Section 50.60  Processing investigative reports, reconsideration and clarification requirements, and the contents of case files

a)         Processing investigative reports

1)         The investigative file shall be submitted to the Inspector General within 60 days from assignment unless there are extenuating circumstances such as the unavailability of witnesses or official documents.

2)         Upon receipt of an investigative report, the Inspector General will determine whether to accept the findings.  The Inspector General may require additional documentation or further investigation by the community agency or facility, or may determine that further investigation by OIG is warranted.

3)         When the Inspector General determines that abuse or neglect is substantiated against an employee, the Inspector General shall note in the investigative report any aggravating or mitigating circumstances as those terms are defined in this Part.

4)         When the Inspector General substantiates neglect against an employee, the Inspector General shall make a determination in the investigative report if the neglect is egregious.

5)         Finalizing investigative reports and notifications to community agencies and facilities

A)        Cases investigated by OIG – After determining the finding, the Inspector General shall notify the community agency or facility by submitting to it a copy of the investigative report.

B)        Cases investigated by community agencies and facilities – After determining the finding, the Inspector General shall notify the community agency or facility that the finding was accepted, or if additional information is required to complete the investigation.

C)        The community agency or facility shall submit a written response within 30 calendar days after receiving the investigative report when OIG assumed primary responsibility for the investigation and there are substantiated findings or other recommendations.  The written response shall meet all requirements in subsection (c)(1)(C) of this Section.

6)         After determining the finding in all cases, the Inspector General shall notify the complainant, the individual who was allegedly abused or neglected or his or her legal guardian (if applicable), and the person alleged to have committed the offense.  The notice shall identify the outcome of the investigation and include a statement of the right to request clarification or reconsideration of the finding.  In substantiated cases, the Inspector General shall provide the perpetrator with a copy of the investigative report.

b)         Reconsideration and clarification requirements:  Requests that the Inspector General provide clarification of the findings or reconsideration of the findings must be submitted within 15 working days after receipt of the report or notification of the findings.

1)         All clarification and reconsideration requests must be in writing.

2)         Community agency or facility clarification and reconsideration requests must be on letterhead signed by the authorized representative.

3)         All clarification and reconsideration requests must clearly identify the nature of the request and reconsideration requests must include new information that could change the finding.

4)         If a reconsideration request is denied or after clarification has been provided, the community agency or facility shall submit a written response to the Inspector General within 15 days after the receipt of the clarification or denial of reconsideration.

5)         If the Inspector General determines further investigation is necessary based on the request for reconsideration or clarification of the findings, an amended investigative report shall be issued.

c)         Contents of case files

1)         An investigative file submitted by a community agency or facility shall include:

A)        All investigatory materials, including physical and documentary evidence, such as photographs, interview statements and records;

B)        An investigative report to the Inspector General with a recommendation as to whether the findings of the investigation indicate that the allegation should be substantiated, unsubstantiated, or unfounded;

C)        On a prescribed form, a written response from the community agency or facility that addresses the actions that it will take or has taken to protect individuals from abuse or neglect, prevent recurrences and eliminate problems, including implementation and completion dates, for all such actions as a result of the findings or recommendations contained in the investigation.

2)         In addition to subsections (c)(1)(A) and (B) of this Section, investigative files, when abuse or neglect is substantiated, shall include:

A)        An assessment of the egregiousness of actions in reports that substantiated neglect.

B)        Identification of the mitigating and aggravating circumstances, if any.

3)         In addition to subsections (c)(1)(A) and (B) of this Section, investigative files, when OIG has conducted the investigation, shall include: on a prescribed form, a written response from the community agency or facility that addresses the actions that it will take or has taken to protect individuals from abuse or neglect, prevent recurrences, and eliminate problems, including implementation and completion dates for all such actions, as a result of the findings or recommendations contained in the investigation.

(Source:  Amended at 26 Ill. Reg. 8352, effective May 24, 2002)