serious?
• Is further action necessary to reduce the chance that the maltreatment will reoccur?

Most investigations include a visit to the facility. These visits can be either announced or unannounced, and investigators may return as often as needed to complete the investigation. 

Yes, licensed programs must provide DCYF Licensing staff access to:

• The facility and facility grounds
• Documents and records (both on paper and electronic)
• Staff persons
• Persons served by the program.

When investigators are on site, they intend to cause minimal disruption to services provided. Please communicate with the investigator if you need to step away from the investigation to function in staffing ratios and/or provide care to an individual. 

Yes. A variety of state and federal laws give investigators the right to see documents that you otherwise could not legally share, including medical records, personally identifiable information and records that contain private and confidential information. This includes paper files and electronic information. Investigators can make copies (paper or electronic), take pictures or otherwise retain information from the program.

Yes, investigators will likely interview staff persons and children served by the program, as well as family members, guardians and others with information relevant to the investigation. Interviews will be audio and/or video recorded. Investigators are required to give everyone we interview a written privacy notice when collecting sensitive information from them. The notice enables people to make informed decisions about whether to give information to the investigator.

During the investigation, all information is confidential, which means that it cannot be shared with anyone, except other government agencies, such as law enforcement, if the law allows.

When the investigation is completed, some information becomes public, some information becomes private, and some remains confidential. The name of the individual(s) who reported the maltreatment remains confidential. The names of other individuals who provide information or are associated with the investigation are private unless there is a court order or it is part of a judicial or administration proceeding.

Licensed providers must provide investigators access to the facility and grounds, documents, staff, and persons served by the program.  Failure to comply with this is reasonable cause to immediately suspend and/or revoke the license.

Individuals, including staff persons and persons receiving licensed services, have the right to refuse to be interviewed for the investigation. If an individual refuses to be interviewed, the investigation will conclude and determinations of whether maltreatment occurred will be made without information from that individual.

DCYF issues a public summary, called an Investigative Memorandum, that contains pertinent information gathered during the investigation, a determination of whether maltreatment occurred, and if so a description of any action taken by DCYF. This summary is written in a way that protects the identity of everyone involved.

Yes, these summaries, or Investigative Memoranda, are public documents and some are posted on the DHS Licensing Information Lookup website.

DCYF uses a preponderance of evidence standard to make determinations. For determined maltreatment, this means that the evidence is evaluated and shows that it is more likely than not that maltreatment occurred. 

DCYF considers mitigating factors as outlined by statute to determine who is responsible when maltreatment is substantiated. These include an evaluation of the facility’s compliance with regulatory standards; the adequacy of facility policies and procedures and training; and staffing levels.

If DCYF determines that maltreatment occurred and that the facility is responsible, DCYF will issue a fine. In a limited number of cases, the violations are so serious that DCYF will place a license on conditional status, suspend, or revoke a license. DCYF can also take these actions if the investigators determine that the facility failed to follow the law or rules, or provided false or misleading information as part of the investigation. If other violations are observed, a correction order may also be issued.

If DCYF determines that a staff person is found responsible for maltreatment, DCYF notifies the Department of Human Services Background Studies Division. The Background Studies Division makes a determination of whether the staff person will be “disqualified,” which means they are prohibited from having direct contact with or access to people who receive services and their personal property and information.   

More information about the DHS Background Studies Division’s disqualification decisions is available on the Background Studies webpage.

Yes, if DCYF determines that maltreatment occurred, the facility or staff person found responsible can appeal the decision. If DCYF determines that maltreatment did not occur, the parent or guardian of the alleged victim can ask DHS to reconsider its decision.

You can contact your licensor or call the Central Intake Unit at 651-539-8222.