Library: Policy

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

Revised 2-10-25

(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 (5) 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 complete and submit an online request for star certification information, 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 complete and submit the appropriate online 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 Services (CCS)-approved national accrediting organization; or • 1

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

(4) Four-star center and home criteria. For approval, the owner and director or primary caregiver must complete and submit the appropriate online request for star certification and meet all criteria described in (b) of this Section.

(5) Five-star center and home criteria. For approval, the owner and director or primary caregiver must complete and submit the appropriate online request for star certification and:

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

(B) be accredited by a CCS-approved national accrediting organization. • 1

(i) Programs approved for five-star prior to the rule effective date must provide proof of accreditation by a CCS-approved national accrediting organization or proof of accreditation application submission within sixty-calendar days of the rule effective date. When programs do not provide proof of accreditation or accreditation application submission within sixty-calendar days, reduction processes are followed, per (m) of this Section.

(ii) Programs making application for accreditation must obtain accreditation by a CCS-approved national accrediting organization by September 1, 2025. When programs do not obtain accreditation by September 1, 2025, reduction processes are followed, per (m) of this Section.

(d) Star level certification requests.

(1) Programs operating on permit may only request two- or three-star certification.

(2) Programs requesting four- or five-star certification must be licensed. Programs on permit are not eligible for four- or five-star certification.

(3) Changes of ownership are exempt from processes in (1) and (2) of this subsection.

(e) Request for star certification submission process. The procedures in this subsection are followed for submission of request for star certification.

(1) The owner and director or primary caregiver submit the appropriate online request for star certification and required documentation to CCS. • 2 & 3

(2) The stars outreach specialist determines when certification criteria are met by reviewing the case 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, designated CCS staff, and the QRIS program administrator or designee as needed.

(3) The monitoring visits and substantiated complaints for the last 12 months of operation are reviewed for criteria compliance determination. • 4 The request is denied when the program has:

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

(B) a single serious incident resulting in injury or imminent risk of harm to a child within the 12-month period;

(D) a serious substantiated complaint;

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

(F) a consent agreement, per OAC 340:110-1-9.5. • 5

(f) Pre-certification visit. Prior to initial or higher star level certification approval, programs receive a pre-certification visit from designated CCS staff to verify stars criteria compliance. Pre-certification visit is conducted after:

(1) online request for star certification is completed; and

(2) all required star criteria documentation is submitted.

(g) Center and home certification approval. The procedures in this subsection are followed for initial approval and requests for higher star certification level.

(1) 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-compliances, per OAC 340:110-1-9.3, are 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.

(2) 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. • 6

(3) The owner and director or primary caregiver 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, per OAC 340:110-1-9.3, 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.

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

(5) The owner may request a reduction in star certification level. The request is made in writing to CCS. 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 (l) of this Section, and the right to request an administrative review is waived.

(h) Complaint investigations. Pending complaint investigations may impact star certification request approval. • 4 & 5

(i) 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 designated CCS staff to determine whether criteria continue to be met. • 7

(2) Periodic certification reviews. Designated CCS staff completes a minimum of one partial- and one full-star certification criteria review annually, including programs operating less than a full-year or having a tribal cooperative licensing agreement.

(A) When requested by the program owner or director, designated CCS staff schedules the annual criteria review at least one week in advance.

(B) Programs accredited by a CCS-approved national accrediting organization may be exempt from the partial certification criteria review. When programs have numerous, repeated, or serious non-compliances, per OAC 340:110-1-9.3, within the previous 12 months, designated CCS staff consult with the designated programs manager for exemption approval.

(C) Programs exempt from state licensure including federal or tribal programs, have all applicable stars criteria reviewed at least annually. • 8

(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. • 9

(4) Non-compliance. The star certification level of a program is referred for reduction when a program has:

(A) serious non-compliance with Licensing requirements, per OAC 340:110-1-9.3, within a 12-month period;

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

(D) a serious substantiated complaint;

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

(F) other star certification criteria violations. • 4 & 5

(5) Violations and written notification. 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. • 10 & 11

(A) Designated CCS 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, per OAC 340:110-1-9.3;

(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.

(B) A plan of correction indicating a specific agreed on correction time frame is documented:

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

(ii) when a program notifies designated CCS staff of star criteria violations. •12 & 13

(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, designated CCS staff may submit a referral for star certification reduction or notify the program of a request for extension of time to comply, per (k) of this Section, including timeframes.

(E) When the program does not apply for an extension of time to comply, there is no acceptable plan of correction; a referral for star certification reduction is submitted. •12 & 13

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

(j) Grievances. Grievances regarding star criteria violations are followed, per OAC 340:110-1-15.

(k) 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 QRIS 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 is notified in writing of the decision. • 14

(l) Star certification level reduction circumstances. Circumstances for star level reductions are in (1) and (2) of this subsection. A reduction occurs when:

(1) a written Emergency Order or notice of proposed request for license denial or license revocation is issued; or

(2) the program has:

(A) numerous, repeated, or serious non-compliance with Licensing requirements, per OAC 340:110-1-9.3, within a 12-month time frame; • 4 & 5

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

(D) star level criteria violations; or

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

(m) Reduction in star certification level process. Reduction procedures in (1) through (8) are followed.

(1) Designated CCS staff reviews the case and referrals for stars reductions are made in writing to the QRIS program administrator or designee. The designated programs manager 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 required star level criteria to ensure a higher standard or quality of care. It is the designated programs manager’s decision to accept or deny the alternative settlement. • 15

(2) When a reduction is necessary, the QRIS program administrator or designee provides the owner and director or primary caregiver 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.

(A) When numerous, repeated, or serious non-compliances, serious incidents, or serious substantiated complaints are the basis for the reduction:

(i) two-star programs are reduced to one-star; and

(ii) three-, four-, and five-star programs are reduced to two-star. When programs do not meet two-star criteria, the program is reduced to one-star.

(B) When criteria violations are the basis for the reduction, the star level is reduced to the appropriate star level based on the criteria currently being met.

(C) When Emergency Order issuance or notice of proposed request for license denial or license revocation occurs, the star level is reduced to one-star, and there is no right to request an administrative review on star level reductions.

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

(4) 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.

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

(6) 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. • 16

(7) 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 individuals, 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.

(8) The owner and director or primary caregiver may reapply for a higher star certification level when criteria are met, and higher star level certification processes, per (d) of this Section, are not required for reapplication. However, when the star certification level is reduced due to serious non-compliance with Licensing requirements, serious incidents, or serious substantiated complaints, the program is not approved for a higher star certification level for six months after receiving the reduction letter, sent by certified mail.

(n) 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 of request for star certification level, the new owner and director or primary caregiver completes and submits the appropriate online request for star certification and required documentation. Changes of ownership are exempt from star certification request processes, per (d) of this Section, and may be approved for any star level certification when meeting required star criteria for the requested level.

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

(1) Designated CCS staff conducts a full-star criteria review within five-OKDHS business days:

(A) verifying all applicable criteria are met; and

(B) obtaining the appropriate online request for star certification and required documentation completed by the prospective owner and director or primary caregiver. • 17 & 18

(2) The stars outreach specialist reviews the online request for star certification and required documentation completed by the prospective owner and verifies star level certification criteria are met, per (e) through (g) 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 (i) 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 (n) of this Section by the end of 90-calendar days.

(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.

(p) 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. • 19

(q) Address change. When the program's address changes, designated CCS staff completes a full star certification review, verifying compliance with criteria at the new address.

(r) 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.

INSTRUCTIONS TO STAFF 340:110-1-8.3

Revised 02-10-25

1. (a) Approved national accrediting bodies are the:

(1) Association of Christian Schools International's Preschool Accreditation (ACSI);

(2) National Association for the Education of Young Children (NAEYC), Early Learning Program Accreditation;

(3) National Early Childhood Program Accreditation (NECPA);

(4) Council on Accreditation (COA);

(5) National Accreditation Commission for Early Care and Education Programs (NAC);

(6) Accredited Professional Preschool Learning Environment (APPLE);

(7) Commission on Accreditation of Rehabilitation Facilities (CARF);

(8) National Association of Family Child Care (NAFCC); and

(9) Cognia.

(b) Program accreditation may be transferable.

2. It is the program owner's responsibility to initiate the certification process and provide required documentation. Programs are not required to have a current provider contract to request certification.

3. The stars outreach specialist notifies Licensing staff and designated CCS staff when online request for certification information and required documentation is received. Licensing staff and designated CCS staff notify the stars outreach specialist when concern exists. The stars outreach specialist determines when certification criteria are met by reviewing the case and documentation submitted by the program.

4. The program's case record of up to 12 months is considered, including the case record from previous licenses. When a program files a grievance, per Oklahoma Administrative Code (OAC) 340:110-1-15, the violation is not considered as part of an approval or reason for denial or reduction while pending an Oklahoma Human Services decision.

5. (a) When making the determination to deny or reduce the certification, designated Child Care Services (CCS) staff considers:

(1) the number of serious non-compliances or substantiated complaints;

(2) the non-compliance duration;

(3) the degree of risk to children;

(4) if non-compliances could have been prevented;

(5) the response timeliness and effectiveness; and

(6) if notice was given regarding denial or reduction of star certification.

(b) Numerous and repeated non-compliances are included with reduction referrals when the case is being reviewed for denial or license revocation.

(c) Numerous non-compliances during the initial Licensing visit prior to permit, may be disregarded when evaluating compliance, when all items were corrected in a timely manner.

(d) The certification request may be denied even though there are more than six months of compliant monitoring history, while on a consent agreement.

6. When a request for star certification is denied, documentation supporting the denial is maintained in the case record.

(1) When the program contacts CCS to discuss concerns regarding the star certification denial, attempts are made to resolve the matter by making the appropriate referrals based on the denial reason.

(2) When the matter is not resolved, the program is advised of the right to file a grievance, per OAC 340:110-1-15, and provided grievance procedure policy, when requested.

(3) When it is determined the program meets a different star certification level other than requested, the stars outreach specialist notifies the owner and director or primary caregiver.

7. Designated CCS staff completes a plan of correction when star certification criteria are not met.

8. Periodic certification reviews.

(1) An on-site monitoring visit is not conducted for partial certification criteria reviews. Designated CCS staff reviews database information for criteria compliance with (A) through (F) of this Instruction, when applicable:

(A) compliance with minimum Licensing requirements;

(B) master teacher qualifications and review of Form 07LC031E, Probationary Master Teacher Agreement, when applicable;

(C) required number of master teachers;

(D) primary caregiver qualifications;

(E) professional development for a director hired since the last review; and

(F) star criteria violations from the previous review.

(2) All applicable stars certification criteria are reviewed annually.

(3) The names of program personnel that the review or follow-up is conducted with are documented in discussion, including any witnesses.

(4) Star reviews may be reduced when the required number of minimum monitoring visits is reduced.

(5) When the program is monitored for a consent agreement, per OAC 340:110-1-9.5, ongoing periodic certification reviews are conducted, per OAC 340:110-1-8.3.

(6) Quality rating and improvement system staff or designated CCS staff review programs exempt from state licensure, verifying all applicable criteria are met.

(7) Three-star programs meeting criteria with accreditation or Head Start Performance Standard compliance are only monitored for licensing compliance and approved accreditation or performance standards.

9. When replacing a master teacher, actively pursuing educational qualifications include, completing at least:

(1) three college credits toward a Certificate of Mastery, Child Development Associate (CDA) or Certified Childcare Professional (CCP);

(2) three college credits in Early Childhood Education (ECE), Child Development (CD), or School Age (SA); or

(3) 40-clock hours of professional development toward CDA or CCP.

10. When a program notifies Licensing staff of star criteria violations, Licensing staff forwards the violation information to designated CCS staff for further action.

11. Documentation considered a notice to a program for star criteria not being met include:

(1) the appropriate star certification review;

(2) the appropriate licensing monitoring visit report;

(3) Form 07LC037E, Notice to Comply; or

(4) the statement regarding star reduction in a letter or in office conference documentation: "A reduction in star certification may occur, when:

(A) the program had serious non-compliance with Licensing requirements;

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

(C) star certification violations are not corrected in the agreed on time frame;

(D) an Emergency Order, proposed request for license denial, or license revocation is issued; or

(E) the program has not employed a qualified director for six months or more."

12. The time frame for correcting violations is negotiated between the director, primary caregiver, owner, or personnel in charge, and designated CCS staff. Time frames are based on the time needed to correct the violation and level of risk to children. Designated CCS staff is responsible for tracking and follow-up on the plan of correction.

13. When information is received regarding a program not meeting star certification criteria, and no written documentation exists, designated CCS staff documents the violation on Form 07LC080E and contacts the program, documenting the violation and plan of correction.

14. Criteria considered when determining approval or denial of an extension request, includes the:

(1) request timeliness;

(2) program's compliance record;

(3) length of time needed to meet the criteria;

(4) program's evidence of effort or actions to correct violations or meet criteria;

(5) impact on available care in the area for children whose care is subsidized; and

(6) program's proximity to services, classes, and resources.

15. Designated CCS staff is responsible for monitoring alternative settlement compliance. When the decision to refer the case to the stars program administrator or designee is made, documentation made available in the database includes:

(1) verification of online request for certification information and supporting proof of ownership;

(2) monitoring visits and complaints documenting serious non-compliance and substantiated complaints;

(3) pertinent or applicable documentation including letters, notices to comply, supplemental pages, and complaint summaries; and

(4) additional information needed to make a decision.

16. Per Form 08CC001E, Child Care Provider Contract, the payment rate is reduced to the appropriate star certification level at the expiration of one month, from the first day of the month, immediately following certified mail receipt of letter or notice of reduction sent to program.

17. Transitional change of ownership.

(1) Criteria reviews are conducted under the current owner's program and also maintained in the prospective owner's case record.

(2) All Licensing correspondence copies are maintained in both the current and prospective owners' case records.

(3) All of the current owner's criteria review information is available to the prospective owner on request, including reduction of star certification levels.

18. Program accreditation may be transferable between the current and prospective owner depending on the accrediting organization.

19. Inactive status.

(1) Licensing staff notifies designated CCS staff when a program is placed on inactive status.

(2) During inactive status, star certification reviews are not conducted. However, designated CCS staff contacts the program every four months verifying inactive status and Professional Development Ladder (PDL) certification. Designated CCS staff discusses ongoing PDL certification maintenance, alleviating future non-compliance upon resuming care. Program contacts and discussions are documented on Form 07LC080E, Licensing Services Supplemental Information.

(3) Upon resuming care, a partial-star certification review is conducted.

(4) When a full-star certification review was due during inactive status, a full-star certification review is conducted upon resuming care. Criteria not applicable during inactive status, such as parent surveys and conferences, and personnel evaluations, are not documented as violations. Designated CCS staff consults with the program regarding appropriate time frames for completing applicable criteria.