Library: Policy

340:110-1-54.1. Unlicensed facilities

Revised 7-1-12

(a) Legal basis and authority.  Pursuant to Section 405 of Title 10 of the Oklahoma Statutes, no child care facility may be operated or maintained in this state, unless licensed or given permission to operate by the Oklahoma Department of Human Services (OKDHS).

(b) Procedures for investigating the operation of an unlicensed residential facility.  When information is received regarding the operation of an unlicensed residential facility, staff conducts a full monitoring visit no later than three facility business days to assess the necessity of license.  • 1 through 7

(1) If care is being provided, staff informs the facility they have not been given permission to operate and they are in violation of the Oklahoma Child Care Facilities Licensing Act (Act).  During the visit the facility is informed on Form 07LC095E, Notice Regarding Unlicensed Care, that:

(A) care must cease by the end of the current business day unless imminent risk indicates the need for the facility to cease care immediately; or

(B) permission to operate may be granted when the facility:

(i) is in compliance with health and safety requirements without serious non-compliances as referenced in OAC 340:110-1-46(a)(1);

(ii) has submitted a completed application in accordance with OAC 340:110-1-45;  • 8

(iii) provides all required background information per OAC 340:110-1-51; and

(iv) has staff present who meet the following licensing requirements:

(I) documented current cardio-pulmonary resuscitation and first aid certification;

(II) completed behavioral intervention training; and

(III) minimum educational qualifications for the position held.

(2) If a facility is not granted permission to operate, a follow-up visit is conducted within one facility business day to verify the termination of care.  The follow-up visit timeframe may be extended up to five days with programs manager approval and is documented on Form 07LC080E, Licensing Services Supplemental Information.  When care of children has not ceased, staff proceed per OAC 340:110-1-52(f).  • 9

(3) When the necessity of a license is not required, licensing staff documents the investigation of unlicensed operation on Form 07LC080E.  • 10

(c) Procedures for investigating the operation of an unlicensed child placing agency.  When information is received regarding the operation of an unlicensed child placing agency, staff makes contact with the agency representative within three agency business days to assess the necessity of license.  • 11 through 13

(1) If child placing activity is being provided, staff informs the agency they have not been given permission to operate and they are in violation of the Oklahoma Child Care Facilities Licensing Act (Act).  Licensing staff document on Form 07LC080E:

(A) child placing activity must cease by the end of the current business day, unless imminent risk indicates the need for the agency to cease operation immediately; or

(B) permission to operate may be granted when the agency:

(i) has submitted a completed application per OAC 340:110-1-45;  • 8

(ii) provides all required background information per OAC 340:110-1-51; and

(iii) has staff who meet minimum educational qualifications for the position held.

(2) If an agency is not granted permission to operate, a follow-up visit is conducted within one agency business day to verify the termination of child placing activity.  The follow-up visit timeframe may be extended up to five days with programs manager approval and is documented on Form 07LC080E.  When child placing activity has not ceased, staff proceed per OAC 340:110-1-52(f).  • 9

(3) When the necessity of a license is not required, licensing staff documents the investigation of an unlicensed operation on Form 07LC080E.

(d) Documentation of Findings.  Following the unlicensed complaint investigation, licensing staff proceed with procedures in OAC 340:110-1-47.1(l).  All case staffings and discussions of case action are documented on Form 07LC080E and maintained in the case file.

(e) Procedures for investigating unlicensed out of state child-placing agencies.

(1) The licensing staff mails to the owner the licensing requirements and a letter that includes information about licensure and a request for a response within 14 days.

(2) If a response is not received within 14 days, several contacts are made or attempted to encourage the owner of an unlicensed facility to comply with the Act.

(3) If the owner fails to apply for licensure as required by the Act, the licensing staff consults with the programs manager and statewide licensing coordinator for appropriate action which could include the issuance of an Emergency Order. 

INSTRUCTIONS TO STAFF 340:110-1-54.1

1. The programs manager is notified of all situations involving a request for voluntary cease care.  When there are serious allegations indicating children could be at risk, the situation is staffed with the programs manager for the appropriate time frame to visit the facility.  Concerns regarding licensing staff's safety are discussed with the programs manager to determine when utilization of a witness and/or law enforcement is appropriate.

2.  Other complaint allegations are not addressed when the program is not providing care or is exempt from licensing.When exempt care is provided, a written statement is requested, verifying operating hours. When the program pursues a license then all allegations are investigated.

3.  When applicable, documentation of non-compliances includes "the program does not have a license as required by law.  "This is documented in the area of "additional areas of non-compliances" section with the added, written notation of "necessity and issuance of a license.  "Documentation does not include the statement "continued non-compliance may result in the revocation of a license," as the program is not licensed.

4. When the unlicensed residential program is only advertising and no children are in care, request for license procedures per Oklahoma Administrative Code (OAC) 340:110-1-45 are followed.

5. When information is received from the person providing unlicensed care, the information is documented as a complaint.  When the information is received by phone, staff informs the unlicensed program they were not given permission to operate and must cease care.  A visit is made to the facility within three program-business days.

6. When there is no response at the unlicensed program, a notice is left requesting the program contact licensing within 24 hours.  When the unlicensed program is uncooperative with licensing staff efforts to verify the necessity of a license, the situation is staffed with the programs manager.

7.  Licensing staff offers technical assistance and consultation to assist the caregiver meet licensing requirements.When children are at imminent risk of harm, licensing staff refers to OAC 340:110-1-52 for cease care procedures.

8. Form 07LC040E, Request for License Child-Placing Agency and Residential Child Care, is complete when:

(1) necessary items of information are complete on the request for license; and

(2) supporting documentation is provided.

9. The monitoring frequency plan of unlicensed programs is 12 until licensing staff verifies the care of children or unlicensed child-placing activity ceased.  Cases are staffed with programs manager for appropriate follow-up.

10. When a complaint allegation is received regarding unlicensed care and care was verified, the complaint is ruled substantiated even when unlicensed care ceased.  However, a complaint is ruled unsubstantiated when care is exempt from licensure.

11. When there are serious allegations indicating children could be at risk, the situation is staffed with the programs manager to determine an appropriate time frame for visiting the child-placing agency.  Concerns regarding the safety of licensing staff are discussed with the programs manager to determine when utilization of a witness and/or law enforcement is appropriate.

12. When it is determined there is no immediate risk to children, licensing staff sends a letter to the child-placing agency.The letter includes licensure information including requirements, and requests a response within 14-calendar days.

13. When a response is not received within 14-calendar days, a visit is made to the child-placing agency to determine if child-placing activity is being conducted.