TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 50 OFFICE OF INSPECTOR GENERAL INVESTIGATIONS OF ALLEGED ABUSE OR NEGLECT IN STATE-OPERATED FACILITIES AND COMMUNITY AGENCIES
SECTION 50.50 CONDUCTING INVESTIGATIONS


 

Section 50.50  Conducting Investigations

 

a)         Depending on the nature of the allegation, an investigation shall consist of, but not be limited to, the following procedures:

 

1)         Ensure that the victim is not in imminent danger;

 

2)         Protect the integrity of the investigation at all times;

 

3)         Secure the scene of the incident;

 

4)         Identify and separate witnesses;

 

5)         Preserve and secure all evidence;

 

6)         Obtain statements from persons involved, including victims, accused employees, and witnesses by face-to-face interviews, in writing, or by telephone; and

 

7)         Obtain copies of pertinent documents relating to the investigation, i.e., progress notes, incident or injury reports, patient or resident records, photographs, etc.

 

b)         Confidentiality

Any allegations or investigations of reports of abuse, neglect and financial exploitation shall remain confidential until a final report is completed (Section 1-17(m) of the Act).  The identity of any person as a complainant  shall remain confidential in accordance with the Freedom of Information Act [5 ILCS 140] or unless identification is authorized by the complainant.  Information concerning diagnosis and treatment for alcohol or drug abuse shall be disclosed to OIG by community agencies only in accordance with federal regulations at 42 CFR 2.  Information concerning tests for human immunodeficiency virus (HIV) and diagnosis and treatment for acquired immune deficiency syndrome (AIDS) shall be disclosed to OIG by community agencies only in accordance with the AIDS Confidentiality Act [410 ILCS 305].  All personal health related information contained in OIG investigative reports shall remain confidential in accordance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA) (P.L. 104-191) (45 CFR 160, 162 and 164).

 

c)         All investigations shall be conducted in a manner that respects the dignity and human rights of all persons involved.

 

d)         Representation during Interviews

An employee may request representation at an interview with OIG if he or she has reasonable grounds to believe that the interview may be used to support disciplinary action against him or her.  If the investigator denies the request, the employee's statement may not be used in any subsequent disciplinary proceeding against that employee.  No representative of the agency or facility that employs the interviewee may be present at an investigatory interview. Union representation for AFSCME employees, Council 31 (State-operated facilities), shall be granted in accordance with the applicable union contract.

 

e)         No person shall interfere with or obstruct an OIG interview or investigation.  This is a violation of Section 1-17(i)(2) of the Act.

 

f)         OIG shall be granted access, for the purpose of investigating abuse, neglect or financial exploitation, to any facility or program operated, funded, licensed or certified by the Department that is subject to the provisions of Section 1-17 of the Act.

 

1)         When advance notice to an authorized representative or his or her designee is not provided, OIG shall, on arrival at the community agency or facility site, request that an on-duty and on-site employee notify the authorized representative or his or her designee of OIG's arrival.

 

2)         Facilities and community agencies shall obtain and provide OIG with all written statements and any requested documents in a timely manner.

 

g)         If OIG determines that:

 

1)         An individual's health or safety is in imminent danger, the Inspector General shall immediately notify the Secretary or his or her designee and the authorized representative of the community agency or facility or his or her designee.

 

2)         There is reason to believe that a violation of an existing Department rule may have occurred, OIG shall notify the authorized representative of the community agency or his or her designee and the appropriate Department office or division.

 

(Source:  Amended at 41 Ill. Reg. 6516, effective May 26, 2017)