HB3844 Enrolled LRB096 11344 JDS 21794 b

1     AN ACT concerning State government.
 
2     Be it enacted by the People of the State of Illinois,
3 represented in the General Assembly:
 
4     Section 5. The Department of Human Services Act is amended
5 by changing Section 1-17 as follows:
 
6     (20 ILCS 1305/1-17)
7     Sec. 1-17. Inspector General.
8     (a) Nature and purpose. It is the express intent of the
9 General Assembly to ensure the health, safety, and financial
10 condition of individuals receiving services in this State due
11 to mental illness, developmental disability, or both by
12 protecting those persons from acts of abuse, neglect, or both
13 by service providers. To that end, the Office of the Inspector
14 General for the Department of Human Services is created to
15 investigate and report upon allegations of the abuse, neglect,
16 or financial exploitation of individuals receiving services
17 within mental health facilities, developmental disabilities
18 facilities, and community agencies operated, licensed, funded
19 or certified by the Department of Human Services, but not
20 licensed or certified by any other State agency. It is also the
21 express intent of the General Assembly to authorize the
22 Inspector General to investigate alleged or suspected cases of
23 abuse, neglect, or financial exploitation of adults with

 

 

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1 disabilities living in domestic settings in the community under
2 the Abuse of Adults with Disabilities Intervention Act.
3     (b) Definitions. The following definitions apply to this
4 Section:
5     "Agency" or "community agency" means (i) a community agency
6 licensed, funded, or certified by the Department, but not
7 licensed or certified by any other human services agency of the
8 State, to provide mental health service or developmental
9 disabilities service, or (ii) a program licensed, funded, or
10 certified by the Department, but not licensed or certified by
11 any other human services agency of the State, to provide mental
12 health service or developmental disabilities service.
13     "Aggravating circumstance" means a factor that is
14 attendant to a finding and that tends to compound or increase
15 the culpability of the accused.
16     "Allegation" means an assertion, complaint, suspicion, or
17 incident involving any of the following conduct by an employee,
18 facility, or agency against an individual or individuals:
19 mental abuse, physical abuse, sexual abuse, neglect, or
20 financial exploitation.
21     "Day" means working day, unless otherwise specified.
22     "Deflection" means a situation in which an individual is
23 presented for admission to a facility or agency, and the
24 facility staff or agency staff do not admit the individual.
25 "Deflection" includes triage, redirection, and denial of
26 admission.

 

 

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1     "Department" means the Department of Human Services.
2     "Developmentally disabled" means having a developmental
3 disability.
4     "Developmental disability" means "developmental
5 disability" as defined in the Mental Health and Developmental
6 Disabilities Code.
7     "Egregious neglect" means a finding of neglect as
8 determined by the Inspector General that (i) represents a gross
9 failure to adequately provide for, or a callused indifference
10 to, the health, safety, or medical needs of an individual and
11 (ii) results in an individual's death or other serious
12 deterioration of an individual's physical condition or mental
13 condition.
14     "Employee" means any person who provides services at the
15 facility or agency on-site or off-site. The service
16 relationship can be with the individual or with the facility or
17 agency. Also, "employee" includes any employee or contractual
18 agent of the Department of Human Services or the community
19 agency involved in providing or monitoring or administering
20 mental health or developmental disability services. This
21 includes but is not limited to: owners, operators, payroll
22 personnel, contractors, subcontractors, and volunteers.
23     "Facility" or "State-operated facility" means a mental
24 health facility or developmental disabilities facility
25 operated by the Department.
26     "Financial exploitation" means taking unjust advantage of

 

 

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1 an individual's assets, property, or financial resources
2 through deception, intimidation, or conversion for the
3 employee's, facility's, or agency's own advantage or benefit.
4     "Finding" means the Office of Inspector General's
5 determination regarding whether an allegation is
6 substantiated, unsubstantiated, or unfounded.
7     "Health care worker registry" or "registry" means the
8 health care worker registry created by the Nursing Home Care
9 Act.
10     "Individual" means any person receiving mental health
11 service, developmental disabilities service, or both from a
12 facility or agency, while either on-site or off-site.
13     "Mental abuse" means the use of demeaning, intimidating, or
14 threatening words, signs, gestures, or other actions by an
15 employee about an individual and in the presence of an
16 individual or individuals that results in emotional distress or
17 maladaptive behavior, or could have resulted in emotional
18 distress or maladaptive behavior, for any individual present.
19     "Mental illness" means "mental illness" as defined in the
20 Mental Health and Developmental Disabilities Code.
21     "Mentally ill" means having a mental illness.
22     "Mitigating circumstance" means a condition that (i) is
23 attendant to a finding, (ii) does not excuse or justify the
24 conduct in question, but (iii) may be considered in evaluating
25 the severity of the conduct, the culpability of the accused, or
26 both the severity of the conduct and the culpability of the

 

 

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1 accused.
2     "Neglect" means an employee's, agency's, or facility's
3 failure to provide adequate medical care, personal care, or
4 maintenance and that, as a consequence, (i) causes an
5 individual pain, injury, or emotional distress, (ii) results in
6 either an individual's maladaptive behavior or the
7 deterioration of an individual's physical condition or mental
8 condition, or (iii) places the individual's health or safety at
9 substantial risk.
10     "Physical abuse" means an employee's non-accidental and
11 inappropriate contact with an individual that causes bodily
12 harm. "Physical abuse" includes actions that cause bodily harm
13 as a result of an employee directing an individual or person to
14 physically abuse another individual.
15     "Recommendation" means an admonition, separate from a
16 finding, that requires action by the facility, agency, or
17 Department to correct a systemic issue, problem, or deficiency
18 identified during an investigation.
19     "Required reporter" means any employee who suspects,
20 witnesses, or is informed of an allegation of any one or more
21 of the following: mental abuse, physical abuse, sexual abuse,
22 neglect, or financial exploitation.
23     "Secretary" means the Chief Administrative Officer of the
24 Department.
25     "Sexual abuse" means any sexual contact or intimate
26 physical contact between an employee and an individual,

 

 

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1 including an employee's coercion or encouragement of an
2 individual to engage in sexual behavior that results in sexual
3 contact, intimate physical contact, sexual behavior, or
4 intimate physical behavior.
5     "Substantiated" means there is a preponderance of the
6 evidence to support the allegation.
7     "Unfounded" means there is no credible evidence to support
8 the allegation.
9     "Unsubstantiated" means there is credible evidence, but
10 less than a preponderance of evidence to support the
11 allegation.
12     (c) (a) Appointment; powers and duties. The Governor shall
13 appoint, and the Senate shall confirm, an Inspector General.
14 The Inspector General shall be appointed for a term of 4 years
15 and shall function within the Department of Human Services and
16 report to the Secretary of Human Services and the Governor.
17     (d) Operation and appropriation. The Inspector General
18 shall function independently within the Department of Human
19 Services with respect to the operations of the Office office,
20 including the performance of investigations and issuance of
21 findings and recommendations. The appropriation for the Office
22 of Inspector General shall be separate from the overall
23 appropriation for the Department of Human Services.
24     (e) Powers and duties. The Inspector General shall
25 investigate reports of suspected mental abuse, physical abuse,
26 sexual abuse, or neglect, or financial exploitation of

 

 

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1 individuals (as those terms are defined by the Department of
2 Human Services) of patients or residents in any mental health
3 or developmental disabilities facility or agency operated by
4 the Department of Human Services and shall have authority to
5 investigate and take immediate action to prevent any one or
6 more of the following from happening to individuals under its
7 jurisdiction: mental abuse, physical abuse, sexual abuse,
8 neglect, or financial exploitation. on reports of abuse or
9 neglect of recipients, whether patients or residents, in any
10 mental health or developmental disabilities facility or
11 program that is licensed or certified by the Department of
12 Human Services (as successor to the Department of Mental Health
13 and Developmental Disabilities) or that is funded by the
14 Department of Human Services (as successor to the Department of
15 Mental Health and Developmental Disabilities) and is not
16 licensed or certified by any agency of the State. The Inspector
17 General shall also have the authority to investigate alleged or
18 suspected cases of abuse, neglect, and exploitation of adults
19 with disabilities living in domestic settings in the community
20 pursuant to the Abuse of Adults with Disabilities Intervention
21 Act (20 ILCS 2435/). At the specific, Upon written request of
22 an agency of this the State, other than the Department of Human
23 Services (as successor to the Department of Mental Health and
24 Developmental Disabilities), the Inspector General may assist
25 another agency of the State cooperate in investigating reports
26 of the abuse, and neglect, or abuse and neglect of persons with

 

 

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1 mental illness, or persons with developmental disabilities, or
2 persons with both. To comply with the requirements of
3 subsection (k) of this Section, the The Inspector General shall
4 also review all reportable deaths for which there is no
5 allegation of abuse or neglect. Nothing in this Section shall
6 preempt any duties of the Medical Review Board set forth in the
7 Mental Health and Developmental Disabilities Code. have no
8 supervision over or involvement in routine, programmatic,
9 licensure, or certification operations of the Department of
10 Human Services or any of its funded agencies.
11     (f) Limitations. The Inspector General shall not conduct an
12 investigation within an agency or facility if that
13 investigation would be redundant to or interfere with an
14 investigation conducted by another State agency. The Inspector
15 General shall have no supervision over, or involvement in, the
16 routine programmatic, licensing, funding, or certification
17 operations of the Department. Nothing in this subsection limits
18 investigations by the Department that may otherwise be required
19 by law or that may be necessary in the Department's capacity as
20 central administrative authority responsible for the operation
21 of the State's mental health and developmental disabilities
22 facilities.
23     (g) Rulemaking authority. The Inspector General shall
24 promulgate rules establishing minimum requirements for
25 reporting allegations as well as for of abuse and neglect and
26 initiating, conducting, and completing investigations based

 

 

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1 upon the nature of the allegation or allegations. The
2 promulgated rules shall clearly establish set forth that if in
3 instances where 2 or more State agencies could investigate an
4 allegation of abuse or neglect, the Inspector General shall not
5 conduct an investigation that would be is redundant to, or
6 interfere with, an investigation conducted by another State
7 agency. The rules shall establish criteria for determining,
8 based upon the nature of the allegation, the appropriate method
9 of investigation, which may include, but need not be limited
10 to, site visits, telephone contacts, or requests for written
11 responses from agencies. The rules shall further also clarify
12 the method and circumstances under which how the Office of the
13 Inspector General may shall interact with the licensing,
14 funding, or certification units unit of the Department of Human
15 Services in preventing further occurrences of mental abuse,
16 physical abuse, sexual abuse, neglect, egregious neglect, and
17 financial exploitation. investigations of allegations of abuse
18 or neglect. Any allegations or investigations of reports made
19 pursuant to this Act shall remain confidential until a final
20 report is completed. The resident or patient who allegedly was
21 abused or neglected and his or her legal guardian shall be
22 informed by the facility or agency of the report of alleged
23 abuse or neglect. Final reports regarding unsubstantiated or
24 unfounded allegations shall remain confidential, except that
25 final reports may be disclosed pursuant to Section 6 of the
26 Abused and Neglected Long Term Care Facility Residents

 

 

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1 Reporting Act.
2     For purposes of this Section, "required reporter" means a
3 person who suspects, witnesses, or is informed of an allegation
4 of abuse and neglect at a State-operated facility or a
5 community agency and who is either: (i) a person employed at a
6 State-operated facility or a community agency on or off site
7 who is providing or monitoring services to an individual or
8 individuals or is providing services to the State-operated
9 facility or the community agency; or (ii) any person or
10 contractual agent of the Department of Human Services involved
11 in providing, monitoring, or administering mental health or
12 developmental services, including, but not limited to, payroll
13 personnel, contractors, subcontractors, and volunteers. A
14 required reporter shall report the allegation of abuse or
15 neglect, or cause a report to be made, to the Office of the
16 Inspector General (OIG) Hotline no later than 4 hours after the
17 initial discovery of the incident of alleged abuse or neglect.
18 A required reporter as defined in this paragraph who willfully
19 fails to comply with the reporting requirement is guilty of a
20 Class A misdemeanor.
21     For purposes of this Section, "State-operated facility"
22 means a mental health facility or a developmental disability
23 facility as defined in Sections 1-114 and 1-107 of the Mental
24 Health and Developmental Disabilities Code.
25     For purposes of this Section, "community agency" or
26 "agency" means any community entity or program providing mental

 

 

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1 health or developmental disabilities services that is
2 licensed, certified, or funded by the Department of Human
3 Services and is not licensed or certified by an other human
4 services agency of the State (for example, the Department of
5 Public Health, the Department of Children and Family Services,
6 or the Department of Healthcare and Family Services).
7     When the Office of the Inspector General has substantiated
8 a case of abuse or neglect, the Inspector General shall include
9 in the final report any mitigating or aggravating circumstances
10 that were identified during the investigation. Upon
11 determination that a report of neglect is substantiated, the
12 Inspector General shall then determine whether such neglect
13 rises to the level of egregious neglect.
14     (b) Department of State Police. The Inspector General
15 shall, within 24 hours after determining that a reported
16 allegation of suspected abuse or neglect indicates that any
17 possible criminal act has been committed or that special
18 expertise is required in the investigation, immediately notify
19 the Department of State Police or the appropriate law
20 enforcement entity. The Department of State Police shall
21 investigate any report from a State-operated facility
22 indicating a possible murder, rape, or other felony. All
23 investigations conducted by the Inspector General shall be
24 conducted in a manner designed to ensure the preservation of
25 evidence for possible use in a criminal prosecution.
26     (b-5) Preliminary report of investigation; facility or

 

 

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1 agency response. The Inspector General shall make a
2 determination to accept or reject a preliminary report of the
3 investigation of alleged abuse or neglect based on established
4 investigative procedures. Notice of the Inspector General's
5 determination must be given to the person who claims to be the
6 victim of the abuse or neglect, to the person or persons
7 alleged to have been responsible for abuse or neglect, and to
8 the facility or agency. The facility or agency or the person or
9 persons alleged to have been responsible for the abuse or
10 neglect and the person who claims to be the victim of the abuse
11 or neglect may request clarification or reconsideration based
12 on additional information. For cases where the allegation of
13 abuse or neglect is substantiated, the Inspector General shall
14 require the facility or agency to submit a written response.
15 The written response from a facility or agency shall address in
16 a concise and reasoned manner the actions that the agency or
17 facility will take or has taken to protect the resident or
18 patient from abuse or neglect, prevent reoccurrences, and
19 eliminate problems identified and shall include implementation
20 and completion dates for all such action.
21     (c) Inspector General's report; facility's or agency's
22 implementation reports. The Inspector General shall, within 10
23 calendar days after the transmittal date of a completed
24 investigation where abuse or neglect is substantiated or
25 administrative action is recommended, provide a complete
26 report on the case to the Secretary of Human Services and to

 

 

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1 the agency in which the abuse or neglect is alleged to have
2 happened. The complete report shall include a written response
3 from the agency or facility operated by the State to the
4 Inspector General that addresses in a concise and reasoned
5 manner the actions that the agency or facility will take or has
6 taken to protect the resident or patient from abuse or neglect,
7 prevent reoccurrences, and eliminate problems identified and
8 shall include implementation and completion dates for all such
9 action. The Secretary of Human Services shall accept or reject
10 the response and establish how the Department will determine
11 whether the facility or program followed the approved response.
12 The Secretary may require Department personnel to visit the
13 facility or agency for training, technical assistance,
14 programmatic, licensure, or certification purposes.
15 Administrative action, including sanctions, may be applied
16 should the Secretary reject the response or should the facility
17 or agency fail to follow the approved response. Within 30 days
18 after the Secretary has approved a response, the facility or
19 agency making the response shall provide an implementation
20 report to the Inspector General on the status of the corrective
21 action implemented. Within 60 days after the Secretary has
22 approved the response, the facility or agency shall send notice
23 of the completion of the corrective action or shall send an
24 updated implementation report. The facility or agency shall
25 continue sending updated implementation reports every 60 days
26 until the facility or agency sends a notice of the completion

 

 

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1 of the corrective action. The Inspector General shall review
2 any implementation plan that takes more than 120 days. The
3 Inspector General shall monitor compliance through a random
4 review of completed corrective actions. This monitoring may
5 include, but need not be limited to, site visits, telephone
6 contacts, or requests for written documentation from the
7 facility or agency to determine whether the facility or agency
8 is in compliance with the approved response. The facility or
9 agency shall inform the resident or patient and the legal
10 guardian whether the reported allegation was substantiated,
11 unsubstantiated, or unfounded. There shall be an appeals
12 process for any person or agency that is subject to any action
13 based on a recommendation or recommendations.
14     (d) Sanctions. The Inspector General may recommend to the
15 Departments of Public Health and Human Services sanctions to be
16 imposed against mental health and developmental disabilities
17 facilities under the jurisdiction of the Department of Human
18 Services for the protection of residents, including
19 appointment of on-site monitors or receivers, transfer or
20 relocation of residents, and closure of units. The Inspector
21 General may seek the assistance of the Attorney General or any
22 of the several State's Attorneys in imposing such sanctions.
23 Whenever the Inspector General issues any recommendations to
24 the Secretary of Human Services, the Secretary shall provide a
25 written response.
26     (h) (e) Training programs. The Inspector General shall (i)

 

 

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1 establish a comprehensive program to ensure that every person
2 authorized to conduct investigations receives ongoing training
3 relative to investigation techniques, communication skills,
4 and the appropriate means of interacting with persons receiving
5 treatment for mental illness, developmental disability, or
6 both mental illness and developmental disability, and (ii)
7 establish and conduct periodic training programs for facility
8 and agency Department of Human Services employees and community
9 agency employees concerning the prevention and reporting of any
10 one or more of the following: mental abuse, physical abuse,
11 sexual abuse, neglect, egregious neglect, or financial
12 exploitation. Nothing in this Section shall be deemed to
13 prevent the Office of Inspector General from conducting any
14 other training as determined by the Inspector General to be
15 necessary or helpful. neglect and abuse.
16     (i) Duty to cooperate. (f) Access to facilities.
17         (1) The Inspector General shall at all times be granted
18     access to any mental health or developmental disabilities
19     facility or agency for the purpose of investigating any
20     allegation, conducting operated by the Department of Human
21     Services, shall establish and conduct unannounced site
22     visits, monitoring compliance with a written response, or
23     completing any other statutorily assigned duty. The
24     Inspector General shall conduct unannounced site visits to
25     each facility at least annually for the purpose of
26     reviewing and making recommendations on systemic issues

 

 

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1     relative to preventing, reporting, investigating, and
2     responding to all of the following: mental abuse, physical
3     abuse, sexual abuse, neglect, egregious neglect, or
4     financial exploitation.
5         (2) Any employee who fails to cooperate with an Office
6     of the Inspector General investigation is in violation of
7     this Act. Failure to cooperate with an investigation
8     includes, but is not limited to, any one or more of the
9     following: (i) creating and transmitting a false report to
10     the Office of the Inspector General hotline, (ii) providing
11     false information to an Office of the Inspector General
12     Investigator during an investigation, (iii) colluding with
13     other employees to cover up evidence, (iv) colluding with
14     other employees to provide false information to an Office
15     of the Inspector General investigator, (v) destroying
16     evidence, (vi) withholding evidence, or (vii) otherwise
17     obstructing an Office of the Inspector General
18     investigation. Additionally, any employee who, during an
19     unannounced site visit or written response compliance
20     check, fails to cooperate with requests from the Office of
21     the Inspector General is in violation of this Act. to those
22     facilities at least once annually, and shall be granted
23     access, for the purpose of investigating a report of abuse
24     or neglect, to the records of the Department of Human
25     Services and to any facility or program funded by the
26     Department of Human Services that is subject under the

 

 

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1     provisions of this Section to investigation by the
2     Inspector General for a report of abuse or neglect.
3     (g) Other investigations. Nothing in this Section shall
4 limit investigations by the Department of Human Services that
5 may otherwise be required by law or that may be necessary in
6 that Department's capacity as the central administrative
7 authority responsible for the operation of State mental health
8 and developmental disability facilities.
9     (j) Subpoena powers. The Inspector General shall have the
10 power to subpoena witnesses and compel the production of all
11 documents and physical evidence relating to his or her
12 investigations and any hearings authorized by this Act. This
13 subpoena power shall not extend to persons or documents of a
14 labor organization or its representatives insofar as the
15 persons are acting in a representative capacity to an employee
16 whose conduct is the subject of an investigation or the
17 documents relate to that representation. Any person who
18 otherwise fails to respond to a subpoena or who knowingly
19 provides false information to the Office of the Inspector
20 General by subpoena during an investigation is guilty of a
21 Class A misdemeanor.
22     (k) Reporting allegations and deaths.
23         (1) Allegations. If an employee witnesses, is told of,
24     or has reason to believe an incident of mental abuse,
25     physical abuse, sexual abuse, neglect, or financial
26     exploitation has occurred, the employee, agency, or

 

 

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1     facility shall report the allegation by phone to the Office
2     of the Inspector General hotline according to the agency's
3     or facility's procedures, but in no event later than 4
4     hours after the initial discovery of the incident,
5     allegation, or suspicion of any one or more of the
6     following: mental abuse, physical abuse, sexual abuse,
7     neglect, or financial exploitation. A required reporter as
8     defined in subsection (b) of this Section who knowingly or
9     intentionally fails to comply with these reporting
10     requirements is guilty of a Class A misdemeanor.
11         (2) Deaths. Absent an allegation, a required reporter
12     shall, within 24 hours after initial discovery, report by
13     phone to the Office of the Inspector General hotline each
14     of the following:
15             (i) Any death of an individual occurring within 14
16         calendar days after discharge or transfer of the
17         individual from a residential program or facility.
18             (ii) Any death of an individual occurring within 24
19         hours after deflection from a residential program or
20         facility.
21             (iii) Any other death of an individual occurring at
22         an agency or facility or at any Department-funded site.
23         (3) Retaliation. It is a violation of this Act for any
24     employee or administrator of an agency or facility to take
25     retaliatory action against an employee who acts in good
26     faith in conformance with his or her duties as a required

 

 

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1     reporter.
2     (l) Reporting criminal acts. Within 24 hours after
3 determining that there is credible evidence indicating that a
4 criminal act may have been committed or that special expertise
5 may be required in an investigation, the Inspector General
6 shall notify the Department of State Police or other
7 appropriate law enforcement authority, or ensure that such
8 notification is made. The Department of State Police shall
9 investigate any report from a State-operated facility
10 indicating a possible murder, sexual assault, or other felony
11 by an employee. All investigations conducted by the Inspector
12 General shall be conducted in a manner designed to ensure the
13 preservation of evidence for possible use in a criminal
14 prosecution.
15     (m) Investigative reports. Upon completion of an
16 investigation, the Office of Inspector General shall issue an
17 investigative report identifying whether the allegations are
18 substantiated, unsubstantiated, or unfounded. Within 10
19 business days after the transmittal of a completed
20 investigative report substantiating an allegation, or if a
21 recommendation is made, the Inspector General shall provide the
22 investigative report on the case to the Secretary and to the
23 director of the facility or agency where any one or more of the
24 following occurred: mental abuse, physical abuse, sexual
25 abuse, neglect, egregious neglect, or financial exploitation.
26 In a substantiated case, the investigative report shall include

 

 

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1 any mitigating or aggravating circumstances that were
2 identified during the investigation. If the case involves
3 substantiated neglect, the investigative report shall also
4 state whether egregious neglect was found. An investigative
5 report may also set forth recommendations. All investigative
6 reports prepared by the Office of the Inspector General shall
7 be considered confidential and shall not be released except as
8 provided by the law of this State or as required under
9 applicable federal law. Unsubstantiated and unfounded reports
10 shall not be disclosed except as allowed under Section 6 of the
11 Abused and Neglected Long Term Care Facility Residents
12 Reporting Act. Raw data used to compile the investigative
13 report shall not be subject to release unless required by law
14 or a court order. "Raw data used to compile the investigative
15 report" includes, but is not limited to, any one or more of the
16 following: the initial complaint, witness statements,
17 photographs, investigator's notes, police reports, or incident
18 reports. If the allegations are substantiated, the accused
19 shall be provided with a redacted copy of the investigative
20 report. Death reports where there was no allegation of abuse or
21 neglect shall only be released pursuant to applicable State or
22 federal law or a valid court order.
23     (n) Written responses and reconsideration requests.
24         (1) Written responses. Within 30 calendar days from
25     receipt of a substantiated investigative report or an
26     investigative report which contains recommendations,

 

 

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1     absent a reconsideration request, the facility or agency
2     shall file a written response that addresses, in a concise
3     and reasoned manner, the actions taken to: (i) protect the
4     individual; (ii) prevent recurrences; and (iii) eliminate
5     the problems identified. The response shall include the
6     implementation and completion dates of such actions. If the
7     written response is not filed within the allotted 30
8     calendar day period, the Secretary shall determine the
9     appropriate corrective action to be taken.
10         (2) Reconsideration requests. The facility, agency,
11     victim or guardian, or the subject employee may request
12     that the Office of Inspector General reconsider or clarify
13     its finding based upon additional information.
14     (o) Disclosure of the finding by the Inspector General. The
15 Inspector General shall disclose the finding of an
16 investigation to the following persons: (i) the Governor, (ii)
17 the Secretary, (iii) the director of the facility or agency,
18 (iv) the alleged victims and their guardians, (v) the
19 complainant, and (vi) the accused. This information shall
20 include whether the allegations were deemed substantiated,
21 unsubstantiated, or unfounded.
22     (p) Secretary review. Upon review of the Inspector
23 General's investigative report and any agency's or facility's
24 written response, the Secretary shall accept or reject the
25 written response and notify the Inspector General of that
26 determination. The Secretary may further direct that other

 

 

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1 administrative action be taken, including, but not limited to,
2 any one or more of the following: (i) additional site visits,
3 (ii) training, (iii) provision of technical assistance
4 relative to administrative needs, licensure or certification,
5 or (iv) the imposition of appropriate sanctions.
6     (q) Action by facility or agency. Within 30 days of the
7 date the Secretary approves the written response or directs
8 that further administrative action be taken, the facility or
9 agency shall provide an implementation report to the Inspector
10 General that provides the status of the action taken. The
11 facility or agency shall be allowed an additional 30 days to
12 send notice of completion of the action or to send an updated
13 implementation report. If the action has not been completed
14 within the additional 30 day period, the facility or agency
15 shall send updated implementation reports every 60 days until
16 completion. The Inspector General shall conduct a review of any
17 implementation plan that takes more than 120 days after
18 approval to complete, and shall monitor compliance through a
19 random review of approved written responses, which may include,
20 but are not limited to: (i) site visits, (ii) telephone
21 contact, and (iii) requests for additional documentation
22 evidencing compliance.
23     (r) Sanctions. Sanctions, if imposed by the Secretary under
24 Subdivision (p)(iv) of this Section, shall be designed to
25 prevent further acts of mental abuse, physical abuse, sexual
26 abuse, neglect, egregious neglect, or financial exploitation

 

 

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1 or some combination of one or more of those acts at a facility
2 or agency, and may include any one or more of the following:
3         (1) Appointment of on-site monitors.
4         (2) Transfer or relocation of an individual or
5     individuals.
6         (3) Closure of units.
7         (4) Termination of any one or more of the following:
8     (i) Department licensing, (ii) funding, or (iii)
9     certification.
10     The Inspector General may seek the assistance of the
11 Illinois Attorney General or the office of any State's Attorney
12 in implementing sanctions.
13     (s) (g-5) Health care worker registry. After notice and an
14 opportunity for a hearing that is separate and distinct from
15 the Office of the Inspector General's appeals process as
16 implemented under subsection (c) of this Section,
17         (1) Reporting to the registry. The the Inspector
18     General shall report to the Department of Public Health's
19     health care worker registry, a public registry, under
20     Section 3-206.01 of the Nursing Home Care Act the identity
21     and finding of each employee of a facility or agency of
22     individuals against whom there is a final investigative
23     report containing a substantiated allegation has been a
24     substantiated finding of physical or sexual abuse or
25     egregious neglect of an individual a service recipient.
26     Nothing in this subsection shall diminish or impair the

 

 

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1 rights of a person who is a member of a collective bargaining
2 unit pursuant to the Illinois Public Labor Relations Act or
3 pursuant to any federal labor statute. An individual who is a
4 member of a collective bargaining unit as described above shall
5 not be reported to the Department of Public Health's health
6 care worker registry until the exhaustion of that individual's
7 grievance and arbitration rights, or until 3 months after the
8 initiation of the grievance process, whichever occurs first,
9 provided that the Department of Human Services' hearing under
10 this subsection regarding the reporting of an individual to the
11 Department of Public Health's health care worker registry has
12 concluded. Notwithstanding anything hereinafter or previously
13 provided, if an action taken by an employer against an
14 individual as a result of the circumstances that led to a
15 finding of physical or sexual abuse or egregious neglect is
16 later overturned under a grievance or arbitration procedure
17 provided for in Section 8 of the Illinois Public Labor
18 Relations Act or under a collective bargaining agreement, the
19 report must be removed from the registry.
20     The Department of Human Services shall promulgate or amend
21 rules as necessary or appropriate to establish procedures for
22 reporting to the registry, including the definition of
23 egregious neglect, procedures for notice to the individual and
24 victim, appeal and hearing procedures, and petition for removal
25 of the report from the registry. The portion of the rules
26 pertaining to hearings shall provide that, at the hearing, both

 

 

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1 parties may present written and oral evidence. The Department
2 shall be required to establish by a preponderance of the
3 evidence that the Office of the Inspector General's finding of
4 physical or sexual abuse or egregious neglect warrants
5 reporting to the Department of Public Health's health care
6 worker registry under Section 3-206.01 of the Nursing Home Care
7 Act.
8         (2) Notice to employee. Prior to reporting the name of
9     an employee, the employee shall be notified of the
10     Department's obligation to report and shall be granted an
11     opportunity to request an administrative hearing, the sole
12     purpose of which is to determine if the substantiated
13     finding warrants reporting to the registry. Notice to the
14     employee individual shall contain include a clear and
15     concise statement of the grounds on which the report to the
16     registry is based, offer the employee an and notice of the
17     opportunity for a hearing, and identify the process for
18     requesting such a hearing to contest the report. Notice is
19     sufficient if provided The Department of Human Services
20     shall provide the notice by certified mail to the
21     employee's last known address of the individual. The notice
22     shall give the individual an opportunity to contest the
23     report in a hearing before the Department of Human Services
24     or to submit a written response to the findings instead of
25     requesting a hearing. If the employee fails to individual
26     does not request a hearing within 30 days from the date of

 

 

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1     the notice, the Inspector General shall report the name of
2     the employee to or if after notice and a hearing the
3     Department of Human Services finds that the report is
4     valid, the finding shall be included as part of the
5     registry, as well as a brief statement from the reported
6     individual if he or she chooses to make a statement. The
7     Department of Public Health shall make available to the
8     public information reported to the registry. In a case of
9     inquiries concerning an individual listed in the registry,
10     any information disclosed concerning a finding of abuse or
11     neglect shall also include disclosure of the individual's
12     brief statement in the registry relating to the reported
13     finding or include a clear and accurate summary of the
14     statement. Nothing in this subdivision (s)(2) shall
15     diminish or impair the rights of a person who is a member
16     of a collective bargaining unit under the Illinois Public
17     Labor Relations Act or under any other federal labor
18     statute.
19         (3) Registry hearings. If the employee requests an
20     administrative hearing, the employee shall be granted an
21     opportunity to appear before an administrative law judge to
22     present reasons why the employee's name should not be
23     reported to the registry. The Department shall bear the
24     burden of presenting evidence that establishes, by a
25     preponderance of the evidence, that the substantiated
26     finding warrants reporting to the registry. After

 

 

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1     considering all the evidence presented, the administrative
2     law judge shall make a recommendation to the Secretary as
3     to whether the substantiated finding warrants reporting
4     the name of the employee to the registry. The Secretary
5     shall render the final decision. The Department and the
6     employee shall have the right to request that the
7     administrative law judge consider a stipulated disposition
8     of these proceedings.
9         (4) Testimony at registry hearings. A person who makes
10     a report or who investigates a report under this Act shall
11     testify fully in any judicial proceeding resulting from
12     such a report, as to any evidence of abuse or neglect, or
13     the cause thereof. No evidence shall be excluded by reason
14     of any common law or statutory privilege relating to
15     communications between the alleged perpetrator of abuse or
16     neglect, or the individual alleged as the victim in the
17     report, and the person making or investigating the report.
18     Testimony at hearings is exempt from the confidentiality
19     requirements of subsection (f) of Section 10 of the Mental
20     Health and Developmental Disabilities Confidentiality Act.
21         (5) Employee's rights to collateral action. No
22     reporting to the registry shall occur and no hearing shall
23     be set or proceed if an employee notifies the Inspector
24     General in writing, including any supporting
25     documentation, that he or she is formally contesting an
26     adverse employment action resulting from a substantiated

 

 

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1     finding by complaint filed with the Illinois Civil Service
2     Commission, or which otherwise seeks to enforce the
3     employee's rights pursuant to any applicable collective
4     bargaining agreement. If an action taken by an employer
5     against an employee as a result of a finding of physical
6     abuse, sexual abuse, or egregious neglect is overturned
7     through an action filed with the Illinois Civil Service
8     Commission or under any applicable collective bargaining
9     agreement and if that employee's name has already been sent
10     to the registry, the employee's name shall be removed from
11     the registry.
12         (6) Removal from registry. At any time after the report
13     to of the registry, but no more than once in any 12-month
14     period, an employee individual may petition the Department
15     in writing to remove his or her name of Human Services for
16     removal from the registry of the finding against him or
17     her. Upon receiving notice of such request, the Inspector
18     General receipt of such a petition, the Department of Human
19     Services shall conduct an investigation into and hearing on
20     the petition. Upon receipt of such request, an
21     administrative hearing will be set by the Department. At
22     the hearing, the employee shall bear the burden of
23     presenting evidence that establishes, by a preponderance
24     of the evidence, that removal of the name from the registry
25     is completion of the investigation and hearing, the
26     Department of Human Services shall report the removal of

 

 

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1     the finding to the registry unless the Department of Human
2     Services determines that removal is not in the public
3     interest. The parties may jointly request that the
4     administrative law judge consider a stipulated disposition
5     of these proceedings.
6     (t) Review of Administrative Decisions. The Department
7 shall preserve a record of all proceedings at any formal
8 hearing conducted by the Department involving health care
9 worker registry hearings. Final administrative decisions of
10 the Department are subject to judicial review pursuant to
11 provisions of the Administrative Review Law.
12     (u) (h) Quality Care Board. There is created, within the
13 Office of the Inspector General, a Quality Care Board to be
14 composed of 7 members appointed by the Governor with the advice
15 and consent of the Senate. One of the members shall be
16 designated as chairman by the Governor. Of the initial
17 appointments made by the Governor, 4 Board members shall each
18 be appointed for a term of 4 years and 3 members shall each be
19 appointed for a term of 2 years. Upon the expiration of each
20 member's term, a successor shall be appointed for a term of 4
21 years. In the case of a vacancy in the office of any member,
22 the Governor shall appoint a successor for the remainder of the
23 unexpired term.
24     Members appointed by the Governor shall be qualified by
25 professional knowledge or experience in the area of law,
26 investigatory techniques, or in the area of care of the

 

 

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1 mentally ill or developmentally disabled. Two members
2 appointed by the Governor shall be persons with a disability or
3 a parent of a person with a disability. Members shall serve
4 without compensation, but shall be reimbursed for expenses
5 incurred in connection with the performance of their duties as
6 members.
7     The Board shall meet quarterly, and may hold other meetings
8 on the call of the chairman. Four members shall constitute a
9 quorum allowing the Board to conduct its business. The Board
10 may adopt rules and regulations it deems necessary to govern
11 its own procedures.
12     (i) Scope and function of the Quality Care Board. The Board
13 shall monitor and oversee the operations, policies, and
14 procedures of the Inspector General to ensure assure the prompt
15 and thorough investigation of allegations of neglect and abuse.
16 In fulfilling these responsibilities, the Board may do the
17 following:
18         (1) Provide independent, expert consultation to the
19     Inspector General on policies and protocols for
20     investigations of alleged neglect and abuse, neglect, or
21     both abuse and neglect.
22         (2) Review existing regulations relating to the
23     operation of facilities under the control of the Department
24     of Human Services.
25         (3) Advise the Inspector General as to the content of
26     training activities authorized under this Section.

 

 

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1         (4) Recommend policies concerning methods for
2     improving the intergovernmental relationships between the
3     Office of the Inspector General and other State or federal
4     offices agencies.
5     (j) Investigators. The Inspector General shall establish a
6 comprehensive program to ensure that every person employed or
7 newly hired to conduct investigations shall receive training on
8 an on-going basis concerning investigative techniques,
9 communication skills, and the appropriate means of contact with
10 persons admitted or committed to the mental health or
11 developmental disabilities facilities under the jurisdiction
12 of the Department of Human Services.
13     (k) Subpoenas; testimony; penalty. The Inspector General
14 shall have the power to subpoena witnesses and compel the
15 production of books and papers pertinent to an investigation
16 authorized by this Act, provided that the power to subpoena or
17 to compel the production of books and papers shall not extend
18 to the person or documents of a labor organization or its
19 representatives insofar as the person or documents of a labor
20 organization relate to the function of representing an employee
21 subject to investigation under this Act. Mental health records
22 of patients shall be confidential as provided under the Mental
23 Health and Developmental Disabilities Confidentiality Act. Any
24 person who fails to appear in response to a subpoena or to
25 answer any question or produce any books or papers pertinent to
26 an investigation under this Act, except as otherwise provided

 

 

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1 in this Section, or who knowingly gives false testimony in
2 relation to an investigation under this Act is guilty of a
3 Class A misdemeanor.
4     (v) (l) Annual report. The Inspector General shall provide
5 to the General Assembly and the Governor, no later than January
6 1 of each year, a summary of reports and investigations made
7 under this Act for the prior fiscal year with respect to
8 individuals receiving mental health or developmental
9 disabilities services residents of institutions under the
10 jurisdiction of the Department of Human Services. The report
11 shall detail the imposition of sanctions, if any, and the final
12 disposition of any corrective or administrative action
13 directed by the Secretary. those recommendations. The
14 summaries shall not contain any confidential or identifying
15 information of any individual, but concerning the subjects of
16 the reports and investigations. The report shall also include
17 objective data identifying any trends in a trend analysis of
18 the number of reported allegations, the timeliness of the
19 Office of the Inspector General's investigations, and their
20 disposition, for each facility and Department-wide, for the
21 most recent 3-year time period. The report shall also identify,
22 by facility, the staff-to-patient ratios taking account and a
23 statement, for each facility, of the staffing-to-patient
24 ratios. The ratios shall include only the number of direct care
25 staff only. The report shall also include detailed recommended
26 administrative actions and matters for consideration by the

 

 

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1 General Assembly.
2     (w) (m) Program audit. The Auditor General shall conduct a
3 biennial program audit of the Office of the Inspector General
4 on an as-needed basis, as determined by the Auditor General. in
5 relation to the Inspector General's compliance with this Act.
6 The audit shall specifically include the Inspector General's
7 compliance with the Act and effectiveness in investigating
8 reports of allegations occurring in any facility or agency.
9 alleged neglect or abuse of residents in any facility operated
10 by the Department of Human Services and in making
11 recommendations for sanctions to the Departments of Human
12 Services and Public Health. The Auditor General shall conduct
13 the program audit according to the provisions of the Illinois
14 State Auditing Act and shall report its findings to the General
15 Assembly no later than January 1 following of the audit period
16 each odd-numbered year.
17     (x) Nothing in this Section shall be construed to mean that
18 a patient is a victim of abuse or neglect because of health
19 care services appropriately provided or not provided by health
20 care professionals.
21     (y) Nothing in this Section shall require a facility,
22 including its employees, agents, medical staff members, and
23 health care professionals, to provide a service to a patient in
24 contravention of that patient's stated or implied objection to
25 the provision of that service on the ground that that service
26 conflicts with the patient's religious beliefs or practices,

 

 

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1 nor shall the failure to provide a service to a patient be
2 considered abuse under this Section if the patient has objected
3 to the provision of that service based on his or her religious
4 beliefs or practices.
5 (Source: P.A. 95-545, eff. 8-28-07.)
 
6     Section 99. Effective date. This Act takes effect upon
7 becoming law.