218 R.I. Code R. 218-RICR-20-00-4.11

Current through November 7, 2024

Section 218-RICR-20-00-4.11 - Child Care Provider Guide

4.11.1DHS CCAP Approved Child Care Providers

A. The Department of Human Services shall make payment only for the CCAP authorized child care services when rendered by the DHS CCAP approved child care providers.

1. To obtain approval, child care providers shall meet the minimum requirements set forth in this § 4.12 of this Part, including entering into an agreement with the DHS that fulfills the requirements set forth in this Part.

2. A list of providers that have obtained the DHS approved status is maintained on-line and can be accessed through dhs.ri.gov.

3. A licensed provider may begin to provide authorized services to CCAP eligible children during the week that an application for the CCAP approval has been submitted to the OCC. However, the DHS shall only make payment for such services when, and on the condition that, the provider is granted CCAP approved status, completes the introductory trainings and enrollment, and complies with reporting activities specified in this Rule.

4. The DHS shall discontinue payments when a provider exceeds the number of allowable children in its care or has evidence of provider non-compliance with the current approved Provider Agreement (APA), and/or the DHS licensing Regulations (Chapter 70 of this Title).

B. For the purposes of the CCAP, "approved" means the child care provider has met the requirement to enroll eligible children through the DHS CCAP automated enrollment system, for allowable child care expenses, has participated in DHS new provider and orientation programs and other programs as may be required by DHS, and has actively engaged in the State's QRIS Bright Stars.

1. Although these requirements reflect the minimum standards for safe and healthful child care, the CCAP approved status is not, and shall in no way be construed as, related to the quality of services rendered by the child care provider.

2. The DHS will not pay providers for services rendered prior to the week that CCAP Provider Management receives their application to be a CCAP approved provider.

4.11.2Application for CCAP Provider Approval Process

A. Licensed and license-exempt child care providers may apply for approved CCAP Provider status.

1. In the event that the family of an eligible child selects a child care provider that is not an approved CCAP provider, the provider must contact the Office of Child Care to request the appropriate application forms and related information about obtaining the CCAP approved provider status.

2. All child care providers seeking CCAP approved status shall meet the following general requirements:

a. Applications shall be made on forms approved by the Department and shall be submitted for review to the Office of Child Care.

b. All CCAP approved child care providers shall sign a CCAP Approved Provider Agreement (APA) that establishes the respective responsibilities and obligations of both the Department and the provider as well as the grounds for discontinuation of approved status. No payment shall be made for allowable child care expenses until the Department approves the Provider's application. Providers shall agree to the terms and conditions set by DHS for:

(1) Completing the APA;

(2) Enrolling eligible children;

(3) Complying with maximum capacity limits;

(4) Transmitting documentation of authorized services rendered;

(5) Establishing the DHS authorized payment rate for services provided to CCAP eligible children enrolled in care as well as the payment method and interval;

(6) Ensuring the safety and well-being of children in their care; and

(7) Filing timely reports to DHS about changes in enrollment, licensure, capacity or any other such matters as deemed necessary to authorize payment for services.

c. Providers, and any substitute providers, shall be successfully screened through a Comprehensive Background Check in accordance with R.I. Gen. Laws Chapter 40-13.2

d. CCAP approved providers shall be U.S. citizens or submit documentation of a legal immigration status that includes the appropriate work authorization.

(1) The DHS is prohibited from making payment to, and therefore will not approve, non-citizen providers who do not have proof of such authorization.

e. CCAP approved providers must meet any category specific requirements set forth in this Section.

B. Category Specific Access Requirements

1. In addition to the general access requirements, child care providers approved by and operating under the jurisdiction of the DHS, shall meet the following category specific requirements in accordance with R.I. Gen. Laws §§ 40-5.2-5 and 40-5.2-20:

a. Provide documentation of a valid State of Rhode Island license to operate, deemed by the DHS to be in good-standing, and meet any additional requirements specified by the DHS.

(1) Individuals operating, or employed by, child care centers and family homes regulated by the DHS are subject to screening including both a background clearance and criminal records checks as part of the process of obtaining and maintaining licensure. Accordingly, a valid license in good standing is considered evidence of successful screening for the purposes of this Section.

(2) If a provider's license lapses, is revoked, or otherwise becomes invalid, the DHS shall initiate appropriate action to discontinue approved CCAP provider status.

(3) A provider whose approved CCAP provider status is discontinued must submit a new application to be considered for reinstatement as a CCAP approved provider. Reinstatement under an existing application may be approved at the discretion of the DHS if made within sixty (60) days of the discontinuance.

2. For continued approved provider status, all licensed providers shall maintain a minimum of designation of One (1) Star in the Quality Rating Improvement System.

3. License Exempt Provider: To be eligible for CCAP approval, a license exempt provider shall be a relative of an acceptable degree as defined in § 4.2 of this Part of a child who is pending or eligible for the CCAP who has been requested to provide child care services to the pending or eligible child. The license exempt provider shall have submitted a completed and signed CCAP application packet which includes the following:

a. A signed Health and Safety Certification Form in which the provider attests to being free of any physical, mental and/or emotional condition(s) with the potential to endanger children or impede the ability to care for children.

b. Proof of completion of the Approved CCAP Health amp; Safety Training Module.

c. If an applicant is receiving disability related income and/or supportive health care services or has been hospitalized for a chronic condition for one (1) day or more in the last year, a treating physician must submit either medical documentation or a signed letter, indicating that the applicant is capable of providing safe and appropriate care for children.

d. A W-9 Form (Request for Taxpayer Identification Number and Certification) completed and signed by the provider.

e. Proof that the applicant is at least twenty-one (21) years old as verified by a birth certificate or other legal document that contains an applicant's date of birth.

f. A valid Social Security Number and proof that the applicant is a United States citizen or a non-citizen who is lawfully entitled to reside and work in the United States.

g. Proof of the applicant's Rhode Island residency and of a stable address. A post office box is not an acceptable form of proof of Rhode Island residency, though it may serve as an applicant's official mailing address.

(1) As used in this Section, a stable address means that the applicant intends to maintain one (1) principal place of residence once approved for the CCAP. For the purposes of the CCAP, a stable address is necessary to ensure prompt enrollment of eligible children, timely payment for authorized services and to protect the safety and security of the child care environment.

(2) A signed and dated lease or rental agreement in which the applicant, or the parent or spouse of the applicant, is a legally responsible party shall be considered acceptable proof of a stable address. A person who lives in a residence as a boarder is not considered to have a stable address and, as such, does not meet the requirements of this Section.

(3) At least ten (10) days prior to the actual date of a planned move, an approved license exempt provider must submit to the Office of Child Care (OCC), the information necessary to verify the address of, and the intent to maintain, a new principal place of residence. The provider shall also report any changes in household composition that occur in tandem with, or as a result of, the change in residence.

(4) An approved provider who makes more than two (2) changes in the principal place of residence during the two (2) year period of CCAP status is not considered to have a stable address. Accordingly, CCAP status of such providers is subject to review by the Office of Child Care and possible discontinuation of approved provider status.

h. Proof that there is a working telephone accessible at all times at the applicant's residence as verified through a current phone bill. A cell phone number is acceptable, provided that documentation is provided showing that the phone is attached to the provider and the provider's residence;

i. Proof of a valid, working email address;

j. Information on the applicant, and all members of the applicant household who are age eighteen (18) or older, including Social Security Numbers and dates of birth; and

k. A CCAP Parent-Provider Enrollment Agreement for each CCAP assisted child the provider intends to care for signed by a parent who has submitted an application for child care assistance from the DHS and is currently pending or eligible for such assistance from the CCAP; and

l. A self-declaration specifying how many children (both the CCAP assisted and non-CCAP assisted) will be rendered services. License exempt providers are limited to caring for six (6) children if an acceptable degree of relationship to the provider can be proven. The provider's children under six (6) years of age shall be included in the maximum number of six (6) related children.

(1) Legal documentation must be submitted to the Office of Child Care verifying that the provider has a relationship of acceptable degree to the eligible child(ren). For the purposes of the CCAP, a relationship of acceptable degree is an eligible child's aunt, uncle, grandparent, great grandparent, great aunt, great uncle, or adult sibling age twenty-one (21) or older.

(2) The Office of Child Care (OCC) shall accept as verification of the provider's relationship the legal documents specified in Part 2 of this Subchapter, the Rhode Island Works Rules and Regulations. Information about the required legal documentation shall be made available to the provider by the OCSS upon request.

4.11.3Determination/Maintenance of Provider Status

A. The Office of Child Care shall review a child care provider's application, complete the screening process and make a determination of the provider status within thirty (30) days from the date the appropriate signed application form and all required documentation are date-stamped as received by the DHS.

1. Upon determining that a child care provider has met the general and category specific requirements and signed the CCAP Approved Provider Agreement (APA), the DHS shall provide notification in writing of approved status to the provider.

a. Upon completing the Approved Provider Introductory Training, the provider gains access to the CCAP automated enrollment system.

2. Applicants who do not meet the general and category specific requirements shall be denied the CCAP approved status.

a. The Department shall send written notice to the child care provider indicating the reasons for denial and providing information on how to request a hearing and appeal the decision.

b. Any provider who has been denied on two (2) occasions may, at the discretion of the department, be required to wait a period of twelve (12) months before re-applying to be a CCAP approved child care provider.

3. The DHS shall not make payment for allowable child care services rendered during the period while the application for approved status is pending.

4. However, if approved status is granted, the provider will be reimbursed for such services at the DHS Authorized Payment Rate, but only after an Approved Provider Agreement has been signed and the Approved Provider Introductory Training has been completed.

B. The Department shall reserve the right to terminate CCAP approved status upon obtaining evidence that the provider has not met one (1) or more of the criteria outlined in these Rules.

1. Notice of Discontinuation of the CCAP approved status shall be sent to the provider and include the reasons for the discontinuation and information on how to appeal the DHS decision.

2. The DHS shall also notify the families of any eligible children affected by discontinuation of the provider's approved status.

3. License exempt providers shall be automatically discontinued at one (1) year during which no CCAP payments were made.

C. Renewal

1. License Exempt Providers are approved for CCAP for two (2) years as long as they continue to provide child care for a CCAP pending or eligible child.

a. After this period of time, a provider must reapply and provide appropriate documentation to the OCC to retain CCAP Approved status.

2. Licensed Providers are approved for CCAP for a maximum of two years with renewal required, at a minimum, every two years. Approval terms may be shorter than two years as needed to align with licensing renewals or as determined by the DHS

a. After this period of time, CCAP approved providers must renew their CCAP application and provide appropriate documentation to the OCC to retain CCAP Approved status.

3. Notice shall be sent to approved providers indicating the dates and requirements for renewal of their CCAP status at least thirty (30) days prior to the end date of their period of approval.

4.11.4DHS-CCAP Approved Provider Agreement

A. All CCAP approved child care providers shall complete and sign an agreement with the DHS that establishes the respective responsibilities and obligations of both the Department and the provider and the grounds for discontinuation of approval as specified in this Section.

1. No payment shall be made for allowable child care expenses until the Department approves, signs and returns to the Provider a executed copy of the DHS-CCAP Approved Provider Agreement.

2. Terms and Conditions for Payment

a. The Department shall determine the DHS Authorized Payment Rate for each eligible child enrolled.

b. The Department shall also determine the method that approved providers shall use to request and receive payment for allowable child care expenses.

3. In certain circumstances, the Department may determine that an approved provider is no longer qualified to provide authorized CCAP services and, as a result, approved status shall be discontinued. In such cases, the Department shall cease payment for any CCAP services rendered by the provider, and access to the DHS CCAP automated enrollment system will be denied.

a. The Department reserves the right to discontinue the DHS approved CCAP status for providers for any of the following reasons:

(1) Upon obtaining evidence that the DHS Child Care Licensing Unit suspends and/or terminates the license of a child care provider with whom the DHS has a provider agreement.

(AA) License Status placed on hold by the DHS

(i) Unless otherwise instructed, DHS will allow the provider to retain current enrollments and send a notice to the provider that no further enrollments are to take place after the date of the notice putting the license on hold. The DHS retains the right to discontinue the DHS Approved Provider status if the provider's license remains on hold beyond thirty (30) days.

(BB) License suspended and/or Revoked

(i) The provider must cease all operations and all the DHS children are dis-enrolled using the effective date immediately following the decision to place the license on suspension. Notices are sent to the parents and the provider.

(2) Failing to meet the terms and conditions established in the DHS-CCAP Approved Provider Agreement;

(3) A provider engaging in fraudulent or other unlawful acts: in obtaining or seeking to obtain the CCAP approved status; in providing or receiving payment for the CCAP; in utilizing the CCAP automated enrollment system shall, at the discretion of the Department, be ineligible to participate in the program:

(AA) For a period of three (3) months for the first (1st) discontinuance;

(BB) For a period of six (6) months for the second (2nd) discontinuance; and

(CC) Permanently for the third (3rd) discontinuance.

(4) Knowingly providing false information to obtain benefits from any DHS program or any other federally funded program; in not reporting the CCAP income when applying for a Federally funded program; or in committing tax fraud;

(5) Failing to maintain the DHS licensure or otherwise failing to comply with the DHS Regulations or the standards and Regulations established by another Federal or State government entity applicable to the setting in which the child care is provided;

(6) Failing to protect the confidentiality of information related to the CCAP beneficiaries;

(7) Endangering, or failing to ensure, the health or safety of any child in the provider's care;

(8) Failing to report criminal convictions or the imposition of civil penalties.

(AA) An approved provider shall report to the DHS any criminal conviction or civil penalties imposed for such acts on: the provider, an employee of the provider engaged directly in the provision of child care; or, if a family child care, group family child care, or license exempt provider, an adult member of the provider's household.

(BB) Failure to make such reports within ten (10) days from the date the conviction/penalty is imposed shall be grounds for discontinuation of approved status;

(9) Failing to report any changes in their provider status, living arrangements, addition of new household members, or other vital information to the OCC within ten (10) days prior to the change;

(10) Caring for more children than allowed under this Rule or applicable State laws and Regulations;

(11) Caring for a child who lives in the same household as the provider;

(12) Failing to attend the CCAP Approved Provider Introductory Training;

(13) For license exempt providers, failing to complete the Approved CCAP Health amp; Safety Training Modules.

(14) Refusing or failing to cooperate with the DHS personnel conducting audits, reviews, or evaluations related to the proper and efficient operation of the CCAP or compliance with the Rules set forth herein or terms and conditions of the provider agreement;

(15) For license exempt providers, ceasing to provide child care services to the CCAP pending or eligible children for a period of one (1) year; or

(16) Refusing or failing to maintain a QRIS Quality Rating of One (1) Star or higher.

b. The Department reserves the right to offer a CCAP approved provider subject to discontinuation the opportunity to take corrective action prior to the effective date of discontinuation of approved provider status and termination of the provider agreement.

(1) In such cases, the OCC shall send a notice to the approved provider that shall clearly state the type of corrective action required, the date it is to be completed, and the method for evaluating whether the deficiency has been corrected.

(2) Corrective actions shall be permitted in only those cases in which the Department determines that the health, safety and welfare of eligible children and the fundamental purposes of the CCAP will not be jeopardized while the remedy is being implemented.

(3) The DHS reserves the right to adhere to a permanent discontinuation of the CCAP approval for situations when the terms of a DHS corrective action plan have not been met.

4. Approved providers and the families of eligible children shall be notified at the time of application that, as providers and the CCAP beneficiaries, certain personal information may be accessed on the DHS website by Department personnel, approved providers and contracted agents of the DHS.

a. A confidentiality statement shall be signed by both providers and parents, prior to participating in the CCAP, indicating that they are aware of, and understand, the limits on confidentiality associated with the methods the DHS employs to gather and disseminate information through the CCAP automated enrollment system and the purposes for such information, as well as how that information will be accessed and used.

b. The DHS shall utilize the most advanced technological methods available to ensure the confidentiality of information contained in the CPD and through web enrollment pertaining to the CCAP beneficiaries and approved providers.

4.11.5CCAP Payments to Approved Providers

A. To ensure that payment for the CCAP authorized child care expenses is made in the timeliest and most efficient manner possible, the Department has established requirements related to attendance and the payment of allowable child care expenses for the CCAP authorized child care services.

B. Payment shall only be made for the CCAP authorized child care services during periods in which the approved provider is open and available to provide services.

1. To determine the allowable child care expense, certain information related to attendance is required by the DHS, as follows:

a. Billing Invoices and Attendance Reports. An approved provider shall:

(1) Submit accurate billing invoices to the DHS, indicating the days and/or hours of attendance for each eligible child, in the manner and for the time periods prescribed in the DHS-CCAP Approved Provider Agreement; and

(2) Maintain daily attendance records on-site or electronically, signed by the parent, for each eligible child, for a minimum of three (3) years.

C. When a child is enrolled with a licensed provider, the DHS shall make payment for up to two (2) consecutive weeks of the CCAP authorized child care services during which an eligible child is absent and the parent authorizes payment.

1. Documentation of the parent's authorization must be attached to the attendance report for the period in which the absence occurred.

2. No payment shall be made for periods of the CCAP authorized services when the eligible child is not in attendance once the two (2) consecutive weeks limit has been reached, without the approval of the Department.

3. Attendance policies may be adjusted in times of public health emergency, weather events, and/or when funding is available to the DHS for this purpose.

a. Providers must submit attendance for all children, including those who have been absent.

D. Presence of the Provider at the Care Site

1. During periods when eligible children are receiving services, the provider or an approved substitute caregiver must be present at all times.

2. For license exempt providers, the approved substitute caregiver must be listed on the provider's current application for the CCAP Approval.

3. For licensed providers, substitute caregivers must be approved by the DHS. In no case should the approved provider listed on the application be absent for more than three (3) hours in any one (1) week period, without prior approval of the Department.

E. If a provider has other employment, the total hours the provider is permitted to work and maintain CPD status, is fifteen (15) hours in a twenty-four (24) hour period.

1. The fifteen (15) hour work limit applies to all forms of employment combined, including the hours spent providing the CCAP services as well as while working at any other job(s) or traveling to and from other employment.

F. For the CCAP payment to be made, an eligible child enrolled with an approved licensed provider shall attend at least some portion of their CCAP authorized enrollment each week, with the exception of the two (2) consecutive weeks allowed absence described in § 4.12.7(C) of this Part.

1. Further, if a child attends for significantly fewer hours than for the authorized hours for more than two (2) weeks, the provider has the duty to update the child's Parent/Provider agreement and the child's enrollment utilizing the CCAP enrollment website to reflect accurate enrollment.

2. License exempt providers receive the DHS payment only for services rendered. No payment is made to license exempt providers when an eligible child is absent or not receiving care.

4.11.6CCAP Payments

A. When making payment for allowable child care expenses, the DHS Authorized Payment Rate for Providers shall apply. The process for determining the DHS authorized payment rate is as follows:

1. Licensed Approved Providers

a. The DHS authorized payment rate shall be the CCAP Established Schedule of Maximum Weekly Rates.

B. Payment of allowable child care expenses for CCAP authorized services shall be made at the CCAP Established Schedule of Maximum Weekly Rates, in accordance with the requirements of R.I. Gen. Laws § 40-6.2-1.1.

C. Billing Periods

1. An approved provider shall request payment for allowable child care expenses within (60) days of the service date. Exceptions to this time frame will be made only in case of extenuating circumstances and at the sole discretion of the department. in the twelve (12) month period that begins on the date the authorized services were rendered.

2. In no case shall the DHS make payment for any child care services rendered more than sixty (60) days prior to the date the approved provider requests payment.

D. Restrictions and Limitations

1. There shall be no more than one (1) CCAP approved provider eligible to receive payment from the DHS for allowable child care expenses rendered at a specific site or location at any one (1) time.

a. In the case of license exempt child care providers, no more than one (1) person living in the household where the CCAP child care services are provided shall be permitted to obtain or retain active approved status at any one (1) time.

2. Approved providers shall not be paid for child care services rendered to children who live in their households.

4.11.7Periodic Provider Audits

A. DHS reserves the right to conduct periodic audits of provider records and investigations of provider operations relevant to provider approval, rate reporting, billing invoices, attendance records, and accepting payments from CCAP.

1. At the time an audit or investigation is conducted, a designated representative of the Department may review attendance and payment records of all children currently enrolled and receiving child care services and all children enrolled and receiving services during the two (2) years prior to the audit or visit.

4.11.8Quality Rating and Improvement System

A. Authority

1. Rhode Island's Quality Rating and Improvement System (QRIS) is established and administered under the authority of the State and Federal laws, promulgated in accordance with 45 C.F.R. Part 98 and R.I. Gen. Laws §§ 42-12-23 and 42-12-23.1. Participation in the QRIS is required by any child care provider who wishes to be a DHS CCAP Approved Provider.

B. Administration

1. The DHS administers the Quality Rating and Improvement System and partners with public and private agencies that receive funding for the implementation of the QRIS, including collecting and validating information, conducting standardized observations, assigning quality ratings, and providing quality improvement services.

C. Quality Rating and Improvement System Requirements

1. The Quality Rating and Improvement System is designed to set standards of excellence for early care and education programs and school-age child care serving children from birth through age twelve (12), to assess and communicate the level of quality in these programs, to provide a pathway to help programs continually improve, and to serve as a bridge to align all State-level early childhood programs under one (1) common vision of quality.

2. The Quality Rating and Improvement System consists of five (5) Star level ratings that can be earned by licensed early care and education programs and school-age child care programs.

a. The Quality Rating and Improvement System uses the DHS licensing standards as the foundational Star level for community-based programs, Basic Educational Program (BEP) Standards as the foundational Star level for school-based programs, and has four (4) Star ratings above these licensing standards.

3. The Quality Rating and Improvement System Standards each have indicators that must be achieved to earn and maintain a Star rating.

4. The Quality Rating and Improvement System standards are organized as building blocks. In order to reach a higher Star level, programs must meet all of the standards at that level and in all of the lower levels.

4.11.9Participation

A. Eligible Programs

1. All early care and education programs and school age child care programs as licensed under R.I. Gen. Laws § 42-12.5-4et seq. and approved under R.I. Gen. Laws Chapter 16-48 et seq., including without limitation child care centers, family child care homes, group family child care homes, school-age child care programs and preschools, but excluding child placement agencies, are eligible to participate in the Quality Rating and Improvement System.

B. Entry into the Quality Rating and Improvement System is required for all CCAP Approved Providers and must be maintained to continue to qualify as a DHS CCAP Approved Provider.

1. Child care programs/providers complete an application to participate in the Quality Rating and Improvement System (QRIS), indicating their desired Star rating on the application.

2. Once the complete application has been submitted and reviewed, QRIS staff may conduct one (1) or more unannounced site visits prior to awarding a program their initial Star rating.

3. Programs then need to maintain that rating by:

a. Continuing to meet the criteria as set out in the Quality Rating and Improvement System Standards;

b. Completing and submitting a Quality Improvement Plan within three (3) months of receiving their initial Star rating; and

c. Completing and submitting an annual report each year.

218 R.I. Code R. 218-RICR-20-00-4.11

Amended effective 6/19/2019
Amended effective 9/2/2021
Amended effective 2/27/2022
Amended effective 4/1/2022
Amended effective 4/23/2022
Amended effective 7/5/2022
Amended effective 9/15/2022
Amended effective 2/9/2023
Amended effective 4/1/2023
Amended effective 2/24/2024
Amended effective 7/29/2024