What are the DCC-413 and DCC-414 and how do they pertain to me? The STARS Interim Report

Cabinet for Health and Family Services 2 What is an interim report? The STARS Interim Report is completed by a STARS-rated facility prior to the anniversary date of their STARS rating.

Cabinet for Health and Family Services 3 What is an anniversary date? “Anniversary date” is new terminology for STARS since changes to the STARS regulations extended the length of time that two-, three- and four-STARS ratings are valid. A program’s STARS anniversary date is the date one year forward from the date the current STARS rating was initially approved –(i.e. A two-STAR provider’s rating certificate approval date was July 30, 2006; provider’s anniversary date would be July 30, 2007). Three-STARS and four-STARS rated programs will have an anniversary date each year one year forward from the date the rating was initially approved –(i.e. A four-STARS provider’s rating was approved July 30, 2006; provider’s anniversary dates would be July 30, 2007, July 30, 2008, and July 30, 2009, with an expiration date of July 30, 2010.

Cabinet for Health and Family Services 4 Who must complete an interim report? Interim reports are to be submitted by any program with a STARS rating of two, three or four.

Cabinet for Health and Family Services 5 When will I receive the interim report? The STARS Interim Report will be sent to the STAR rated program from the Division of Child Care (DCC) 90 days prior to a facility’s anniversary month. The report will be mailed from DCC in paper form. If you would like to receive the Microsoft Word version through , please send your name, facility name, license or certification number and contact phone number to

Cabinet for Health and Family Services 6 When is the interim report due? prior to the anniversary date Section 10. Interim Report. (1) Except during a renewal year, a STARS Level 2, 3 or 4 center shall complete and submit to the cabinet or its designee prior to the anniversary date a: (a) DCC-413, STARS for KIDS NOW Interim Report Standards Documentation; and a, (b) DCC-414, STARS for KIDS NOW Interim Report Staff Training Documentation for each staff person, including the director. 922 KAR 2:170 ( Type I Licensed Programs) 922 KAR 2:210 (Family Child Care Homes) Reports are due to DCC 30 days prior to the anniversary date.

Cabinet for Health and Family Services 7 Making it clearer… Example: A STARS Level 3 facility’s STARS certificate approval date is July 7, This facility will have an anniversary on July 7, 2010, and July 7, The facility will be set to expire on July 7, This facility will receive its first interim report during April It will be due back to DCC 30 days before the first anniversary date of July 7, The second interim report will be received from DCC during April It will be due back to DCC 30 days before the first anniversary date of July 7, An Interim Report will not be due during the month of July This is the month the facility is set to expire. If requested, an on-site rating visit may occur to renew the desired STAR level.

Cabinet for Health and Family Services 8 What can happen if I do not return the STARS Interim Report? 922 KAR 2:170 ( Type I Licensed Programs) 922 KAR 2:210 (Family Child Care Homes) Section 12. Conditions Requiring Reevaluation. (1) Reevaluation of a center’s quality rating certificate and associated level shall be conducted if the: (d) Center fails to return the DCC-413 or DCC-414. Reevaluation of a facility can be conducted as a desk audit of the Interim Report or as an unannounced rating of the program. The determination will be based upon Interim Report findings and director verification.

Cabinet for Health and Family Services 9 DCC STARS Policy Regarding / Re-evaluation Expiration Date: If a STARS rated program’s Interim Report Review or facility/director information results in the need for a re-evaluation of the program’s STARS rating, the following applies as appropriate: 1. When the Re-evaluation is done as a desk audit/director confirmation – the reduced STARS rating retains the expiration date of the initial official STARS rating that triggered the reevaluation. A new certificate will be issued with the reduced STARS rating and the previous expiration date. 2. When the Re-evaluation is done as a STARS rating visit (including classroom observation components) – the reduced STARS rating will carry the expiration date the official new STARS rating creates. A new certificate will be issued with the reduced STARS rating and new expiration date.

Cabinet for Health and Family Services 10 Is assistance available if I need it? You may contact your STARS Quality Coordinator (SQC) for assistance. You may also contact the Division of Child Care for assistance.

Cabinet for Health and Family Services 11 Where Can I Find Assistance? You can find the contact phone number and address for your STARS Quality Coordinator at: or at (800) You may contact the Division of Child Care at: (800)

Cabinet for Health and Family Services 12 What does it look like? DCC-413 STARS for KIDS NOW Interim Report Standards Documentation

Cabinet for Health and Family Services 13 What does it look like? DCC-414 STARS for KIDS NOW Interim Report Staff Training Documentation

Cabinet for Health and Family Services 14 What information will I need for the DCC-413? The center’s demographic information This section will ask when you completed an Improvement Plan for each environmental rating scale. This section asks for the date of your family involvement plan and you will list the activities.

Cabinet for Health and Family Services 15 Additional Information Required The DCC-413 Family feedback procedure date This section asks if benefits offered to staff have changed. For Level 4: date of expiration for accreditation. You will need to provide a copy of the certificate. Type I Level 4 Enhanced: Health Insurance information Regulatory Compliance information Be sure to sign and date.

Cabinet for Health and Family Services 16 Common Mistakes on the DCC-413 Missing or Incomplete Information –Be sure to fill in ALL applicable information within ALL sections Environment Rating Scale (ERS) Improvement Plan – date missing or plan(s) was not written within the past 12 months –ERS Improvement Plan is an annual plan Supporting Documentation not attached –Be sure to attach Accreditation certificate and/or health insurance documentation (if applicable)

Cabinet for Health and Family Services 17 What information will I need for the DCC-414? EACH There needs to be a DCC-414 completed on EACH staff member of your facility. Center demographic information This information will be specific to each staff member. List the training the employee has received.

Cabinet for Health and Family Services 18 Additional Information Provide a total of training hours. 12 months refers to the closed year you are using for training calculation. Refer to slide 21 for further explanation. Owner/Director will verify the information listed is correct. Be sure to sign and date. The DCC-414

Cabinet for Health and Family Services 19 Common Mistakes on the DCC-414 Number of DCC-414’s submitted does not match number of staff listed –Example: If you have five staff (including director)…there will be five DCC- 414’s submitted The same method for training calculation was not used on all staff –ALL OR –ALL staff training must be calculated using the same method…Hire date OR Rating Date STARS Level 3 or 4 – 50 percent of teaching staff does not have entry level credential or higher We only need 414’s on those staff required to have early care and education clock hours via DRCC regulations. If a staff is in the classroom or supervising children at ANYTIME we must see a 414 and training for that staff.

Cabinet for Health and Family Services 20 Common Mistakes on the DCC-414 STARS Level 3 or 4 – 50 percent of staff working with children does not have current CPR/First Aid Training Missing information ALLEACH –Be sure to fill in ALL applicable information for EACH staff person Supporting documentation not attached –Please see “What do I attach?” section for further clarification

Cabinet for Health and Family Services 21 Common Mistakes on the DCC-414 Problems with training hours listed –Hire date calculation method - Training must be calculated using a closed hire year CLOSEDExample: Hire date is 12/4/2002…training will be calculated using 12/07-12/08 as most recent CLOSED hire year –Rating Date calculation method – Training must be calculated using anniversary date back 1 year Example: Anniversary date is 2/5/2009…training will be calculated using 2/08- 2/09 timeframe –Training listed falls outside of hire year or rating year Be sure training listed for staff member falls within closed year regardless of calculation method used –Staff does not meet training requirement for current STARS level

Cabinet for Health and Family Services 22 What do I attach? DCC-413 –Attach a copy of accreditation certificate (if applicable) –Attach a copy of health insurance policy (if applicable) DCC-414 –Attach copy of credential of staff member –Attach copy of transcript showing field of study for any degree –Attach copy of transcript showing course completion for college courses only

Cabinet for Health and Family Services 23 DO NOT We DO NOT need...to approve your Interim Report Copies of training certificates showing clock hours Copies of FA/CPR certification Copy of ERS Improvement Plan or Family Involvement Plan Copy of Staff Development Plan, Training Plan or Staff Evaluation Copy of STARS Overview sign-in sheet Be sure to keep ALL of these on file and current. These items will be reviewed during your next STARS for KIDS NOW rating visit.

Cabinet for Health and Family Services 24 Frequently Asked Questions What time period am I using to list my Family Involvement Activities on the DCC-413? - You will need to list those activities that take place during the calendar year of your anniversary. If I am using hire date-to-hire date to calculate my training, do I need to list training I am taking during an “open” year? - No, you do not need to include training you will be taking nor training you have taken to fulfill your current “open” training year. Please list training using the most resent closed year. Which method should I use to calculate training for my staff? - This is determined by you. You can request assistance from your SQC to help you determine what would best work for you and your center.

Cabinet for Health and Family Services 25 Frequently Asked Questions Do I need to include a DCC-414 on my substitute staff? - Yes, substitutes are your teaching staff as well. Who needs to write my Annual Improvement Plan? - STARS regulation states the improvement plan is to be written by the director with assistance from the cabinet or its designee( your SQC), if requested. Do I need to send in training certificates? - No. However, please see the “What to attach? Section of this PowerPoint in order to better understand what needs to be attached. Can I use a print out from ECE-TRIS to verify my training? - Yes. Please be sure that the training listed on the ECE-TRIS print out falls within your training calculation timeframe.

Cabinet for Health and Family Services 26 Frequently Asked Questions At Level 3 and 4, my CDA or accreditation has expired, I know I will not be able to renew my current level should I submit the interim report or wait for my re-rating? - All Level 2-4 programs will be required to submit an Interim Report. Determination of outcome will be based upon review findings.

Cabinet for Health and Family Services 27 We are here to answer your questions! Contact a STAR Quality Coordinator at: or at (800) Contact the Division of Child Care at: (800) Or by