Section 955.100  Applicability

 

This Part applies to all unlicensed individuals employed or retained by a health care employer as home health care aides, nurse aides, personal care assistants, private duty nurse aides, day training personnel, or an individual working in any similar health-related occupation where he or she provides direct care (e.g., resident attendants, child care/habilitation aides/developmental disabilities aides, and psychiatric rehabilitation services aides) or has access to long-term care residents or the living quarters or financial, medical, or personal records of long-term care residents.  This Part also applies to all unlicensed employees of licensed or certified long-term care facilities who have or may have contact with residents or access to the living quarters or the financial, medical, or personal records of residents.  (Section 10 of the Act)

 

(Source:  Amended at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.110  Definitions

 

The following terms have the meaning ascribed to them whenever the term is used in this Part:

 

"Act" – the Health Care Worker Background Check Act [225 ILCS 46].

 

"Applicant" – an individual enrolling in a training program or seeking employment with a health care employer, whether paid or on a volunteer basis, who has received a bona fide conditional offer of employment from a health care employer.  (Section 15 of the Act)

 

"Conditional offer of employment" – a bona fide offer of employment by a health care employer to an applicant, which is contingent upon the receipt of a report from the Department of Public Health indicating that the applicant does not have a record of conviction of any of the criminal offenses enumerated in Section 25 of the Act and Section 955.160 of this Part.  (Section 15 of the Act)

 

"Contracted or Subcontracted Worker" – an individual who provides direct care for clients, patients, or residents or who works for a long-term care facility in a position that involves or may involve contact with residents or access to the living quarters or financial, medical, or personal records of long-term care residents under an arrangement other than as an employee.

 

"Demographic data" − information collected by a livescan vendor concerning an applicant, including, but not limited to, name, address, date of birth, race, height, and eye color.

 

"Department" – the Department of Public Health. (Section 15 of the Act)

 

"Designee" − a person or committee designated in writing by the Director.

 

"Direct care" – the provision of nursing care or assistance with feeding, dressing, movement, bathing, toileting, or other personal needs, including home services as defined in the Home Health, Home Services, and Home Nursing Agency Licensing Act.  (Section 15 of the Act)

 

"Director" – the Director of Public Health. (Section 15 of the Act)

 

"Disqualifying offenses" – those offenses set forth in Section 25 of the Act and Section 955.160 of this Part. (Section 15 of the Act)

 

"Educational entity" – a community college, community agency, or private business that conducts educational programs in which individuals learn the skills to provide direct care services to clients, residents, or patients.

 

"Employee" – any individual hired, employed, or retained, whether paid or on a volunteer basis, to which the Act and this Part apply as set forth in Section 10 of the Act and Section 955.100 of this Part. (Section 15 of the Act)

 

"Fee applicant inquiry" – a fingerprint-based criminal history records check requested by an agency of the State of Illinois (in this Part, the Department of Public Health) through the Illinois State Police.  The Illinois State Police stores the fingerprints and provides notification back to the requesting State agency if there is a new conviction associated with the fingerprints.

 

"Finding" – the Department's determination of whether an allegation is verified and substantiated. (Section 15 of the Act)

 

"Fingerprint-based criminal history records check" – a livescan fingerprint-based criminal history records check submitted as a fee applicant inquiry in the form and manner prescribed by the Illinois State Police.  (Section 15 of the Act)

 

"Health care employer":

 

the owner or licensee of any of the following:

 

a community living facility, as defined in the Community Living Facilities Licensing Act;

 

a life care facility, as defined in the Life Care Facilities Act;

 

a long-term care facility;

 

a home health agency, home services agency, or home nursing agency, as defined in the Home Health, Home Services, and Home Nursing Agency Licensing Act;

 

a hospice care program or volunteer hospice program, as defined in the Hospice Program Licensing Act;

 

a hospital, as defined in the Hospital Licensing Act;

 

a nurse agency, as defined in the Nurse Agency Licensing Act;

 

a respite care provider, as defined in the Respite Program Act;

 

an establishment licensed under the Assisted Living and Shared Housing Act;

 

a supportive living program, as defined in the Illinois Public Aid Code;

 

early childhood intervention programs as described in 89 Ill. Adm. Code 500;

 

the University of Illinois Hospital, Chicago;

 

programs funded by the Department on Aging through the Community Care Program;

 

programs certified to participate in the Supportive Living Program authorized by Section 5-5.01a of the Illinois Public Aid Code;

 

programs listed by the Emergency Medical Services (EMS) Systems Act as Freestanding Emergency Centers; or

 

locations licensed under the Alternative Health Care Delivery Act;

 

a day training program certified by the Department of Human Services;

 

a community integrated living arrangement operated by a community mental health and developmental service agency, as defined in the Community-Integrated Living Arrangements Licensing and Certification Act;

 

the State Long Term Care Ombudsman Program, including any regional long term care ombudsman programs under Section 4.04 of the Illinois Act on the Aging, only for the purpose of securing background checks (Section 15 of the Act);

 

the Department of Corrections or a third-party vendor employing certified nursing assistants working with the Department of Corrections; or

 

a financial management services entity contracted with the Department of Human Services, Division of Developmental Disabilities, which is not the employer of personal support workers but supports individuals receiving participant directed services, to administer the individuals' employer authority.  A financial management services entity assists participants in completing background check requirements, collecting and processing time sheets for support workers, and processing payroll withholding, filing, and payment for applicable federal, State, and local employment-related taxes and insurance.  (Section 15 of the Act)

 

"Health Care Facility" – a facility owned or operated by a health care employer of the type to which the Act and this Part apply.

 

"Health Care Worker Registry" – a registry maintained by the Department of Public Health or its designee that includes a registry for certified nursing assistants pursuant to Section 3-206.01 of the Nursing Home Care Act, Section 3-206.01 of the MC/DD Act, Section 3-206.01 of the ID/DD Community Care Act, and Section 4-104(19) of the Specialized Mental Health Rehabilitation Act of 2013, and that includes background check and training information for health care employees and students to whom the Act and this Part apply.

 

"Initiate" – obtaining from a student, applicant, or employee his or her social security number, demographics, a disclosure statement, and an authorization for a health care employer, an educational entity, or the Department or its designee to request a fingerprint-based criminal history records check; transmitting this information electronically to the Department or its designee; conducting Internet searches on certain web sites from links provided through the Health Care Worker Registry, and having the student's, applicant's, or employee's fingerprints collected directly by a livescan vendor and transmitted electronically to the Illinois State Police.  (Section 15 of the Act)

 

"Livescan technician" − an individual who is trained to collect fingerprints on livescan equipment and who meets any licensing requirements of the State or federal government.

 

"Livescan vendor" – an entity whose equipment has been certified by the Illinois State Police to collect an individual's demographics and inkless fingerprints and, in a manner prescribed by the Illinois State Police and the Department of Public Health, electronically transmit the fingerprints and required data to the Illinois State Police and a daily file of required data to the Department of Public Health and who has received authorization from the Department under a livescan vendor authorization contract to conduct fingerprinting pursuant to the Act and this Part.  (Section 15 of the Act)

 

"Livescan vendor authorization contract" – a standardized contract between the Department and a fingerprinting vendor who has two or more years of experience transmitting fingerprints electronically to the Illinois State Police by which the Department provides authorization to the vendor to conduct fingerprinting pursuant to the Act and this Part under the terms and conditions defined in Section 955.285.  (Section 15 of the Act)

 

"Long-term care facility" – a facility licensed by the State or certified under federal law as a long-term care facility, including without limitation facilities licensed under the Nursing Home Care Act, the Specialized Mental Health Rehabilitation Act of 2013, the ID/DD Community Care Act, or the MC/DD Act, a supportive living facility, an assisted living establishment, or a shared housing establishment or registered as a board and care home.  (Section 15 of the Act)

 

"Organization providing pro bono legal services" – an organization that functions to provide legal services performed without compensation or at a significantly reduced cost to the recipient and that provides services designed to help individuals overcome statutory barriers that would prevent them from entering positions in the healthcare industry. (Section 33(n) of the Act)

 

"Parole; Mandatory Supervised Release" – except when a term of natural life is imposed, every sentence includes a term in addition to the term of imprisonment.  For those sentenced under the law in effect before February 1, 1978, that term is a parole term.  For those sentenced on or after February 1, 1978, that term is a mandatory supervised release term.

 

"Rehabilitation waiver" – a waiver that the Department grants based solely upon the results of a fingerprint-based criminal history records check without a waiver application being submitted to the Department.

 

"Resident" – a person, individual, client, consumer, or patient under the direct care of a health care employer or who has been provided goods or services by a health care employer. (Section 15 of the Act)

 

"Staffing agency" – any individual or business entity whose profession is job counseling (Section 60 of the Act), or that contracts or subcontracts its workers or services to a health care employer.

 

"UCIA criminal history records check" – a check of criminal history information conducted by the Illinois State Police in accordance with the Illinois Uniform Conviction Information Act (UCIA).

 

"Web application" – a computer program on the Department's intranet that is titled "HCW Background Check Registry" and is accessed by signing in through the Department's secure web portal.  This program is used to initiate fingerprint-based criminal history records checks pursuant to the Act and this Part.

 

"Workforce intermediary" – an organization that functions to provide job training and employment services. Workforce intermediaries include institutions of higher education, faith-based and community organizations, and workforce investment boards. (Section 33(n) of the Act)

 

(Source:  Amended at 48 Ill. Reg. 3367, effective February 20, 2024)

 

Section 955.115  Initiation of Fingerprint-Based Criminal History Records Checks as a Fee Applicant Inquiry

 

Fingerprint-based criminal history records checks shall be initiated by educational entities, staffing agencies, workforce intermediaries, organizations that provide pro bono legal services, and health care employers through the Department's web application used for the Health Care Worker Registry.  The educational entity, staffing agency, workforce intermediary, organization that provides pro bono legal services, or health care employer, or its designee, must log into the Health Care Worker Registry through a secure login.  (Section 33(i) of the Act)

 

a)         Educational entities, staffing agencies, workforce intermediaries, organizations that provide pro bono legal services, and health care employers shall gain access to the secure login by having an employee register for access to the Department's secure web portal.  After the Department has authorized initial access, that employee may authorize other employees or a designee access to the secure web portal.  An educational entity, staffing agency, workforce intermediary, organization that provides pro bono legal services, or health care employer may not be implemented into the process of initiating fingerprint-based criminal history records checks through the Department's web application until the Department has authorized the initial access.

 

b)         When educational entities, staffing agencies, workforce intermediaries, organizations that provide pro bono legal services, or health care employers are required in this Part to transmit information electronically to the Department, the data shall be entered into the Health Care Worker Registry web application.  The information shall be electronically transmitted to the Department when the data record is saved.

 

c)         To better provide support and instruction, the Department will bring a limited number of educational entities and health care employers into the fingerprint process at one time.  The Department will proceed across the State using such indicators as zip codes and county boundaries.

 

(Source:  Amended at 44 Ill. Reg. 18422, effective October 29, 2020)

 

Section 955.120  Incorporated and Referenced Materials

 

a)         The following State of Illinois statutes are referenced in this Part:

 

1)         Community Living Facilities Licensing Act [210 ILCS 35]

 

2)         Life Care Facilities Act [210 ILCS 40]

 

3)         Nursing Home Care Act [210 ILCS 45]

 

4)         Home Health, Home Services, and Home Nursing Agency Licensing Act [210 ILCS 55]

 

5)         Hospice Program Licensing Act [210 ILCS 60]

 

6)         Hospital Licensing Act [210 ILCS 85]

 

7)         Assisted Living and Shared Housing Act [210 ILCS 9]

 

8)         Emergency Medical Services (EMS) Systems Act [210 ILCS 50]

 

9)         Alternative Health Care Delivery Act [210 ILCS 3]

 

10)         Criminal Code of 1961 and Criminal Code of 2012 [720 ILCS 5]

 

11)         Illinois Uniform Conviction Information Act [20 ILCS 2635]

 

12)         Illinois Credit Card and Debit Card Act [720 ILCS 250]

 

13)         Cannabis Control Act [720 ILCS 550]

 

14)         Wrongs to Children Act [720 ILCS 150]

 

15)         Illinois Controlled Substances Act [720 ILCS 570]

 

16)         Nurse Practice Act [225 ILCS 65]

 

17)         Specialized Mental Health Rehabilitation Act of 2013 [210 ILCS 49]

 

18)         MC/DD Act [210 ILCS 46]

 

19)         ID/DD Community Care Act [210 ILCS 47]

 

20)         Adult Protective Services Act [320 ILCS 20]

 

21)         Illinois Act on the Aging [20 ILCS 105]

 

22)         Community-Integrated Living Arrangements Licensing and Certification Act [210 ILCS 135]

 

23)         Nurse Agency Licensing Act [225 ILCS 510]

 

24)         Respite Program Act [320 ILCS 10]

 

25)         Illinois Public Aid Code [305 ILCS 5]

 

26)         Unemployment Insurance Act [820 ILCS 405]

 

27)         Drug Free Workplace Act [30 ILCS 580]

 

28)         Code of Civil Procedure [735 ILCS 5]

 

29)         Health Care Worker Background Check Act [225 ILCS 46]

 

30)         Department of Human Services Act [20 ILCS 1305]

 

b)         The following State regulation is referenced in this Part: Practice and Procedure in Administrative Hearings (77 Ill. Adm. Code 100).

 

c)         The following federal guidelines are incorporated by reference:

 

Electronic Fingerprint Transmission Specification, Federal Bureau of Investigation, May 2, 2005, which may be obtained from the Federal Bureau of Investigation, Criminal Justice Information Services Division, 1000 Custer Hollow Road, Clarksburg, West Virginia 26306.

 

d)         All incorporations of federal guidelines refer to the guidelines on the date specified and do not include any later editions or amendments.

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.130  Exceptions

 

The Act and this Part shall not apply to:

 

a)         An individual who is licensed by the Department of Financial and Professional Regulation or the Department of Public Health under another law of this State;

 

b)         An individual employed or retained by a health care employer for whom a criminal background check is required by another law of this State;

 

c)         A student in a health care field licensed by the Department of Financial and Professional Regulation, including, but not limited to, a student nurse, a physical therapy student, or a respiratory care student, unless he or she is employed by a health care employer in a position with duties involving direct care for clients, patients, or residents or employed by a long-term care facility in a position that involves or may involve contact with residents or access to the living quarters or the financial, medical, or personal records of residents (Section 20 of the Act); or

 

d)         A person who is employed or under contract with a health care provider to provide infrequent or occasional services, such as delivering items to the provider, equipment maintenance, grounds keeping, construction, or other similar services that are not directly related to the care of a resident, client or patient.

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.135  Contracted or Subcontracted Workers

 

a)         Any unlicensed contracted or subcontracted worker shall undergo a fingerprint-based criminal history records check through the processes established in the Act and this Part.

 

b)         A staffing agency may request access to the secure web portal and initiate fingerprint-based criminal history records checks for staff that will be contracted or subcontracted to a health care employer in the same manner and following the same requirements as a health care employer.

 

c)         If a staffing agency is unable to have access to the fingerprint process established through the Act, the health care employer may initiate the fingerprint-based criminal history records check for the staffing agency.  The health care employer may require the staffing agency to reimburse the health care employer for any fingerprint-based criminal history records check expenses incurred.

 

d)         Any person whose profession is job counseling who knowingly counsels any person who has been convicted of committing or attempting to commit any of the offenses enumerated in Section 25 of the Act to apply for a position with duties involving direct contact with a client, patient, or resident of a health care employer or a position with duties that involve or may involve contact with residents or access to the living quarters or the financial, medical, or personal records of residents of a long-term care facility shall be guilty of a Class A misdemeanor unless a waiver is granted pursuant to the Act or this Part.

 

e)         Subsection (d) does not apply to an individual performing official duties in connection with the administration of the State employment service described in Section 1705 of the Unemployment Insurance Act. (Section 60 of the Act)

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.140  Policies Defining Employee Work Positions

 

For purposes of the Act and this Part, the health care employer shall establish a policy defining which unlicensed employees provide direct care.  If a long-term care employer has unlicensed employees who do not have access to long-term care residents or the living quarters or the financial, medical, or personal records of long-term care residents, the long-term care employer shall establish a policy defining those employee positions.  In making these determinations, the health care employer shall consider the following:

 

a)         For direct care employees:

 

1)         The employee's assigned job responsibilities as set forth in the employee's job description;

 

2)         Whether the employee is required to or has the opportunity to be alone with residents, patients, or clients to provide nursing care or to assist with feeding, dressing, movement, bathing, toileting or other personal needs, with the exception of infrequent or unusual occasions; (Section 15 of the Act) and

 

3)         Whether the employee's responsibilities include physical contact with residents, patients, or clients, for example to provide therapy or to draw blood.

 

b)         For employees in long-term care facilities:

 

1)         The employee's assigned job responsibilities as set forth in the employee's job description; and

 

2)         The employee's ingress and egress of the building to get to his or her normal work station.

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.145  Employment Verification

 

a)         Each health care employer or its designee shall provide an employment verification and update the demographic information for each employee no less than annually.  (Section 33(i) of the Act)

 

1)         The health care employer or its designee shall log into the Health Care Worker Registry through a secure login in a method prescribed by the Department.  (Section 33(i) of the Act)

 

2)         The health care employer or its designee shall indicate employment and termination dates (separation dates) within 30 days after hiring or terminating an employee.  (Section 33(i) of the Act)

 

3)         The health care employer shall provide the employment category and type. (Section 33(i) of the Act)

 

b)         Failure to comply with this Section constitutes a licensing violation.  A fine of up to $500 may be imposed upon a health care employer for failure to maintain these records. (Section 33(i) of the Act)

 

c)         The information required in this Section shall be used by the Department of Public Health to notify any current employer of any disqualifying offenses that are reported by the Department of State Police.  (Section 33(i) of the Act)

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.150  Employment Prohibition

 

a)         A health care employer or long-term care facility may hire, employ, or retain, whether on a paid or volunteer basis, any individual in a position involving direct care for clients, patients, or residents, and a long-term care facility may hire, employ, or retain, whether paid or on a volunteer basis, any individual in a position with duties that involve access to the living quarters or the financial, medical, or personal records of clients, patients, or residents, who has been convicted of committing or attempting to commit one or more of the following offenses only with a waiver described in Section 40 of the Act and Section 955.160 of this Part.  (Section 25(a) of the Act)

 

b)         A health care employer shall not hire, employ, or retain, whether paid or on a volunteer basis, any individual in a position with duties involving direct care of clients, patients, or residents, and no long-term care facility shall knowingly hire, employ, or retain, whether paid or on a volunteer basis, any individual in a position with duties that involve or may involve contact with residents or access to the living quarters or financial, medical, or personal records of residents, if the health care employer becomes aware that the individual has been convicted in another state of committing or attempting to commit an offense that has the same or similar elements as an offense listed in Section 25 of the Act and Section 955.160 of this Part as verified by court records, records from a State agency (e.g., Department of Corrections records), or an FBI criminal history record check, unless the applicant or employee obtains a waiver pursuant to Section 40 of the Act and this Part.  This shall not be construed to mean that a health care employer has an obligation to conduct a criminal history records check in other states in which an employee has resided.  (Section 25(b) of the Act)

 

c)         A health care employer shall not hire, employ, or retain, whether paid or on a volunteer basis, any individual in a position with duties involving direct care of clients, patients, or residents who has a finding by the Department of abuse, neglect, misappropriation of property, or theft denoted on the Health Care Worker Registry.  (Section 25(c) of the Act)

 

d)         A health care employer shall not hire, employ, or retain, whether paid or on a volunteer basis, any individual in a position with duties involving direct care of clients, patients, or residents if the individual has a verified and substantiated finding of abuse, neglect, or financial exploitation, as identified within the Adult Protective Service Registry established under Section 7.5 of the Adult Protective Services Act.  (Section 25(d) of the Act)

 

e)         A health care employer shall not hire, employ, or retain, whether paid or on a volunteer basis, any individual in a position with duties involving direct care of clients, patients, or residents who has a finding by the Department of Human Services of physical or sexual abuse, financial exploitation, or egregious neglect of an individual denoted on the Health Care Worker Registry.  (Section 25(e) of the Act)

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.160  Disqualifying Offenses

 

The following offenses, or offenses that are substantially equivalent to the following offenses under the laws of any other state or of the laws of the United States, as verified by court records, records from a state agency, or a Federal Bureau of Investigation criminal history records check, are disqualifying under the Act and this Part.  Offenses are not considered disqualifying until the effective date of the legislation adding the offenses to the Act, regardless of the date an individual is convicted of the offense (see Appendix A through Appendix C). (Section 25 of the Act)

 

a)         Violations under the Criminal Code of 1961 or 2012:

 

1)         Solicitation of murder, solicitation of murder for hire [720 ILCS 5/8-1(b), 8-1.1, and 8-1.2] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 8-1.1 and 8-1.2);

 

2)         First degree murder, intentional homicide of an unborn child, second degree murder, voluntary manslaughter of an unborn child, involuntary manslaughter and reckless homicide, concealment of homicidal death, involuntary manslaughter and reckless homicide of an unborn child, and drug-induced homicide [720 ILCS 5/9-1, 9-1.2, 9-2, 9-2.1, 9-3, 9-3.1, 9-3.2, 9-3.3, and 9-3.4] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 9-1, 9-1.2, 9-2, 9-2.1, 9-3, 9-3.1, 9-3.2, and 9-3.3; Ill. Rev. Stat. 1985, ch. 38, par. 9-1.1; Ill. Rev. Stat. 1961, ch. 38, pars. 3, 236, 358, 360, 361, 362, 363, 364, 364a, 365, 370, 373, 373a, 417, and 474);

 

3)         Kidnapping, aggravated kidnapping, child abduction, and aiding and abetting child abduction [720 ILCS 5/10-1, 10-2, 10-5, and 10-7] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 10-1, 10-2, 10-5, and 10-7; Ill. Rev. Stat. 1985, ch. 38, par. 10-6; Ill. Rev. Stat. 1961, ch. 38, pars. 384 to 386);

 

4)         Unlawful restraint, aggravated unlawful restraint, and forcible detention [720 ILCS 5/10-3, 10-3.1, and 10-4] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 10-3, 10-3.1, and 10-4; Ill. Rev. Stat. 1961, ch. 38, pars. 252, 252.1, and 252.4);

 

5)         Indecent solicitation of a child, sexual exploitation of a child, sexual misconduct with a person with a disability, exploitation of a child, and child pornography, promoting juvenile prostitution, custodial sexual misconduct, presence of a sex offender in a school zone, and presence of a sexual predator or sex offender near a public park [720 ILCS 5/11-6, 11-9.1, 11-9.2, 11-9.3, 11-9.4-1, 11-9.5, 11-14.4(a), 11-19.2, 11-20.1, 11-20.1B, and 11-20.3] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 11-6, 11-19.2, and 11-20.1; Ill. Rev. Stat. 1983, ch. 38, par. 11-20a; Ill. Rev. Stat. 1961, ch. 38, pars. 103 and 104);

 

6)         Assault; aggravated assault; battery; battery of an unborn child; domestic battery; aggravated domestic battery; aggravated battery; heinous battery; aggravated battery with a firearm; aggravated battery with a machine gun or a firearm equipped with any device or attachment designed or used for silencing the report of a firearm; aggravated battery of a child; aggravated battery of an unborn child; aggravated battery of a senior citizen; or drug-induced infliction of great bodily harm [720 ILCS 5/12-1, 12-2, 12-3, 12-3.05, 12-3.1, 12-3.2, 12-3.3, 12-4, 12-4.1, 12-4.2, 12-4.2-5, 12-4.3, 12-4.4, 12-4.6, and 12-4.7] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 12-1, 12-2, 12-3, 12-3.1, 12-3.2, 12-4, 12-4.1, 12-4.2, 12-4.3, 12-4.4, 12-4.6, and 12-4.7; Ill. Rev. Stat. 1985, ch. 38, par. 9-1.1; Ill. Rev. Stat. 1961, ch. 38, pars. 55, 56, and 56a to 60b);

 

7)         Tampering with food, drugs, or cosmetics [720 ILCS 5/12-4.5]; (formerly Ill. Rev. Stat. 1991, ch. 38, par. 12-4.5).

 

8)         Aggravated stalking [720 ILCS 5/12-7.4] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 12-7.4);

 

9)         Home invasion [720 ILCS 5/12-11] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 12-11);

 

10)         Criminal sexual assault; aggravated criminal sexual assault; predatory criminal sexual assault of a child; criminal sexual abuse; aggravated criminal sexual abuse [720 ILCS 5/11-1.20, 11-1.30, 11-1.40, 11-1.50, 11-1.60, 12-13, 12-14, 12-14.1, 12-15, and 12-16] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 11-1, 11-2, 11-3, 11-4, 11-5, 12-13, 12-14, 12-15, and 12-16; Ill. Rev. Stat. 1985, ch. 38, pars. 11-1, 11-4, and 11-4.1; Ill. Rev. Stat. 1961, ch. 38, pars. 109, 141, 142, 490, and 491);

 

11)         Abuse and criminal neglect of a long-term care facility resident [720 ILCS 5/12-4.4a(a) and 12-19] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 12-19);

 

12)         Criminal abuse or neglect of an elderly person or person with a disability [720 ILCS 5/12-4.4a(b) and 12-21] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 12-21);

 

13)         Endangering the life or health of a child; child abandonment [720 ILCS 5/12C-5, 12C-10, 21.5, and 12-21.6] (formerly Ill. Rev. Stat. 1991, ch. 23, par. 2354; Ill. Rev. Stat. 1961, ch. 38, par. 95);

 

14)         Ritual mutilation, ritualized abuse of a child [720 ILCS 5/12-32 and 12-33] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 12-32 and 12-33);

 

15)         Theft; theft of lost or mislaid property; retail theft; identity theft; aggravated identity theft; and credit and debit card fraud [720 ILCS 5/16-1, 16-2, 16-30, 16A-3, 16G-15, 16G-20, 17-32(b), 17-33, 17-34, 17-36, and 17-44] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 16-1, 16-2, and 16A-3; Ill. Rev. Stat. 1961, ch. 38, pars. 62, 207 to 218, 240 to 244, 246, 253, 254.1, 258, 262, 262a, 273, 290, 291, 301a, 354, 387 to 388b, 389, 393 to 400, 404a to 404c, 438, 492 to 496);

 

16)         Financial exploitation of an elderly person or a person with a disability [720 ILCS 5/16-1.3 and 17-56] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 16-1.3);

 

17)         Forgery [720 ILCS 5/17-3] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 17-3; Ill. Rev. Stat. 1961, ch. 38, pars. 151 and 277 to 286);

 

18)         Robbery, armed robbery, aggravated robbery [720 ILCS 5/18-1, 18-2, and 18-5] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 18-1 and 18-2);

 

19)         Vehicular hijacking, aggravated vehicular hijacking [720 ILCS 5/18-3 and 18-4];

 

20)         Burglary, residential burglary, home invasion [720 ILCS 5/19-1, 19-3, and 19-6] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 19-1 and 19-3; Ill. Rev. Stat. 1961, ch. 38, pars. 84 to 86, 88, and 501);

 

21)         Criminal trespass to a residence [720 ILCS 5/19-4] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 19-4);

 

22)         Arson, aggravated arson, residential arson [720 ILCS 5/20-1, 20-1.1, and 20-1.2] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 20-1 and 20-1.1; Ill. Rev. Stat. 1961, ch. 38, pars. 48 to 53 and 236 to 238);

 

23)         Unlawful use of weapons, unlawful use or possession of weapons by felons or persons in the custody of Department of Corrections facilities; aggravated discharge of a firearm; aggravated discharge of a machine gun or a firearm equipped with a device designed or used for silencing the report of a firearm; reckless discharge of a firearm; aggravated unlawful use of a weapon; unlawful discharge of firearm projectiles; unlawful sale or delivery of firearms on the premises of any school; unlawful possession of firearm by street gang member; possession of a stolen firearm [720 ILCS 5/24-1, 24-1.1, 24-1.2, 24-1.2-5, 24-1.5, 24-1.6, 24-3.2, 24-3.3, and 24-3.8] (formerly Ill. Rev. Stat. 1991, ch. 38, pars. 24-1, 24-1.1, 24-1.2, 24-1.2-5, 24-1.5, 24-1.6, 24-1.8, 24-3.2, and 24-3.3; Ill. Rev. Stat. 1961, ch. 38, pars. 152, 152a, 155, 155a to 158b, 414a to 414c, 414e, and 414g);

 

24)         Armed violence [720 ILCS 5/33A-2] (formerly Ill. Rev. Stat. 1991, ch. 38, par. 33A-2);

 

25)         Dismembering a human body [720 ILCS 5/20.5].

 

b)         Violations under the Wrongs to Children Act:

 

1)         Endangering life or health of a child [720 ILCS 150/4] (formerly Ill. Rev. Stat. 1991, ch. 23, par. 2354);

 

2)         Permitting sexual abuse of a child [720 ILCS 5/11-9.1A and 720 ILCS 150/5.1] (formerly Ill. Rev. Stat. 1991, ch. 23, par. 2355.1).

 

c)         Violations under the Illinois Credit Card and Debit Card Act:

 

1)         Receiving a stolen credit or debit card [720 ILCS 250/4] (formerly Ill. Rev. Stat. 1991, ch. 17, par. 5917);

 

2)         Receiving a lost or mislaid card with intent to use, sell, or transfer [720 ILCS 250/5] (formerly Ill. Rev. Stat. 1991, ch. 17, par. 5918);

 

3)         Selling a credit card or debit card, without the consent of the issuer [720 ILCS 250/6] (formerly Ill. Rev. Stat. 1991, ch. 17, par. 5919);

 

4)         Using a credit or debit card with the intent to defraud [720 ILCS 250/8] (formerly Ill. Rev. Stat. 1991, ch. 17, par. 5921);

 

5)         Fraudulent use of electronic transmission [720 ILCS 250/17.02] (formerly Ill. Rev. Stat. 1991, ch. 17, par. 5930.2).

 

d)         Violation of Section 53 of the Criminal Jurisprudence Act:  Cruelty to children [720 ILCS 115/53] (formerly Ill. Rev. Stat. 1991, ch. 23, par. 2368).

 

e)         Violations under the Cannabis Control Act:  Manufacture, delivery, or possession with intent to deliver or manufacture cannabis; cannabis trafficking; delivery of cannabis on school grounds; delivering cannabis to a person under 18; calculated criminal cannabis conspiracy [720 ILCS 550/5(c), (d), (e), (f), (g), 5.1, 5.2, 7, and 9] (formerly Ill. Rev. Stat. 1991, ch. 56½, pars. 705, 705.1, 705.2, 707, and 709).

 

f)         Violations under the Illinois Controlled Substances Act:  manufacture or delivery, or possession with intent to manufacture or deliver, a controlled substance other than methamphetamine, a counterfeit substance, or a controlled substance analog; controlled substance trafficking; manufacture, distribution, advertisement, or possession with intent to manufacture or distribute a look-alike substance; calculated criminal drug conspiracy; criminal drug conspiracy; delivering a controlled, counterfeit or look-alike substance to a person under 18; and engaging or employing a person under 18 to deliver a controlled, counterfeit or look-alike substance [720 ILCS 570/401, 401.1, 404, 405, 405.1, 407, and 407.1] (formerly Ill. Rev. Stat. 1991, ch. 56½, pars. 1401, 1401.1, 1404, 1405, 1405.1, 1407, and 1407.1).

 

g)         Violation under the Nurse Practice Act:  practice of nursing without a license [225 ILCS 65/10-5 and 50-50] (formerly Ill. Rev. Stat. 1991, ch. 111, par. 3506).

 

h)         Violations under the Methamphetamine Control and Community Protection Act [720 ILCS 646].

 

i)                   Violations under the Humane Care for Animals Act: cruel treatment, aggravated cruelty, and animal torture [510 ILCS 70/3.01(a), 3.02, and 3.03].

 

(Source:  Amended at 48 Ill. Reg. 3367, effective February 20, 2024)

 

Section 955.165  Fingerprint-Based Criminal History Records Check

 

a)         Educational entities, other than secondary schools, and health care employers are required to check the Health Care Worker Registry before allowing a student to enter a training program or hiring an employee to determine:

 

1)         Whether a fingerprint-based criminal history records check has previously been conducted, which is indicated by the identifier of "FEE_APP" or "CAAPP".

 

A)        As long as the student, applicant or employee has had a background check and stays active on the Health Care Worker Registry, no further fingerprint-based criminal history record checks are required. (Section 33(g) of the Act)

 

B)        If the individual has disqualifying convictions and a waiver has not been granted pursuant to this Part, the individual is not allowed to work as a direct care giver for a health care employer or as an individual with access to residents, the resident's living quarters, or the resident's financial, medical or personal records in a long-term care setting.

 

2)         Whether the individual is active on the Health Care Worker Registry.

 

A)        If an individual is inactive on the Health Care Worker Registry, that individual is prohibited from being hired to work as a certified nursing assistant if, since the individual's most recent completion of a competency test or the date the individual was deemed competent by the Department of Public Health, there has been a period of 24 consecutive months during which the individual has not provided nursing or nursing-related services for pay. (Section 33(g) of the Act)

 

B)        If the individual can provide proof of having retained his or her certification by not having a 24-consecutive-month break in service for pay, he or she may be hired as a certified nursing assistant and that employment information shall be entered into the Health Care Worker Registry.  (Section 33(g) of the Act)

 

C)        Not retaining his or her certification does not prevent that individual from being hired in a position that does not require the individual to be a certified nursing assistant.

 

b)         If the individual has not had a background check or is not active on the Health Care Worker Registry, then the health care employer shall initiate a fingerprint-based criminal history records check. (Section 33(g) of the Act)

 

c)         Educational entities and health care employers shall conduct Internet searches on certain web sites, including without limitation the Illinois Sex Offender Registry, the Department of Corrections' Sex Offender Search Engine, the Department of Corrections' Inmate Search Engine, the Department of Corrections Wanted Fugitives Search Engine, the National Sex Offender Public Registry, and the website of the Health and Human Services Office of Inspector General to determine if the applicant has been adjudicated a sex offender, has been a prison inmate, or has committed Medicare or Medicaid fraud, or shall conduct similar  searches as provided by the web-based application.  (Section 15 of the Act)

 

d)         Any student, applicant, or employee to whom the Act and this Part apply and who desires to be included on the Department of Public Health's Health Care Worker Registry shall authorize the Department of Public Health or its designee to request a fingerprint-based criminal history records check to determine if the individual has a conviction for a disqualifying offense by completing and signing an authorization and disclosure form.  This authorization shall allow the Department of Public Health to request and receive information and assistance from any State or local governmental agency.  (Section 33(b) of the Act)

 

1)         A health care employer may initiate a fingerprint-based criminal history records check required by the Act or this Part for any of its employees or volunteers to whom the Act and this Part apply, but may not use this process to initiate background checks for residents or for employees or volunteers not covered by the Act and this Part.  The results of any fingerprint-based criminal history records check required by the Act and this Part shall be entered in the Health Care Worker Registry.  (Section 33(f) of the Act)

 

2)         No educational entity or health care employer shall use the processes and procedures provided in the Act or this Part to conduct a fingerprint-based criminal history records check for any purpose not authorized by the Act or this Part.  Nothing in this Section prohibits an educational entity or health care employer from using means other than the processes and procedures provided in the Act or this Part to conduct a criminal history records check of any student, applicant, or employee who is not covered by the Act or this Part.

 

e)         An educational entity, other than a secondary school, conducting a certified nursing assistant training program shall initiate a fingerprint-based criminal history records check required by the Act and this Part prior to entry of an individual into the training program.  (Section 33(c) of the Act)

 

f)         A health care employer who makes a conditional offer of employment to an applicant who is not exempt under Section 955.130, for a position as an employee, shall initiate a fingerprint-based criminal history records check on the applicant, if such a background check has not been previously conducted. A health care employer shall not use the fingerprint-based criminal history records check process provided in the Act and this Part to initiate background checks for applicants for employment positions to which the Act and this Part do not apply. (Section 33(d) of the Act)

 

g)         Workforce intermediaries and organizations providing pro bono legal services may initiate a fingerprint-based criminal history record check if a conditional offer of employment has not been made and a background check has not been previously conducted for an individual who has a disqualifying conviction and is receiving services from a workforce intermediary or an organization providing pro bono legal services. (Section 33(d) of the Act)

 

h)         When initiating a background check, an educational entity, health care employer, staffing agency, workforce intermediary, or organization that provides pro bono legal services shall electronically submit to the Department of Public Health the student's, applicant's, or employee's social security number, demographics, disclosure and authorization information in a format prescribed by the Department of Public Health within 2 working days after the authorization is secured.  (Section 33 (e) of the Act)

 

i)          The student, applicant, or employee shall go to a livescan vendor and have his or her fingerprints collected electronically and transmitted to the Department of State Police within 10 working days after signing the authorization and disclosure form.  Each individual shall submit his or her fingerprints in an electronic manner prescribed by the Department of State Police.  (Section 33(e) of the Act)

 

1)         The student, applicant, or employee shall bring the portion of the livescan request form that is completed by the livescan vendor back to the educational entity or health care employer as proof that his or her fingerprints have been collected.  The educational entity or health care employer shall provide the transaction control number, obtained from this portion of the livescan request form, whenever any follow-up inquiries are made about the progress of the background check being processed.

 

2)         If the fingerprints are rejected by the Department of State Police, the student, applicant, or employee shall go to a livescan vendor and have his or her fingerprints collected electronically a second time.

 

3)         If the fingerprints are rejected by the Department of State Police a second time, the educational entity or health care employer shall conduct a complete name-based UCIA criminal history records check through the Department of State Police and mail a copy of the results of the background check to the Department within 10 working days after receipt.  The UCIA criminal history records check shall be requested as prescribed by the Department of State Police.  The results of the UCIA criminal history records check shall have been issued by the Department of State Police no earlier than 31 days prior to hire.  A UCIA name-based criminal history records check may be used only when there is proof that the individual's fingerprints have been rejected twice by the Department of State Police within the previous 12 months.

 

4)         If the student, applicant, or employee does not go to a livescan vendor and have his or her fingerprints collected electronically within 10 working days, the individual shall be suspended from participating in a training program if a student, or suspended from working if an employee, until such time as proof is provided that the individual has had his or her fingerprints collected electronically from a livescan vendor.

 

5)         If the student, applicant, or employee has not had his or her fingerprints collected electronically by a vendor within 30 days after being hired or beginning a training program, the employee shall be terminated or the student shall be dropped from the training program.   The educational entity or health care employer shall withdraw the background check application from the Health Care Worker Registry.

 

j)          The educational entity, health care employer, staffing agency, workforce intermediary, or organization that provides pro bono legal services shall transmit all necessary information and fees to the livescan vendor and Department of State Police within 10 working days after receipt of the authorization for a criminal history records check.  (Section 33(e) of the Act)

 

1)         Application fees shall include, but are not limited to, the amounts established by the Department of State Police to process fingerprint-based criminal history records checks and the amount charged by the livescan vendor for collecting and transmitting the fingerprints.

 

2)         Health care employers that are certified to participate in the Medicaid program are required to pay for certified nursing assistants' (CNA) application fees.  These fees shall be a direct pass-through on the cost report submitted by the employer to the Medicaid agency.

 

3)         Any student, applicant, or employee who is not a certified nursing assistant may be required to pay all related application and fingerprinting fees. (Section 45 of the Act)

 

k)         The results of the criminal history records checks shall be maintained by the Department of Public Health's Health Care Worker Registry as long as the employee stays active on the Registry.  (Section 33(e) of the Act)

 

l)          A health care employer or long-term care facility may conditionally employ an applicant for up to three months pending the results of a fingerprint-based criminal history records check required by the Act and this Part.  During this time, the employee shall have adequate supervision, which is the type and frequency of supervision required to prevent abuse, neglect, or theft regarding patients, clients, or residents. (Section 33(l) of the Act)

 

m)        The livescan vendors may act as the designee for individuals, educational entities, staffing agencies, workforce intermediaries, organizations that provide pro bono legal services, or health care employers in the collection of Department of State Police fees and deposit those fees into the State Police Services Fund.  (Section 33(b) of the Act)

 

n)         If the individual is not active on the Health Care Worker Registry, then the health care employer shall initiate a fingerprint-based criminal history record check required by the Act and this Part.  (Section 33(g) of the Act)

 

o)         If the Department of State Police notifies the Department of Public Health that an employee has a new conviction of a disqualifying offense, based upon fingerprints that were previously submitted, then:

 

1)         the Health Care Worker Registry shall notify the employee's last known employer of the offense by sending an automatic e-mail to the health care employer;

 

2)         a record of the employee's disqualifying offense shall be entered on the Health Care Worker Registry; and

 

3)         the individual shall no longer be eligible to work as an employee unless he or she obtains a waiver pursuant to this Part.  (Section 33(h) of the Act)

 

p)         The Health Care Worker Registry will indicate only those criminal convictions that are disqualifying under the Act.  Nothing in this Part shall prohibit the health care employer from developing policies concerning employment of individuals whose criminal history records checks indicate convictions for offenses that are not disqualifying.

 

(Source:  Amended at 44 Ill. Reg. 18422, effective October 29, 2020)

 

Section 955.170  Non-Fingerprint-Based UCIA Criminal History Records Check (Repealed)

 

(Source:  Repealed at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.180  Criminal History Records Checks after Implementation

 

a)         A fingerprint-based criminal history records check is not required for health care employees who have been continuously employed by a health care employer prior to the implementation of the fingerprint-based criminal history records check as a fee applicant inquiry pursuant to Section 955.115 of this Part, have met the requirements for criminal history background checks prior to the implementation, and have no convictions that were disqualifying at the time that the background check was initiated, or have requested and received a waiver of those disqualifying convictions pursuant to this Part.  These employees shall be retained on the Health Care Worker Registry as long as they remain active.  Nothing in the Act or this Part shall be construed to prohibit a health care employer from initiating a new criminal history records check for these employees.  Should these employees seek a new position with a different health care employer, then a fingerprint-based criminal history records check shall be required and all of the convictions listed in Section 25 of the Act and Section 955.160 of this Part shall be considered disqualifying.  (Section 33(a) of the Act)   

 

b)         For any employee employed after October 1, 2007, a criminal history records check shall be initiated in accordance with Section 33 of the Act and Sections 955.115 and 955.165 of this Part.

 

c)         If a background check is initiated in accordance with subsection (a), a health care employer is not required to retain and, unless a waiver is obtained pursuant to this Part, shall not retain an individual in a position with duties involving direct care for clients, patients, or residents, and no long-term care facility is required to retain and, unless a waiver is obtained pursuant to this Part, shall not retain an individual in a position with duties that involve or may involve contact with residents or access to the living quarters or the financial, medical, or personal records of residents, who has been convicted of committing or attempting to commit one or more of the offenses listed in Section 955.160 of this Part.  (Section 25(a-1) of the Act)

 

(Source:  Amended at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.190  Notification to Student, Applicant, or Employee

 

a)         The student, applicant, or employee shall be notified of each of the following whenever a fingerprint-based criminal history records check is requested pursuant to the Act and this Part:

 

1)         That the educational entity, staffing agency, workforce intermediary, organization that provides pro bono legal services, or health care employer shall initiate a fingerprint-based criminal history records check of the student, applicant, or employee required by the Act and this Part.  (Section 33(k) of the Act)  

 

2)         That a health care employer may initiate a fingerprint-based background check required by the Act and this Part for any of its employees.   The results of any fingerprint-based background check that is initiated pursuant to the Act and this Part shall be entered in the Health Care Worker Registry.  (Section 33(f) of the Act)

 

3)         That the student, applicant, or employee has a right to obtain a copy of the criminal records report that indicates a conviction for a disqualifying offense and challenge the accuracy and completeness of the report through an established Department of State Police procedure for Access and Review, and request a waiver in accordance with this Part.  (Section 33(k) of the Act)

 

4)         That the applicant, if hired conditionally, may be terminated if the criminal records report indicates that the applicant has a record of conviction of any of the criminal offenses enumerated in Section 955.160, unless a waiver is obtained pursuant to this Part.  (Section 33(k) of the Act)

 

5)         That the applicant, if not hired conditionally, shall not be hired if the  criminal records report indicates that the applicant has a record of conviction of any of the criminal offenses enumerated in Section 955.160, unless a waiver is obtained pursuant to this Part.  (Section 33(k) of the Act)

 

6)         That the employee shall be terminated if the criminal records report indicates that the employee has a record of conviction of any of the criminal offenses enumerated in Section 955.160, unless a waiver is obtained pursuant to this Part.  (Section 33(k) of the Act)

 

7)         That if, after the employee has originally been determined not to have disqualifying offenses, the employer is notified that the employee has a new conviction or convictions of any of the criminal offenses in Section 25 of the Act and Section 955.160 of this Part, then the employee shall be terminated.  The employee may seek to obtain a waiver pursuant to this Part.  (Section 33(k)(6) of the Act)

 

b)         The Department of Public Health or an entity responsible for inspecting, licensing, certifying, or registering the health care employer or long-term care facility shall be immune from liability for notices given based on the results of a fingerprint-based criminal history record check.  (Section 33(m) of the Act)

 

(Source:  Amended at 44 Ill. Reg. 18422, effective October 29, 2020)

 

Section 955.200  Submission of Criminal History Records Check Results to Nurse Aide Registry (Repealed)

 

(Source:  Repealed at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.210  Offer of Permanent Employment

 

a)         A health care employer is not obligated to employ or offer permanent employment to an applicant, or to retain an employee who is granted a waiver.  (Section 40(f) of the Act)

 

b)         The health care employer shall develop policies concerning employment of individuals who have been granted waivers.

 

Section 955.220  Health Care Employer Files

 

a)         The health care employer shall retain on file for a period of 5 years records of criminal records requests for all employees.  The health care employer shall retain a copy of the disclosure and authorization forms, a copy of the livescan request form, all notifications resulting from the fingerprint-based criminal history records check and waiver, if appropriate, for the duration of the individual's employment.  The files shall be subject to inspection by the Department.  A fine of $500 shall be imposed for failure to maintain these records.  (Section 50 of the Act)

 

b)         If the Health Care Worker Registry indicates that the employee had no disqualifying criminal offenses or administrative findings at the time of hire, then the health care employer shall retain a screen print of this information in the employee's file.  If the individual was not on the Health Care Worker Registry prior to being hired, then a screen print indicating that the worker was not found shall be retained in the employee's file.

 

c)         The health care employer shall retain a screen print of the background check initiation page, which documents that the employer did conduct an internet search of the web sites from the links provided through the Health Care Worker Registry and found no results from those web sites that would prevent the employee from being hired.  No additional screen prints from those web sites shall be required in the employee's file.

 

d)         The health care employer shall maintain a copy of the documents required in this Section in the employee's personnel file or other secure location accessible to the Department.

 

(Source:  Amended at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.230  Invalid Non-Fingerprint-Based Records Check (Repealed)

 

(Source:  Repealed at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.240  Fingerprint-Based UCIA Criminal History Records Check (Repealed)

 

(Source:  Repealed at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.250  Additional Conviction (Repealed)

 

(Source:  Repealed at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.260  Application for Waiver

 

a)         Any student, applicant, individual receiving services from a workforce intermediary or organization providing pro bono legal services, or employee listed on the Health Care Worker Registry may request a waiver of the prohibition against employment by:

 

1)         Completing a waiver application on a form prescribed by the Department of Public Health:

 

A)        If the individual has previously been employed, the individual shall provide a work history or attach a resumé covering the most recent five-year period;

 

B)        If the individual has been convicted in another state, the individual shall provide information concerning those convictions or attach the complete results of a criminal history records check from the other state; and

 

C)        If the individual has a federal conviction, the individual shall provide information concerning that conviction or attach the complete results of a criminal history records check from the Federal Bureau of Investigation.

 

2)         Providing a written explanation of each conviction, to include:

 

A)        what happened;

 

B)        how many years have passed since the offense;

 

C)        the individuals involved;

 

D)        the age of the individual at the time of the offense; and

 

E)        any other circumstances surrounding the offense (Section 40(a) of the Act);

 

3)         Providing proof of completion of a rehabilitation program, if the use of alcohol or other drugs was involved in the offense, and the individual was ordered to participate in a rehabilitation program as part of the judgment;

 

4)         Providing official documentation showing that all fines have been paid, if applicable, except in the instance of payment of court-imposed fines or restitutions in which the individual is adhering to a payment schedule, and the date probation (or mandatory supervised release) or parole was satisfactorily completed, if applicable (Section 40(a) of the Act); and

 

5)         Submitting the results of a fingerprint-based criminal history records check.

 

b)         The individual may, but is not required to, submit employment and character references and any other evidence demonstrating the ability of the individual or employee to perform the employment responsibilities competently and evidence that the individual does not pose a threat to the health or safety of residents, patients, or clients.  (Section 40(b) of the Act)

 

c)         A request for a waiver will automatically be denied unless the individual has met the time periods in Section 955.270(d).

 

d)         Each request for waiver consideration shall be accompanied by a fully completed waiver application.  The waiver application will not be deemed complete until the Department has received all of the information required by this Section.

 

(Source:  Amended at 46 Ill. Reg. 6104, effective April 4, 2022)

 

Section 955.270  Department Review of Waiver Application

 

a)         The Department will consider an application for a waiver from individuals who have been convicted of committing or attempting to commit one or more of the offenses listed in Appendix C upon receipt of a complete application and the results of a fingerprint-based criminal history records check in accordance with Sections 955.115 and 955.165.

 

b)         An application for a waiver shall be denied unless the individual meets the following requirements and submits documentation thereof with the waiver application:

 

1)         Except in the instance of payment of court-imposed fines or restitutions in which the individual is adhering to a payment schedule, the individual shall have met all obligations to the court and under terms of parole (i.e., probation or mandatory supervised release has been successfully completed); and

 

2)         The individual shall have satisfactorily completed a drug and/or alcohol recovery program, if drugs and/or alcohol were involved in the offense and the individual was ordered to participate in a rehabilitation program as part of the judgment.

 

c)         The Department may grant a waiver based on the following information provided by the individual and the results of the fingerprint-based criminal history records check:

 

1)         The age of the individual at the time of the offense;

 

2)         A written explanation of each conviction to include what happened, how many years have passed since the offense, the individuals involved, and any other circumstances surrounding the offense (Section 40(a) of the Act);

 

3)         The individual's work history;

 

4)         The individual's criminal history since the disqualifying conviction, to include the results of the Illinois criminal history records report, convictions in other states, and federal convictions;

 

5)         The individual's record on another state's registry for certified nursing assistants, if the individual was certified as a nursing assistant in another state;

 

6)         The individual's completion of rehabilitation if ordered as part of the judgment to participate in a rehabilitation program;

 

7)         Official documentation showing that all fines have been paid, if applicable; if on a court-imposed payment schedule for fines or restitution, whether the individual is adhering to a payment schedule; the date probation or mandatory supervised release or parole was satisfactorily completed, if applicable; and whether all terms of parole (i.e., conditional discharge, probation or mandatory supervised release) have been successfully completed (Section 40(a) of the Act);

 

8)         Employment and character references, if the individual submits references; and

 

9)         Any other evidence demonstrating the ability of the individual to perform the employment responsibilities competently and evidence that the individual does not pose a threat to the health or safety of residents, patients, or clients, if submitted by the individual, which may include, but is not limited to, the individual's participation in anger management or domestic violence prevention programs.  (Section 40(b) of the Act)

 

d)         Waivers will not be granted to individuals who have not met the following time frames. 

 

1)         Single disqualifying misdemeanor conviction – no earlier than one year after the conviction date;

 

2)         Two to three disqualifying misdemeanor convictions – no earlier than three years after the most recent conviction date;

 

3)         More than three disqualifying misdemeanor convictions – no earlier than five years after the most recent conviction date;

 

4)         Single disqualifying felony convictions – no earlier than three years after the conviction date;

 

5)         Two to three disqualifying felony convictions – no earlier than five years after the most recent conviction date;

 

6)         More than three disqualifying felony convictions – no earlier than 10 years after the most recent conviction date.

 

e)         Waivers will not be granted to individuals who have been convicted of committing or attempting to commit one or more of the offenses listed in Appendix A.

 

f)          The Department will inform health care employers if a waiver is being sought by entering a record notation on the Health Care Worker Registry that a waiver is pending and must act upon the waiver request within 30 days after receipt of all necessary information pursuant to Section 955.260.  If a waiver is granted, denied, or revoked, that information will be entered on the Health Care Worker Registry.  The Department will send an individual written notification of its decision whether to grant a waiver, including listing the specific disqualifying offenses for which the waiver is being granted or denied.  The Department shall issue additional copies of this written notification upon the individual's request.  (Section 40(c) of the Act)

 

g)         Appeal Process for Convictions Listed in Appendix A:

 

1)         An appeal process is available for individuals who have been denied a waiver because of a conviction for committing or attempting to commit one or more offenses listed in Appendix A.  All of the following must be provided for an appeal to be considered:

 

A)        A letter appealing the denial of the waiver, in which the individual states his or her reasons for requesting the appeal;

 

B)        The original waiver application that was completed pursuant to Section 955.260 and any additional information provided when the waiver was denied;

 

C)        A copy of the police report generated at the time of arrest for all disqualifying convictions listed in Section 955.160; and

 

D)        A transcript of the trial or court proceedings for all disqualifying convictions listed in Section 955.160.

 

2)         An appeal will be denied unless the individual meets the following requirements and submits documentation with the appeal:

 

A)        Except in the instance of payment of court-imposed fines or restitutions in which the individual is adhering to a payment schedule, the individual shall have met all obligations to the court and under terms of parole (i.e., probation or mandatory supervised release has been successfully completed) 10 or more years prior to the submission of the appeal;

 

B)        The individual shall have satisfactorily completed a drug and/or alcohol recovery program 10 or more years prior to the submission of the appeal, if drugs and/or alcohol were involved in the disqualifying offense and the individual was ordered to participate in a rehabilitation program as part of the judgment.  The individual shall not have been ordered to participate in another drug and/or alcohol program during the 10 years prior to the submission of the appeal for any offense.

 

3)         The Director or designee will consider the information submitted with the appeal application and the results of a fingerprint-based criminal history records check to determine whether to grant a waiver as a result of an appeal.  If the Director or designee determines that the individual does not pose a threat to the health or safety of residents, patients, or clients, the Director will issue a waiver.

 

h)        Waiver Revocation

 

1)         The Department will automatically revoke a waiver if the waiver recipient is convicted of any additional disqualifying offense.

 

2)         The Department will automatically revoke a waiver granted for a conviction of an offense listed in Appendix A if the waiver recipient is convicted of any additional crimes, other than a minor traffic violation, regardless of whether the offense is disqualifying.

 

i)          The entity responsible for inspecting, licensing, certifying, or registering the health care employer and the Department of Public Health shall be immune from liability for any waivers granted or not granted under this Section.  (Section 40(e) of the Act)

 

(Source:  Amended at 44 Ill. Reg. 18422, effective October 29, 2020)

 

Section 955.275  Rehabilitation Waiver

 

a)         The Department may consider the results of a fingerprint-based criminal history records check for a rehabilitation waiver, if sufficient time has passed since the last disqualifying conviction.  A rehabilitation waiver may be granted without a waiver application being submitted by the individual.

 

b)         For an individual to be considered for a rehabilitation waiver, the Department must have received from him or her a criminal history records check that meets the requirements of Sections 955.115 and 955.165 of this Part.

 

c)         A waiver without a waiver application shall not be granted unless the individual has met the following time frames:

 

1)         Single disqualifying misdemeanor conviction – five years after conviction date;

 

2)         Two disqualifying misdemeanor convictions – seven years after conviction date;

 

3)         Three or more disqualifying misdemeanor convictions – nine years after conviction date;

 

4)         Single disqualifying felony conviction – seven years after conviction date;

 

5)         Two disqualifying felony convictions – nine years after conviction date; and

 

6)         Three or more felony convictions shall not be considered for a rehabilitation waiver.

 

d)         A waiver without a waiver application may be granted to an individual who has been convicted of committing or attempting to commit one or more of the offenses listed in Appendix B, if the time frames listed in subsection (c) have been met.

 

e)         Upon receipt of the results of a criminal history records check that meets the requirements set forth in Sections 955.115 and 955.165, the Department will review the convictions reported to determine whether the convictions are disqualifying in accordance with Section 25 of the Act and Section 955.160 of this Part and whether the circumstances of the convictions meet the criteria set forth in this Section.  The Department will grant a rehabilitation waiver to the individual if:  the criteria of this Section are met and no additional information is needed to verify completion of parole (i.e., probation or mandatory supervised release) or payment of fines or restitutions; the Health Care Worker Registry does not show any administrative findings of abuse, neglect or misappropriation of property; and the individual has no other disqualifying convictions. 

 

f)         In cases in which a rehabilitation waiver is granted, a letter will be sent to the individual notifying the individual that he or she has received a rehabilitation waiver.  The waiver will be recorded in the Health Care Worker Registry.  If a rehabilitation waiver is not granted, the individual may apply for a waiver by submitting a completed waiver application pursuant to Section 955.260.

 

(Source:  Amended at 44 Ill. Reg. 18422, effective October 29, 2020)

 

Section 955.280  Employment Pending Waiver

 

An individual shall not be employed in direct care or employed in a long-term care facility in a position that involves or may involve contact with the residents or access to the resident's living quarters or the financial, medical or personal records of the residents from the time that the employer receives a notification from the Department of Public Health based upon the results of a fingerprint-based criminal history records check containing disqualifying conditions until the time that the individual receives a waiver from the Department.  (Section 40(d) of the Act)

 

(Source:  Amended at 33 Ill. Reg. 5378, effective March 26, 2009)

 

Section 955.285  Livescan Vendor Authorization

 

a)         Any livescan vendor authorized to provide livescan non-criminal fingerprinting services pursuant to a standardized livescan vendor authorization contract issued by the Department shall determine a fee for collecting fingerprints and shall determine an area of the State in which to provide service.

 

b)         Any livescan vendor that has two or more years of experience transmitting fingerprints electronically to the Illinois State Police (ISP) and that meets the requirements of the Department's standardized livescan vendor authorization contract may individually enter into a livescan vendor authorization contract with the Department. A livescan vendor authorized to provide livescan non-criminal fingerprinting services pursuant to a standardized livescan vendor authorization contract shall meet the following requirements, which shall be included in the terms and conditions of the standardized livescan vendor authorization contract.  Equipment failure or lack of availability do not excuse a livescan vendor from compliance with these requirements:

 

1)         The livescan vendor shall use only equipment that has been certified by ISP to collect inkless fingerprints and software that is up to date and meets the requirements of ISP for the electronic submission of fingerprints. (Section 15 of the Act)

 

A)        The livescan vendor shall maintain backup equipment to provide scheduled fingerprinting in case of livescan equipment failure.

 

B)        If a livescan vendor agrees to provide service to an individual, the livescan vendor shall collect the individual's fingerprints within 10 days after agreeing to provide service.

 

2)         For any individual to whom the livescan vendor agrees to provide service, the livescan vendor shall provide fingerprinting within 10 working days after a request. Fingerprinting shall be performed at a location within the county of the individual's residence for counties with a population more than 100,000 and for small counties either within the county of the individual's residence or within 35 miles of the facility providing the Livescan Request Form. For any facility to which the livescan vendor agrees to provide service, the vendor will make available special on-site fingerprinting sessions for groups of 20 or more. The livescan vendor shall provide a reasonable amount of weekend and after 5:00 p.m. hours.

 

3)         The livescan vendor shall electronically transmit the fingerprints and required data to ISP through a secure network within one business day after the fingerprints are collected.  The fingerprint image and demographic data shall comply with all Electronic Fingerprint Submission Specifications (EFSS) of ISP and all Electronic Fingerprint Transmission Specifications standards of the Federal Bureau of Investigation. (Section 15 of the Act)

 

4)         The livescan vendor shall collect demographic data from the individual and electronically transmit a daily file of required data to the Department in a manner prescribed by the Department within one business day after the fingerprints are collected. (Section 15 of the Act) All data records from one business day shall be transmitted in one data file to the Department in the prescribed format.

 

A)        The daily file shall contain demographic data, including, but not limited to, name, address, social security number, transaction control number (TCN), state and city.

 

B)        The livescan vendor shall provide the Department with access to the electronic file transmitted to ISP.

 

C)        The livescan vendor shall be responsible for all costs of fingerprint collection equipment, processing, transmission, and data storage. The Department is under no obligation to change any of its processes to coordinate with the vendor's equipment.  The livescan vendor shall conform to the Department's requirements for receiving data.

 

5)         The livescan vendor shall archive (store, back up, retrieve, etc.) the fingerprints transmitted to ISP and the daily files transmitted to the Department in a secure manner for the contract period so that the Department, an individual, educational entity, staffing agency, workforce intermediary, organization that provides pro bono legal services, or health care employer can verify at a later date that a specific print or daily file was submitted or can resubmit the print or daily file. If requested by the Department, the livescan vendor shall provide the stored data to the Department in the format requested by the Department upon expiration or termination of the contract.

 

6)         The livescan vendor shall respond to any follow-up inquiries and provide any reports required by the Department.

 

7)         The livescan vendor shall effectively demonstrate, through a verification provided by ISP, that the livescan vendor's business entity has 2 or more years of successful experience transmitting fingerprints electronically to ISP.  (Section 15 of the Act)

 

8)         Only livescan technicians who have had a fingerprint-based criminal history records check and no disqualifying convictions as listed in Section 25 of the Act and Section 955.160 of this Part shall collect fingerprints and transmit the data files electronically to ISP. 

 

9)         The livescan vendor shall provide a means for users (i.e., individuals, educational entities, staffing agencies, workforce intermediaries, organizations that provide pro bono legal services, or health care employers) to pay the livescan vendor the amount due to ISP for livescan fingerprints submitted for criminal history records checks. 

 

A)        The livescan vendor shall act as designee for the user in paying fees into the State Police Services Fund.  The livescan vendor shall maintain or provide a means of prepayment.  Charges for the vendor's livescan services and the amount due to ISP shall be charged against this prepaid account.  The livescan vendor shall provide either an on-line or a paper record of account transactions to a user at least monthly.  The livescan vendor shall determine the amount of prepaid balance to be kept in the account by the user, based upon the frequency of the user's charges against the account.  

 

B)        The livescan vendor may charge an additional amount to compensate for maintaining the accounts.  The livescan vendor may refrain from transmitting any prints to ISP if the user's account does not have funds to pay for the prints being submitted.  The livescan vendor shall notify ISP, the Department, and the user when a fingerprint transmission is retained because of lack of funds in the user's account.

 

C)        The livescan vendor may deny a prepaid account to any user that is unable to maintain the account with fewer than 60 days past due until the user pays the balance due in the account.  If the user becomes more than 60 days past due on a second occasion, the livescan vendor is not required to offer the service of providing a prepaid account to the user.

 

D)        The livescan vendor shall promptly transmit funds due to ISP.

 

E)        All costs associated with the fingerprint-based criminal history records check, including fees charged by ISP, shall be paid by the user.

 

10)        The livescan vendor shall require the individual to present current, valid government-issued photo identification or other valid identification.  The livescan vendor shall screen all individuals at the time of fingerprinting to ensure that the individual is being fingerprinted for the purpose intended.  Only individuals presenting a Livescan Request Form generated from the Health Care Worker Registry's web application shall be allowed to be fingerprinted under the process of initiating fingerprint-based criminal history records checks required by the Act and this Part. The livescan vendor shall complete the bottom portion of the Livescan Request Form and return it to the individual to confirm that the individual was successfully fingerprinted.  The livescan vendor may charge an amount in addition to the rate of the livescan services to compensate for credit card fees.

 

11)        Fingerprints shall be collected directly from the individual's hand, consisting of 10 rolled impressions and 10 slap impressions in a format consistent with the requirements of ISP for submission. The livescan vendor shall collect only livescan fingerprints, not card scan fingerprints.

 

12)        If an individual's fingerprints are rejected by ISP, the livescan vendor shall collect a second set of fingerprints.  The livescan vendor shall not charge for collecting the second set of fingerprints.

 

13)        If a livescan vendor has a rejection rate from ISP of 2% or greater during any 12-month period, the Department may terminate the vendor authorization contract. The rejection rate shall be calculated by dividing the number of fingerprints submitted electronically to ISP that were of such poor quality that the fingerprints could not be processed by the total number of fingerprints submitted by the livescan vendor electronically to ISP. Upon termination of the vendor authorization contract, the livescan vendor shall not continue to collect fingerprints required by the Act and this Part.

 

14)         If a livescan vendor has a rejection rate from the Department of 5% or greater during any 12-month period, the Department may terminate the vendor authorization contract. Upon termination of the vendor authorization contract, the livescan vendor shall not continue to collect fingerprints required by the Act and this Part.

 

15)         The livescan vendor shall provide a single point of contact for users to schedule fingerprinting (such as a toll free number, website, etc.).

 

(Source:  Amended at 48 Ill. Reg. 3367, effective February 20, 2024)

 

Section 955.290  Recovery of Back Pay

 

a)         A health care employer shall not be liable for the failure to hire or to retain an applicant or health care employee who has been convicted of committing or attempting to commit one or more of the offenses enumerated in the Act or this Part. (Section 55 of the Act)

 

b)         If a health care worker is suspended from employment based on the results of a criminal background check conducted under the Act and this Part and the results prompting the suspension are subsequently found to be inaccurate, the health care worker is entitled to recover back pay from his or her health care employer for the suspension period provided that the employer is the cause of the inaccuracy.  (Section 55 of the Act)

 

c)         No health care employer shall be chargeable for any benefit charges that result from the payment of unemployment benefits to any claimant when the claimant's separation from that employer occurred because the claimant's criminal background included an offense enumerated in the Act or this Part, or the claimant's separation from that health care employer occurred as a result of the claimant violating a policy that the employer was required to maintain pursuant to the Drug Free Workplace Act.  (Section 55 of the Act)

 

d)         The Department of Public Health is not liable for any hiring decisions, suspensions, or terminations.  (Section 55 of the Act)

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.300  Health Care Worker Registry

 

a)         The Department will establish and maintain a Health Care Worker Registry of unlicensed individuals and employees who:

 

1)         Are employed or retained by a health care employer as home health care aides, nurse aides, certified nursing assistants, personal care assistants, private duty nurse aides, day training personnel, or an individual working in any similar health-related occupation where he or she provides direct care (e.g., resident attendants, child care/habilitation aides/developmental disabilities aides, and psychiatric rehabilitation services aides), or in positions where they have access to long-term care residents or the living quarters or financial, medical, or personal records of long-term care residents; (Section 10 of the Act) 

 

2)         Have satisfactorily completed the training required by Section 3-206 of the Nursing Home Care Act, Section 3-206 of the MC/DD Act, or Section 3-206 of the ID/DD Community Care Act; (Section 26 of the Act) or 

 

3)         Have begun a current course of training as set forth in Section 3-206 of the Nursing Home Care Act, Section 3-206 of the MC/DD Act, or Section 3-206 of the ID/DD Community Care Act. (Section 26 of the Act)

 

b)         Any individual or employee placed on the Health Care Worker Registry is required to inform the Department of any change of address within 30 days after the effective date of the change of address. (Section 26 of the Act)

 

c)         The Health Care Worker Registry will include the information contained in the registries established under Section 3-206.01 of the Nursing Home Care Act, Section 3-206.01 of the MC/DD Act, and Section 3-206.01 of the ID/DD Community Care Act. (Section 26 of the Act)

 

d)         The Health Care Worker Registry will document criminal history records check results pursuant to the requirements of the Act and this Part. (Section 28(c) of the Act)

 

e)         The Health Care Worker Registry maintained by the Department exclusive to health care employers, staffing agencies, workforce intermediaries, organizations that provide pro bono legal services, and educational entities will clearly indicate whether an individual is eligible for employment and will include the following:

 

1)         The individual's name;

 

2)         His or her current address;

 

3)         Social Security number or federal taxpayer identification number;

 

4)         The date and location of the training course completed by the individual; (Section 26 of the Act)

 

5)         Information identifying where an individual received his or her clinical training; (Section 3-206(a)(5) of the Nursing Home Care Act)

 

6)         Whether the individual has any of the disqualifying convictions listed in Section 25 of the Health Care Worker Background Check Act from the date of the training course completed by the individual;

 

7)         The date of the individual's last criminal records check; (Section 26 of the Act)

 

8)         Whether the individual has any findings as reported by the Inspector General of the Department of Human Services, under subsection (s) of Section 1-17 of the Department of Human Services Act; (Section 27(g) of the Act)

 

9)         Whether the individual has a waiver pending under Section 40 of the Health Care Worker Background Check Act (Section 3-206.01(a-5)(1) of the Nursing Home Care Act), and the following language:

 

"A waiver granted by the Department of Public Health is a determination that the individual is eligible to work in a health care facility. The Equal Employment Opportunity Commission provides guidance about federal law regarding hiring of individuals with criminal records." (Section 3-206.01(a-5)(2) of the Nursing Home Care Act); and

 

10)        A link to Equal Employment Opportunity Commission guidance regarding hiring of individuals with criminal records. (Section 3-206.01(a-5)(3) of the Nursing Home Care Act)

 

f)         The publicly accessible version of the Health Care Worker Registry will:

 

1)         Report that an individual is ineligible to work, if he or she has a disqualifying offense under Section 25 of the Health Care Worker Background Check Act and has not received a waiver under Section 40 of the Act;

 

2)         Report that an individual is eligible to work, if the individual has received a waiver for one or more disqualifying offenses under Section 40 of the Act and he or she is otherwise eligible to work. The publicly accessible Health Care Worker Registry shall not report information regarding the granting or denial of a waiver; (Section 3-206.01(a-10) of the Nursing Home Care Act)

 

3)         Include findings as reported by the Department that an employee, or former employee, has been guilty of abuse or neglect of a resident or misappropriation of resident property or whether the Department has made any other applicable finding as set forth in this Part, including the employee's, or former employee's, statement relating to the finding or a clear and accurate summary of the statement; (Section 27(f) of the Act) and

 

4)         Include findings as reported by the Inspector General of the Department of Human Services, under subsection (s) of Section 1-17 of the Department of Human Services Act. (Section 27(g) of the Act)

 

(Source:  Amended at 47 Ill. Reg. 6567, effective April 27, 2023)

 

Section 955.310  Department Findings of Abuse, Neglect, or Misappropriation of Property

 

a)         Definitions.  As used in this Section:

 

1)         "Abuse" means any physical or mental injury or sexual assault inflicted on a client, patient, or resident, other than by accidental means, in a health care facility. (Section 1-103 of the Nursing Home Care Act and Section 27(a) of the Act)

 

2)         "Neglect" means a health care facility's failure to provide, or willful withholding of, adequate medical care, mental health treatment, psychiatric rehabilitation, personal care, or assistance with activities of daily living that is necessary to avoid physical harm, mental anguish, or mental illness of a client, patient, or resident. (Section 1-117 of the Nursing Home Care Act and Section 27(a) of the Act)

 

3)         "Misappropriate property of a resident" means the deliberate misplacement, exploitation, or wrongful temporary or permanent use of a client's, patient's, or resident's belongings or money without the client's, patient's, or resident's consent. (Section 1-116.5 of the Nursing Home Care Act and Section 27(a) of the Act)

 

b)         If the Department finds that an employee or former employee has abused or neglected a resident or misappropriated property of a resident, or any other applicable finding, then the Department shall notify the employee or individual of this finding by certified mail sent to the address contained in the Health Care Worker Registry. (Section 27(a) of the Act) Notices and citations sent by certified mail that have been returned to the Department as unclaimed or refused by the addressee shall be considered served. The notice of the finding issued by the Department may assert any of the following:

 

1)         The employee, or former employee, has abused a resident.

 

2)         The employee, or former employee, has neglected a resident.

 

3)         The employee, or former employee, has misappropriated resident property.

 

4)         The employee, or former employee, has been convicted of:

 

A)        A felony;

 

B)        A misdemeanor, an essential element of which is dishonesty; or

 

C)        Any crime that is directly related to the duties of an employee, a certified nursing assistant, habilitation aide, or child care aide. (Section 28(a) of the Act)

 

c)         The notice shall include a clear and concise statement of the grounds denoting abuse, neglect, theft, or other applicable finding.  (Section 28(a) of the Act)  Additionally, the notice shall:

 

1)         Give the employee or individual an opportunity to contest the finding in a hearing before the Department or to submit a written response to the findings in lieu of requesting a hearing; (Section 27(a) of the Act) and

 

2)         Comply with 77 Ill. Adm. Code 100, Subpart B.

 

d)         The employee shall have 30 days after the date of receipt of the notice to request a hearing.  The employee shall submit a written request for a hearing to the Department at the address identified in the notice.  A failure to request a hearing by the employee within this timeframe shall constitute a waiver of the right to a hearing.

 

e)         The Department has the authority to hold hearings on contested findings of abuse, neglect, misappropriation of property, or any other applicable finding.

 

1)         Hearings shall be conducted by the Director, or by an individual designated by the Director as hearing officer to conduct the hearing. (Section 27(b) of the Act)

 

2)         The procedure governing hearings conducted under this Section shall be in accordance with 77 Ill. Adm. Code 100, Subpart B. In the event of a conflict between 77 Ill. Adm. Code 100, Subpart B and this Part, this Part shall prevail. (Section 27(c) of the Act)

 

3)         A full and complete record shall be kept of all proceedings, including the notice of hearing, and all other documents in the nature of pleadings, written motions filed in the proceedings, and the report and orders of the Director or the Director's designee.  (Section 27(c) of the Act)

 

4)         The Department may issue subpoenas requiring the attendance and the giving of testimony by witnesses, and subpoenas duces tecum requiring the production of books, papers, records, or memoranda.

 

A)        All subpoenas and subpoenas duces tecum issued under the Act and this subsection (e)(4) may be served by mail or by any person of legal age. 

 

B)        The fees of witnesses for attendance and travel shall be the same as the fees of witnesses before the courts of this State. The fees will be paid when the witness is excused from further attendance.

 

C)        When the witness is subpoenaed at the instance of the Department, the fees will be paid in the same manner as other expenses of the Department.

 

D)        When the witness is subpoenaed at the instance of any other party to any such proceeding, the Department may require that the cost of service of the subpoena or subpoena duces tecum and the fee of the witness be borne by the party at whose instance the witness is summoned.

 

E)        A subpoena or subpoena duces tecum issued pursuant to this subsection (e)(4) shall be served in the same manner as a subpoena issued by a circuit court. (Section 27(d) of the Act)

 

5)         All testimony will be reported but need not be transcribed unless the decision is sought to be reviewed under Article III of the Code of Civil Procedure. A copy or copies of the transcript and record of the proceedings may be obtained by any interested party subsequent to payment to the Department of the cost of preparing the copy or copies. (Section 27(c) of the Act)

 

6)         On the basis of a hearing, or upon default of the employee, the Director will make a determination specifying his or her findings and conclusions. A copy of the determination will be sent by certified mail, return receipt requested, or served personally upon the employee to the address last provided by the employee to the Department. (Section 27(b) of the Act)

 

7)         All final administrative decisions of the Department under the Act and this Part are subject to judicial review under Article III of the Code of Civil Procedure and 77 Ill. Adm. Code 100.17. For purposes of this subsection (e)(7), "administrative decision" has the meaning provided in Section 3-101 of the Code of Civil Procedure. (Section 27(c) of the Act)

 

f)         If, after a hearing, or if the employee or former employee does not timely request a hearing, the Department finds that the employee or former employee abused a resident, neglected a resident, or misappropriated resident property or makes any other applicable finding as set forth in this Section, the finding shall be denoted on the Health Care Worker Registry. If the employee chooses to make a statement, a clear and accurate summary shall also be denoted on the Registry. (Section 27(e) of the Act)

 

(Source:  Added at 43 Ill. Reg. 3665, effective March 1, 2019)

 

Section 955.320  Removal from Registry of a Department Finding of Neglect

 

An employee or former employee may petition the Department for removal from the Registry of a finding by the Department of neglect by completing and submitting an application for removal of the finding on a form prescribed by the Department. (Section 28(d) of the Act)

 

a)         The employee or former employee shall provide on, or with, the application form information concerning:

 

1)         The finding of neglect, including:

 

A)        The facts and circumstances related to the finding;

 

B)        The number of years since the finding of neglect was imposed;

 

C)        The individuals who witnessed, investigated, or possessed pertinent information regarding the finding, or set forth employment decisions based on the finding; and

 

D)        The age of the employee or former employee at the time of the offense.

 

2)         Employment and character references, if the employee or former employee submits references; and

 

3)         Any other evidence demonstrating that the employee or former employee does not pose a threat to the health or safety of residents, patients or clients.

 

b)         An application for removal of a finding may be submitted after no less than one year from the date identified within the Final Order affirming the finding, and not more often than once in every 24 months.

 

c)         The Department will remove the finding of neglect from the Health Care Worker Registry, unless the Department determines that removal of the finding is not in the public interest.  That determination will be based upon an analysis of the information provided by the applicant in the application for removal of the finding, including, but not limited to, the nature and gravity of the finding and the sufficiency and credibility of the submitted information, as required by this Section.  (Section 28(d) of the Act)

 

(Source:  Amended at 46 Ill. Reg. 6104, effective April 4, 2022)

Section 955.APPENDIX A   Offenses that Are Always Disqualifying Except Through the Appeal Process

 

Illinois Compiled Statutes Citation 720 ILCS:	Offense	Additional Offense Added Effective
5/8-1.1	Solicitation of Murder	1/1/98
5/8-1.2	Solicitation of Murder for Hire	1/1/98
5/9-1	First Degree Murder	7/1/95
5/9-1.2	Intentional Homicide of an Unborn Child	7/1/95
5/9-2	Second Degree Murder	7/1/95
5/9-2.1	Voluntary Manslaughter of an Unborn Child	7/1/95
5/9-3	Involuntary Manslaughter and Reckless Homicide	7/1/95
5/9-3.1; 5/9-3.4	Concealment of Homicidal Death	7/1/95 8/25/17
5/9-3.2	Involuntary Manslaughter and Reckless Homicide of an Unborn Child	7/1/95
5/9-3.3	Drug Induced Homicide	7/1/95
5/10-1	Kidnapping	7/1/95
5/10-2	Aggravated Kidnapping	7/1/95
5/11-6	Indecent Solicitation of a Child	1/1/98
5/11-9.1	Sexual Exploitation of a Child	1/1/98
5/11-9.1A; 150/5.1	Permitting Sexual Abuse of a Child	8/25/17
5/11-9.2	Custodial Sexual Misconduct	8/25/17
5/11-9.3	Presence of Sex Offender in School Zone	8/25/17
5/11-9.4-1	Presence of Sexual Predator or Sex Offender near Public Park	8/25/17
5/11-9.5	Sexual Misconduct with a Person with a Disability	7/24/06
5/11-14.4(a)	Promoting Juvenile Prostitution	7/25/15
5/11-19.2	Exploitation of a Child	1/1/98
5/11-20.1	Child Pornography	1/1/98
5/11-20.3 5/11-20.1B	Aggravated Child Pornography	7/1/11
5/12-3.3	Aggravated Domestic Battery	1/1/04
5/12-3.05; 5/12-4	Aggravated Battery	1/1/98 7/1/95
5/12-4.1	Heinous Battery	1/1/98
5/12-4.2	Aggravated Battery with a Firearm	7/1/95
5/12-4.2-5	Aggravated Battery with a Machine Gun or a Firearm Equipped with Any Device or Attachment Designed or Used for Silencing the Report of a Firearm	1/1/04
5/12-4.3	Aggravated Battery of a Child	7/1/95
5/12-4.4	Aggravated Battery of an Unborn Child	7/1/95
5/12-4.4a(a)	Abuse or Neglect of a Long Term Care Facility Resident	8/25/17
5/12-4.4a(b)	Criminal Abuse or Neglect of an Elderly Person or a Person with a Disability	8/25/17
5/12-4.6	Aggravated Battery of a Senior Citizen	7/1/95
5/12-4.7	Drug Induced Infliction of Great Bodily Harm	7/1/95
5/11-1.20; 5/12-13	Criminal Sexual Assault	7/1/95
5/11-1.30; 5/12-14	Aggravated Criminal Sexual Assault	7/1/95
5/11-1.40; 5/12-14.1	Predatory Criminal Sexual Assault of a Child	7/1/95
5/11-1.50; 5/12-15	Criminal Sexual Abuse	7/1/95
5/11-1.60; 5/12-16	Aggravated Criminal Sexual Abuse	7/1/95
5/12-19	Abuse and Criminal Neglect of a LTC Facility Resident	7/1/95
5/12-20.5	Dismembering a Human Body	8/25/17
5/12-21	Criminal Abuse or Neglect of an Elderly Person or Person with a Disability	7/1/95
5/16-1.3; 5/17-56	Financial Exploitation of an Elderly Person or a Person with a Disability	7/1/95
5/18-2	Armed Robbery	7/1/95
5/18-4	Aggravated Vehicular Hijacking	1/1/98
5/18-1(b); 5/18-5	Aggravated Robbery	1/1/98
5/19-6	Home Invasion	8/25/17
5/20-1.1	Aggravated Arson	7/1/95
150/5.1	Permitting Sexual Abuse of a Child	1/1/04

 

(Source:  Amended at 44 Ill. Reg. 18422, effective October 29, 2020)

Section 955.APPENDIX B   Disqualifying Offenses that May Be Considered for a Rehabilitation Waiver

 

Illinois Compiled Statutes Citation	Offense	Additional Offense Added Effective
720 ILCS 5/16-1	Theft (as a misdemeanor)	7/1/95
720 ILCS 5/16-2	Theft of Lost or Mislaid Property	1/1/04
720 ILCS 5/16A-3	Retail Theft (as a misdemeanor)	7/1/95
720 ILCS 5/19-4	Criminal Trespass to Residence	7/1/95
720 ILCS 5/24-1.5	Reckless Discharge of a Firearm	1/1/98
225 ILCS 65/10-5	Practice of Nursing without a License	1/1/04
720 ILCS 250/4	Receiving Stolen Credit Card or Debit Card	1/1/04
720 ILCS 250/5	Receiving a Credit or Debit Card that He Knows to Have Been Lost with Intent to Use, Sell, or Transfer	1/1/04
720 ILCS 250/6	Selling a Credit Card or Debit Card, without the Consent of the Issuer	1/1/04
720 ILCS 250/8	Using a Credit or Debit Card with the Intent to Defraud	1/1/04
720 ILCS 250/17.02	Fraudulent Use of Electronic Transmission	1/1/04

 

(Source:  Amended at 43 Ill. Reg. 3665, effective March 1, 2019)

Section 955.APPENDIX C   Disqualifying Offenses that May Be Considered for a Waiver by the Submission of a Waiver Application

 

Illinois Compiled Statutes Citation	Offense	Additional Offense Added Effective
225 ILCS 65/50-50	Practice of Nursing without a License	8/25/17
510 ILCS 70/3.01(a)	Beating, Cruelly Treating, Tormenting, Starving, Overworking, or Abusing an Animal	8/25/17
510 ILCS 70/3.02	Aggravated Cruelty to a Companion Animal
510 ILCS 70/3.03	Animal Torture	8/25/17
720 ILCS 5/10-3	Unlawful Restraint	7/1/95
720 ILCS 5/10-3.1	Aggravated Unlawful Restraint	7/1/95
720 ILCS 5/10-4	Forcible Detention	7/1/95
720 ILCS 5/10-5	Child Abduction	7/1/95
720 ILCS 5/10-7	Aiding and Abetting Child Abduction	7/1/95
720 ILCS 5/12-1	Assault	7/1/95
720 ILCS 5/12-2	Aggravated Assault	7/1/95
720 ILCS 5/12-3	Battery	7/1/95
720 ILCS 5/12-3.1	Battery of an Unborn Child	7/1/95
720 ILCS 5/12-3.2	Domestic Battery	7/1/95
720 ILCS 5/12-4.5	Tampering with Food, Drugs or Cosmetics	1/1/98
720 ILCS 5/12-7.4	Aggravated Stalking	1/1/98
720 ILCS 5/12-21.6;	Endangering the Life or Health of a Child	1/1/98
720 ILCS 5/12C-5		8/25/17
720 ILCS 5/12C-10	Child Abandonment	8/25/17
720 ILCS 5/12-21.5
720 ILCS 5/12-32	Ritual Mutilation	1/1/98
720 ILCS 5/12-33	Ritual Abuse of a Child	1/1/98
720 ILCS 5/16-1	Theft	7/1/95
720 ILCS 5/16-2	Theft of Lost or Mislaid Property	1/1/04
720 ILCS 5/16A-3	Retail Theft	7/1/95
720 ILCS 5/16G-15;	Identity Theft	1/1/04
720 ILCS 5/16-30		8/25/17
720 ILCS 5/16G-20	Aggravated Identity Theft	1/1/04
720 ILCS 5/17-3	Forgery	1/1/98
720 ILCS 5/17-32(b)	Possession of Another's Credit or Debit Card	8/25/17
720 ILCS 5/17-33	Possession of Lost or Mislaid Credit or Debit Card	8/25/17
720 ILCS 5/17-34	Sale of Credit or Debit Card	8/25/17
720 ILCS 5/17-36	Use of Counterfeited, Forged, Expired, Revoked, or Unissued Credit or Debit Card	8/25/17
720 ILCS 5/17-44	Fraudulent Use of Electronic Transmission	8/25/17
720 ILCS 5/18-1	Robbery	7/1/95
720 ILCS 5/18-3	Vehicular Hijacking	1/1/98
720 ILCS 5/19-1	Burglary	1/1/98
720 ILCS 5/19-3	Residential Burglary	7/1/95
720 ILCS 5/19-4	Criminal Trespass to Residence	7/1/95
720 ILCS 5/20-1	Arson	7/1/95
720 ILCS 5/20-1.2	Residential Arson	1/1/04
720 ILCS 5/24-1	Unlawful Use of Weapons	7/1/95
720 ILCS 5/24-1.1	Unlawful Use or Possession of Weapons by Felons or Persons in the Custody of the Department of Corrections Facilities	1/1/04
720 ILCS 5/24-1.2	Aggravated Discharge of a Firearm	7/1/95
720 ILCS 5/24-1.2-5	Aggravated Discharge of a Machine Gun or a Firearm Equipped with a Device Designed or Used for Silencing the Report of a Firearm	7/18/03
720 ILCS 5/24-1.5	Reckless Discharge of a Firearm	1/1/98
720 ILCS 5/24-1.6	Aggravated Unlawful Use of a Weapon	1/1/04
720 ILCS 5/24-1.8	Unlawful Possession of Firearm by Street Gang Member	8/25/17
720 ILCS 5/24-3.2	Unlawful Discharge of Firearm Projectiles	1/1/04
720 ILCS 5/24-3.3	Unlawful Sale or Delivery of Firearms on the Premises of Any School	1/1/04
720 ILCS 5/24-3.8	Possession of a Stolen Firearm	8/25/17
720 ILCS 5/24-3.9	Aggravated Possession of a Stolen Firearm	8/25/17
720 ILCS 5/33A-2	Armed Violence	1/1/98
225 ILCS 65/10-5	Practice of Nursing without a License	1/1/04
720 ILCS 150/4	Endangering Life or Health of a Child	1/1/98
720 ILCS 115/53;	Cruelty to Children	1/1/98
740 ILCS 55/4		8/25/17
720 ILCS 250/4	Receiving Stolen Credit Card or Debit Card	1/1/04
720 ILCS 250/5	Receiving a Credit or Debit Card with Intent to Use, Sell, or Transfer	1/1/04
720 ILCS 250/6	Selling a Credit Card or Debit Card, without the Consent of the Issuer	1/1/04
720 ILCS 250/8	Using a Credit or Debit Card with the Intent to Defraud	1/1/04
720 ILCS 250/17.02	Fraudulent Use of Electronic Transmission	1/1/04
720 ILCS 550/5(c), (d), (e), (f), (g)	Manufacture, Delivery, or Possession with Intent to Deliver, or Manufacture, Cannabis	8/25/17
720 ILCS 550/5.1	Cannabis Trafficking	7/1/95
720 ILCS 550/5.2	Delivery of Cannabis on School Grounds	1/1/98
720 ILCS 550/7	Delivering Cannabis to a Person under 18	1/1/98
720 ILCS 550/9	Calculated Criminal Cannabis Conspiracy	7/1/95
720 ILCS 570/401	Manufacture or Delivery, or Possession with Intent to Manufacture or Deliver, a Controlled Substance Other than Methamphetamine, a Counterfeit Substance, or a Controlled Substance Analog	7/1/95
720 ILCS 570/401.1	Controlled Substance Trafficking	7/1/95
720 ILCS 570/404	Distribution, Advertisement, or Possession with Intent to Manufacture or Distribute a Look-alike Substance	7/1/95
720 ILCS 570/405	Calculated Criminal Drug Conspiracy	7/1/95
720 ILCS 570/405.1	Criminal Drug Conspiracy	7/1/95
720 ILCS 570/407	Delivering a Controlled, Counterfeit or Look-alike Substance to a Person under 18	7/1/95
720 ILCS 570/407.1	Engaging or Employing Person under 18 to Deliver a Controlled, Counterfeit or Look-alike Substance	7/1/95
720 ILCS 646	Violations under the Methamphetamine Control and Community Protection Act	9/11/05

 

(Source:  Amended at 46 Ill. Reg. 6104, effective April 4, 2022)