Okla. Admin. Code § 340:110-1-8.3

Current through Vol. 42, No. 4, November 1, 2024

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

(a)Purpose. The quality rating and improvement system (QRIS) provides a framework for building strong early care and education programs. This systematic approach assesses, improves, and communicates quality levels in early care and out-of-school time education programs. The QRIS quality components include:

(1) management and administration;

(2) workforce qualifications and professional development;

(3) learning and development;

(4) family partnerships; and

(5) program evaluation and continuous quality improvement.

(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 340:110-1-8.11.

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

(1)One-star center and home criteria. A program operating on a permit or license is automatically designated as a one-star program.

(2)Two-star center and home criteria. For approval as a two-star program, the owner and director or primary caregiver, when applicable, 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 number of master teachers as required, per star level and are not eligible for master teacher probationary periods.

(3)Three-star center and home criteria. For approval as a three-star program, the owner and director or primary caregiver, when applicable, complete and submit the appropriate request for star certification, and meet:

(A) all 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 Child Care Service (CCS)-approved national accrediting organization; or

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

(4)Four- and five-star center and home criteria. For approval, the owner and director or primary caregiver, when applicable, must complete and submit the appropriate request for star certification and:

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

(B) meet all criteria described in OAC 340:110-1-8.3 through 340:110-1-8.10 and specified criteria described in OAC 340:110-1-8.11; and be:

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

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

(d)Effective June 1, 2022. Programs certified as one-star plus or higher prior to June 1, 2022, are required to reapply for star level certifications.

(1) Applications must be received by December 1, 2022.

(2) On January 1, 2023, programs will be reassigned;

(A) the appropriate star level based on the criteria being met; or

(B) a one-star level when an application is not received by December 1, 2022.

(e)Center and home certification approval. 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, submit 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 file 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 criteria compliance determination. 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;

(iv) a serious substantiated complaint;

(v) failed to employ a qualified director for six months or more; or

(vi) 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 when 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 case file 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 is 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, and the right to request an administrative review is waived.

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

(g)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. The three reviews consist of two partial- and one full-star certification criteria reviews.

(A) For programs having a licensed capacity of fifty or more, the annual criteria review may be scheduled at least one week in advance, when requested by the program owner or director.

(B) Programs:

(i) 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

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

(3)Master teacher change. When an individual not meeting master teacher educational qualifications 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 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 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;

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

(D) a serious substantiated complaint;

(E) failed to employ a qualified director for six months or more; or

(F) other star certification criteria violations.

(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 the program has:

(i) serious non-compliances with Licensing requirements;

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

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

(iv) a serious substantiated complaint;

(v) failed to employ a qualified director for six months or more; or

(vi) star criteria violations not corrected in the agreed on time frame.

(B) Licensing staff documents a plan of correction indicating a specific agreed on correction time frame:

(i) for each star criteria violation documented during a criteria review; or

(ii) when a program notifies Licensing of star criteria violations.

(C) When previous star 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 star 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 program has:

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

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

(C) a serious, substantiated complaint;

(D) failed to employ a qualified director for six months or more; or

(E) star criteria violation.

(h)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.

(i)Reduction in 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 the program has:

(A) numerous, repeated, or serious non-compliance with Licensing requirements within a 24-month time frame;

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

(C) a serious, substantiated complaint;

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

(E) failed 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 offer or accept a request from the owner of a licensed program for an alternative settlement 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 submits a written request to the CCS director or designee within 15-calendar days of reduction notification letter receipt.

(E) The request includes written documentation stating the program's grounds for administrative review.

(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 Oklahoma Human Services (OKDHS) rules 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 OKDHS staff not involved in the decision to reduce the star certification level; and

(iii) includes two Child Care Advisory Committee (CCAC) members, one being 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.

(j)Change in ownership. When there is a change in program ownership or form of business entity, 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.

(k)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-OKDHS 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.

(l)Inactive status. When a program is determined inactive, per OAC 340:110-1-9, all applicable star certification criteria is reviewed prior to resuming care.

(m)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.

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

Okla. Admin. Code § 340:110-1-8.3

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 by Oklahoma Register, Volume 33, Issue 24, September 1, 2016, eff. 11/1/2016

Amended at 35 Ok Reg 475, eff 1-31-18 (emergency)

Amended by Oklahoma Register, Volume 35, Issue 24, September 4, 2018, eff. 9/17/2018

Amended by Oklahoma Register, Volume 36, Issue 24, September 3, 2019, eff. 9/16/2019

Amended by Oklahoma Register, Volume 38, Issue 24, September 1, 2021, eff. 9/15/2021

Amended by Oklahoma Register, Volume 40, Issue 22, August 1, 2023, eff 9/15/2023