SECTION 340:110-1-8.3. Certification of programs to receive a differential quality rating and improvement level

(a)   Purpose. The differential quality rating and improvement system was developed to improve the overall quality of care by increasing the professional development and education of child care providers and to provide the public with a method to evaluate child care. Certification is required for a program to receive a differential quality rating for children whose families are receiving subsidized child care benefits through the Oklahoma Department of Human Services (DHS).

(b)   Criteria for child care centers and homes certification levels. The certification process and quality rating and improvement criteria for child care programs are described in Oklahoma Administrative Code (OAC) 340:110-1-8.3 through 340:110-1-8.10.

(c)   Request for star certification process. The process in (1) through (4) of this subsection is required for certification.

(1)   Criteria for one star centers and homes. A program operating on a permit or license is automatically designated as a one star program.

(2)   Criteria for one star plus centers and homes. For approval as a one star plus program, the owner and director or primary caregiver, when applicable, must complete and submit Form 07LC025E, Request for Child Care Center Star Certification, or Form 07LC027E, Request for Family Child Care Home Star Certification, and:

(A)   meet all criteria described in (b) of this Section; and

(B)   when licensed as a child care center, meet at least the minimum required number of master teachers, per applicable Licensing requirements and are not eligible for master teacher probationary periods.

(3)   Criteria for two star centers and homes. For approval as a two star program, the owner and director or primary caregiver, when applicable, must complete the appropriate request for star certification, and meet:

(A)   all one star plus and two star criteria described in (b) of this Section; or

(B)   Licensing status and compliance, per OAC 340:110-1-8.4, and provide documentation the program is:

(i)   accredited by a national accrediting organization approved by Child Care Services (CCS); or

(ii)   a Head Start grantee and compliant with Head Start Performance Standards.

(4)   Criteria for three star centers and homes. For approval as a three star program, the owner and director or primary caregiver, when applicable, must:

(A)   complete the appropriate request for star certification; and

(B)   meet one star plus and two star criteria described in (b) of this Section, and be:

(i)   accredited by a national accrediting organization approved by CCS; or

(ii)   a Head Start grantee and compliant with Head Start Performance Standards.

(d)   Approval for certification for centers and homes. The procedures in this subsection are followed for initial approval and requests for higher star certification level.

(1)   The owner and director or primary caregiver, when applicable, submits the appropriate request for star certification and required documentation to CCS.

(2)   The stars outreach specialist determines when certification criteria are met by reviewing the case record and submitted documentation. When it has been four months since the last monitoring visit, the stars outreach specialist requests Licensing staff conducts a full-monitoring visit. Prior to approval, the stars outreach specialist reviews all information consulting with Licensing staff and the stars program administrator or designee as needed.

(A)   The monitoring visits and substantiated complaints for the last 24 months of operation are reviewed for determination of criteria compliance. The request may be denied when the program has:

(i)   numerous, repeated, or serious non-compliance, per OAC 340:110-1-8.4;

(ii)   a single serious incident resulting in injury or imminent risk of harm to a child within the 24-month period;

(iii)   an Emergency Order or notice of proposed request for license denial or license revocation issued; or

(iv)   a consent agreement, per OAC 340:110-1-9.5.

(B)   When the program meets the criteria, the stars outreach specialist provides a letter confirming the approval and the effective date, and updates the database. When numerous, repeated, or serious non-compliance was identified during case review for the star certification request, the letter states these non-compliances are considered, and may result in star certification reduction when subsequent serious non-compliances occur.

(C)   When the program fails to meet the criteria, the stars outreach specialist provides a letter identifying criteria not met. The request for star certification is also reviewed determining if another star certification level can be met and updating the database accordingly.

(D)   The owner and director or primary caregiver, when applicable, may reapply when criteria are met. When the request for a higher star certification level is denied due to numerous, repeated, or serious non-compliance with Licensing requirements, the program is not approved for a higher star certification level prior to six months after the program receives the denial letter by certified mail. The regional programs manager (RPM) may reduce the six-month waiting period based on Licensing record evaluation, corrective action written documentation, and Licensing staff observation and documentation of substantial compliance improvement. The RPM provides the program written notification regarding reduced timeframes.

(E)   The owner may withdraw the request for star certification prior to denial.

(F)   The owner may request a reduction in star certification level. The request must be made in writing to CCS. Quality rating and improvement system (QRIS) personnel or the designee provides a letter to the owner documenting the reduction request, including the new star certification level effective date, and updates the database with the program's new star certification level. A reduction request does not constitute a reduction in star certification level, per (h) of this Section.

(e)   Complaint investigations. Pending complaint investigations may impact star certification request approval.

(f)   Ongoing review. The procedures in this subsection are followed for ongoing review.

(1)   Program notification to CCS. The owner, director, or primary caregiver is required to notify CCS within five program-business days of changes affecting the program's star certification level. The case is reviewed by Licensing staff, determining whether criteria continue being met.

(2)   Periodic certification reviews. Licensing staff completes a minimum of three reviews annually, using Form 07LC026E, Child Care Center Star Certification Review, or Form 07LC028E, Family Child Care Home Star Certification Review. The three reviews consist of two partial- and one full-star certification criteria reviews. Programs:

(A)   operating less than a full-year or having a cooperative licensing agreement with a tribal program are required to have a minimum of one partial- and one full-star certification reviews annually; and

(B)   exempt from state licensure including federal or tribal programs, must have all applicable stars criteria reviewed at least annually.

(3)   Master teacher change. When an individual replaces a master teacher:

(A)   Form 07LC031E, Probationary Master Teacher Agreement, is completed;

(B)   the probationary master teacher is granted a one-year probationary period to fulfill the master teacher educational qualifications per applicable Licensing requirements and QRIS criteria; and

(C)   Licensing may extend the probationary period for a second year, providing the probationary master teacher is actively pursuing educational qualifications as identified on Form 07LC031E.

(4)   Non-compliance. The star certification level of a one star plus, two, or three star program may be reduced, when a program has:

(A)   serious non-compliance with Licensing requirements, within a 24-month period;

(B)   a serious incident resulting in injury or imminent risk of harm to a child; or

(C)   violations with other star certification criteria.

(5)   Violations. When violations of certification criteria are documented, or the program notifies CCS of criteria changes, the procedures in (A) through (E) of this paragraph are followed.

(A)   Licensing staff provides written notification documenting the violations, including a statement that a reduction in the star certification level may occur, when:

(i)   the program had serious non-compliances with Licensing requirements;

(ii)   a serious incident occurs resulting in injury or imminent risk of harm to a child;

(iii)   violations are not corrected in the agreed on time frame; or

(iv)   an Emergency Order or notice of proposed request for license denial or revocation is issued.

(B)   Licensing staff documents a plan of correction for each star criteria violation noted during the criteria review indicating a specific agreed on correction time frame.

(C)   When previous criteria violations were not corrected in the agreed on time frame, an additional plan of correction may be documented indicating a reduced correction time frame.

(D)   When the program fails to meet additional plans of correction, Licensing staff may submit a referral for star certification reduction or notify the program of a request for extension of time to comply, including timeframes.

(E)   When the program does not apply for an extension of time to comply, there is no acceptable plan of correction; Licensing staff may submit a referral for star certification reduction.

(6)   Follow-up of criteria violations. Licensing staff is responsible for verifying star certification criteria violations are corrected as determined by the approved plan of correction.

(7)   Written notice. Licensing staff provides written notice that star certification criteria are not being met, when:

(A)   there is serious non-compliance with requirements, per OAC 340:110-1-8.4;

(B)   a serious complaint that may place the children's health, safety, or well-being at imminent risk of harm is substantiated;

(C)   Licensing staff have knowledge the program is not meeting star certification criteria, such as having an insufficient number of master teachers; and/or

(D)   a program fails to employ a qualified director for six months or more.

(g)   Extension of time to comply.

(1)   A request for an extension of time to comply may be submitted when violations of star criteria cannot be corrected within the agreed on plan of correction time frame.

(2)   A request for an extension of time to comply to meet Licensing requirements, such as director qualifications, is not approved.

(3)   The owner, director, or primary caregiver submits Form 07LC074E, Request for Extension of Time to Comply, no later than 10-calendar days after the plan of correction expires.

(4)   The decision to approve or deny an extension of time to comply is made by the stars program administrator or designee. One or more discretionary extensions of time to comply may be granted. Approval of an extension of time to comply does not set a precedent and each request is independently evaluated. The owner and director or primary caregiver, when applicable, is notified in writing of the decision.

(h)   Reduction in one star plus, two, and three star certification levels.

(1)   A reduction occurs when CCS issued a written Emergency Order or notice of proposed request for license denial or license revocation.

(2)   A reduction may occur, when:

(A)   the program had serious non-compliance with Licensing requirements within a 24-month time frame;

(B)   a serious incident occurs resulting in injury or imminent risk of harm to a child;

(C)   violations are not corrected within the agreed on time frame; or

(D)   a program fails to employ a qualified director for six months or more.

(3)   The procedures in this subsection are followed when a reduction is warranted.

(A)   Licensing staff reviews the case with the supervisor and RPM. The decision to make a referral to the stars program administrator or designee is made by the RPM and referrals are made in writing to the stars program administrator or designee. The RPM may enter in an agreement for an alternative settlement with the owner of a program in lieu of reduction. The alternative settlement documents how the program will go above and beyond minimum Licensing requirements and ensure a higher standard or quality of care. It is the RPM's decision to accept or deny the alternative settlement.

(B)   When a reduction is warranted, the stars program administrator or designee provides the owner and director or primary caregiver, when applicable, a letter sent by certified mail documenting the reduction in star certification level and notifying the program of the right to request an administrative review of the decision.

(C)   The certified mail delivery receipt card is addressed to return to the CCS director or designee.

(D)   In order to receive an administrative review, the owner must submit a written request to the CCS director or designee within 15-calendar days of reduction notification letter receipt.

(E)   The request must include written documentation stating the program's grounds for appeal.

(4)   QRIS personnel or a designee updates changes in the star certification level and payment rate following verification of certified letter receipt and the administrative review, when requested.

(5)   The administrative review process includes determining when a star certification level reduction was in accordance with DHS policy and substantially supported by the evidence. The procedures in (A) through (C) of this paragraph are followed when an administrative review is requested.

(A)   Within 30-calendar days of receiving the request for an administrative review, a letter is provided notifying the owner and program of the administrative review. Prior to the administrative review, the owner is provided at least a 14-calendar day written notice. All correspondence indicates the administrative review date, time, and location. The owner may submit written documentation prior to, or at the beginning of, the administrative review, with copies provided to all representatives.

(B)   The administrative review panel:

(i)   provides review;

(ii)   consists of one DHS staff not involved in the decision to reduce the star certification level; and

(iii)   includes two Child Care Advisory Committee (CCAC) members, one of which is a center owner or operator, per OAC 340:110-1-17.

(C)   The stars review panel makes a determination affirming or reversing the CCS decision at the administrative review. Time constraints or the complexity of issues may require the panel to take a matter under advisement. The determination decision is completed within 10-calendar days from the panel review date.

(6)   The owner and director or primary caregiver, when applicable, may reapply for a higher star certification level when criteria are met. When the star certification level is reduced due to serious non-compliance with Licensing requirements, the program is not approved for a higher star certification level for six months after receiving the reduction letter, sent by certified mail.

(i)   Change in ownership. When there is a change in ownership or form of business entity of a program, the case is closed and the star certification level is removed, unless otherwise determined, per OAC 340:110-1-9. For approval as a higher star certification level, the new owner and director or primary caregiver, when applicable, completes and submits the appropriate star certification request, meeting all the criteria applicable to the requested star certification level.

(j)   Transitional change of ownership. When a program requests a transitional change of ownership (1) through (7) of this subsection are followed.

(1)   Licensing staff conducts a full-star criteria review within five DHS-business days:

(A)   verifying all applicable criteria are met; and

(B)   obtaining the appropriate request for star certification completed by the prospective owner and director or primary caregiver, when applicable.

(2)   The stars outreach specialist reviews the request for star certification completed by the prospective owner and verifies star level certification criteria are met per (d) of this Section.

(3)   Transitional change of ownership procedures are followed, per OAC 340:110-1-9.

(4)   Periodic and ongoing criteria reviews are conducted and maintained, per (f) of this Section.

(5)   All star certification criteria reviews and correspondence are provided to both the current and prospective owners.

(6)   Change of ownership procedures are followed, per (i) of this Section by the end of 90-calendar days, when applicable.

(7)   When programs notify Licensing that transitional change of ownership is no longer proceeding, Licensing staff verifies program operation status and consults with the supervisor for appropriate action.

(k)   Inactive status. When a program is determined inactive, per OAC 340:110-1-9, all applicable star certification criteria must be reviewed at least annually.

(l)   Address change. When the program's address changes Licensing staff completes the appropriate star certification review, verifying compliance with criteria at the new address. Licensing staff determines when a partial-or full-star certification review is conducted.

(m)   Record-keeping. Periodic certification review, request forms, and supporting documentation are maintained in the case file or in a separate open-record file. When maintained, any information, including children's photographs is kept confidential, per OAC 340:110-1-14.

[Source: Added at 15 Ok Reg 1204, eff 2-1-98 (emergency); Added at 15 Ok Reg 1727, eff 5-11-98; Amended at 15 Ok Reg 3491, eff 8-1-98 (emergency); Amended at 16 Ok Reg 3491, eff 8-1-98 (emergency); Amended at 16 Ok Reg 1080, eff 4-26-99; Amended at 16 Ok Reg 2527, eff 7-1-99; Amended at 16 Ok Reg 3511, eff 7-13-99 (emergency); Amended at 17 Ok Reg 3104, eff 7-1-00 (emergency); Amended at 18 Ok Reg 2607, eff 6-26-01; Amended at 19 Ok Reg 236, eff 1-1-02 (emergency); Amended at 19 Ok Reg 2274, eff 6-27-02; Amended at 20 Ok Reg 1259, eff 6-1-03; Amended at 21 Ok Reg 910, eff 6-1-04; Amended at 22 Ok Reg 1304, eff 6-1-05; Amended at 23 Ok Reg 1092, eff 6-1-06; Amended at 24 Ok Reg 1351, eff 7-1-07; Amended at 25 Ok Reg 1962, eff 7-1-08; Amended at 26 Ok Reg 415, eff 11-20-08 (emergency); Amended at 26 Ok Reg 2239, eff 7-1-09; Amended at 27 Ok Reg 1869, eff 7-1-10; Amended at 29 Ok Reg 1229, eff 7-1-12; Amended at 33 Ok Reg 1683, eff 11-1-16; Amended at 35 Ok Reg 475, eff 1-31-18 (emergency); Amended at 35 Ok Reg 1705, eff 9-17-18; Amended at 36 Ok Reg 181, eff 12-17-18 (emergency); Amended at 36 Ok Reg 1892, eff 9-16-19]