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Library: Policy

340:110-1-13. Unlicensed facilities

Revised 07-01-12

(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) Procedure for investigating the operation of an unlicensed facility.  When information is received regarding the operation of an unlicensed facility, staff conducts a full monitoring visit no later than three facility business days to assess the necessity of a license.  • 1 through 10

(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.  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 340:110-1-9.3;

(ii) has submitted a completed application in accordance with OAC 340:110-1-6• 11

(iii) provides all required background information per OAC 340:110-1-8.1; and

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

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

(II) required health and safety training completed; 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 supervisory approval and is documented on Form 07LC080E, Licensing Services Supplemental Information.  When care of children has not ceased, staff proceed per OAC 340:110-1-9.4• 12

(3) When the necessity of a license is not required, licensing staff documents the investigation of unlicensed operation on Form 07LC080E.  • 13

(c) Documentation of Findings.  Following the unlicensed complaint investigation licensing staff proceed with procedures in OAC 340:110-1-9.2(k).  All case staffings and discussions of case actions are documented on Form 07LC080E and maintained in the case file.  


Revised 4-1-17

1. The regional programs manager (RPM) 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 supervisor for the appropriate time frame to visit the facility. Concerns regarding licensing staff's safety are discussed with the supervisor to determine when utilization of a witness and/or law enforcement officials is appropriate.

2When information is received from the individual or program providing unlicensed care, it is documented as a complaint.When this information is received by phone, licensing staff informs the unlicensed program they are not authorized to operate and must cease care.A visit is made to the facility within three-program business days.

3Other complaint allegations are not addressed when the program is not providing care or is exempt from licensing. When exempt care is provided, licensing requests a written statement verifying operating hours. When the program is pursuing a license, all allegations are investigated.

4When applicable, documentation of non-compliance includes, "the program does not have a license as required by law."This is documented in "additional areas of non-compliance" 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 or reduction of star level" as the program is not licensed.

5. When a caregiver is exempt from licensing due to providing relative care, the verification is documented on Form 07LC080E, Licensing Services Supplemental Information, in a statement obtained from the:

(1) caregiver as to the degree of relationship to the child; and

(2) child's parent or guardian as to the degree of relationship to the caregiver.

6.  When the unlicensed program is advertising only and has no children in care, request for license procedures per Oklahoma Administrative Code (OAC) 340:110-1-6 are followed.

7When 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 in assisting licensing staff verify the necessity of a license, the situation is staffed with the RPM.

8. Licensing staff offers technical assistance and consultation to assist the caregiver with meeting licensing requirements.

9. When children are at imminent risk of harm, licensing staff refers to OAC 340:110-1-9.4 for cease care procedures.

10. When conducting a joint unlicensed investigation with Child Welfare Services (CWS) and care is:

(1) exempt from licensure, licensing staff:

(A) completes the licensing investigation;

(B) does not continue investigation coordination with CWS; and

(C) does not have access to or does not request the child welfare report; or

(2) not exempt from licensure, licensing staff:

(A) requests cease care;

(B) completes the licensing investigation;

(C) continues to remain involved with CWS when the program indicates

they plan to request licensure; and

(D) follows up with CWS to obtain Form 04CP004E, Child Welfare Investigative Summary Notification to Child Care Licensing Services, and Form 04K1003E, Report to District Attorney.

11. Form 07LC004E, Request for License Child Care Program, is considered complete when all:

(1) necessary items of information are completed; and

(2) supporting documentation is provided.

12The monitoring frequency plan of unlicensed facilities is 12 until licensing staff verifies child care has ceased. Cases are staffed with a supervisor for appropriate follow-up, as necessary. When care is unlicensed, documentation referencing denial of request for license, revocation of a license, or reduction in star status is not appropriate.

13When 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.

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