100TH GENERAL ASSEMBLY
State of Illinois
2017 and 2018
SB1400

 

Introduced 2/9/2017, by Sen. John G. Mulroe

 

SYNOPSIS AS INTRODUCED:
 
See Index

    Amends the Health Care Worker Background Check Act. Requires the Department of Public Health to establish and maintain the Health Care Worker Registry of specified health care workers. Makes corresponding changes in the Nursing Home Care Act, MC/DD Act, and ID/DD Community Care Act, including deleting language requiring the Department to establish and maintain a health care worker registry in each of those Acts. Provides that the information contained in the Health Care Worker Registry shall include information from the registries established under the Nursing Home Care Act, MC/DD Act, and the ID/DD Community Care Act. Specifies that certain prohibitions on health care employers and long-term care facilities retaining individuals applies whether the individual is paid or is a volunteer. Adds specified offenses to a provision that prohibits health care employers and long-term care facilities from hiring a person who has been convicted of certain offenses. Makes other changes. Amends the Department of Human Services Act, Mental Health and Developmental Disabilities Administrative Act, and Mental Health and Developmental Disabilities Confidentiality Act to make conforming and other changes. Effective immediately.


LRB100 08265 MJP 18366 b

FISCAL NOTE ACT MAY APPLY

 

 

A BILL FOR

 

SB1400LRB100 08265 MJP 18366 b

1    AN ACT concerning health.
 
2    Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
 
4    Section 5. The Department of Human Services Act is amended
5by 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
9General Assembly to ensure the health, safety, and financial
10condition of individuals receiving services in this State due
11to mental illness, developmental disability, or both by
12protecting those persons from acts of abuse, neglect, or both
13by service providers. To that end, the Office of the Inspector
14General for the Department of Human Services is created to
15investigate and report upon allegations of the abuse, neglect,
16or financial exploitation of individuals receiving services
17within mental health facilities, developmental disabilities
18facilities, and community agencies operated, licensed, funded
19or certified by the Department of Human Services, but not
20licensed or certified by any other State agency.
21    (b) Definitions. The following definitions apply to this
22Section:
23    "Adult student with a disability" means an adult student,

 

 

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1age 18 through 21, inclusive, with an Individual Education
2Program, other than a resident of a facility licensed by the
3Department of Children and Family Services in accordance with
4the Child Care Act of 1969. For purposes of this definition,
5"through age 21, inclusive", means through the day before the
6student's 22nd birthday.
7    "Agency" or "community agency" means (i) a community agency
8licensed, funded, or certified by the Department, but not
9licensed or certified by any other human services agency of the
10State, to provide mental health service or developmental
11disabilities service, or (ii) a program licensed, funded, or
12certified by the Department, but not licensed or certified by
13any other human services agency of the State, to provide mental
14health service or developmental disabilities service.
15    "Aggravating circumstance" means a factor that is
16attendant to a finding and that tends to compound or increase
17the culpability of the accused.
18    "Allegation" means an assertion, complaint, suspicion, or
19incident involving any of the following conduct by an employee,
20facility, or agency against an individual or individuals:
21mental abuse, physical abuse, sexual abuse, neglect, or
22financial exploitation.
23    "Day" means working day, unless otherwise specified.
24    "Deflection" means a situation in which an individual is
25presented for admission to a facility or agency, and the
26facility staff or agency staff do not admit the individual.

 

 

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

 

 

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

 

 

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

 

 

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1Department.
2    "Sexual abuse" means any sexual contact or intimate
3physical contact between an employee and an individual,
4including an employee's coercion or encouragement of an
5individual to engage in sexual behavior that results in sexual
6contact, intimate physical contact, sexual behavior, or
7intimate physical behavior. Sexual abuse also includes (i) an
8employee's actions that result in the sending or showing of
9sexually explicit images to an individual via computer,
10cellular phone, electronic mail, portable electronic device,
11or other media with or without contact with the individual or
12(ii) an employee's posting of sexually explicit images of an
13individual online or elsewhere whether or not there is contact
14with the individual.
15    "Sexually explicit images" includes, but is not limited to,
16any material which depicts nudity, sexual conduct, or
17sado-masochistic abuse, or which contains explicit and
18detailed verbal descriptions or narrative accounts of sexual
19excitement, sexual conduct, or sado-masochistic abuse.
20    "Substantiated" means there is a preponderance of the
21evidence to support the allegation.
22    "Unfounded" means there is no credible evidence to support
23the allegation.
24    "Unsubstantiated" means there is credible evidence, but
25less than a preponderance of evidence to support the
26allegation.

 

 

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1    (c) Appointment. The Governor shall appoint, and the Senate
2shall confirm, an Inspector General. The Inspector General
3shall be appointed for a term of 4 years and shall function
4within the Department of Human Services and report to the
5Secretary and the Governor.
6    (d) Operation and appropriation. The Inspector General
7shall function independently within the Department with
8respect to the operations of the Office, including the
9performance of investigations and issuance of findings and
10recommendations. The appropriation for the Office of Inspector
11General shall be separate from the overall appropriation for
12the Department.
13    (e) Powers and duties. The Inspector General shall
14investigate reports of suspected mental abuse, physical abuse,
15sexual abuse, neglect, or financial exploitation of
16individuals in any mental health or developmental disabilities
17facility or agency and shall have authority to take immediate
18action to prevent any one or more of the following from
19happening to individuals under its jurisdiction: mental abuse,
20physical abuse, sexual abuse, neglect, or financial
21exploitation. Upon written request of an agency of this State,
22the Inspector General may assist another agency of the State in
23investigating reports of the abuse, neglect, or abuse and
24neglect of persons with mental illness, persons with
25developmental disabilities, or persons with both. To comply
26with the requirements of subsection (k) of this Section, the

 

 

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

 

 

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1allegation or allegations. The rules shall clearly establish
2that if 2 or more State agencies could investigate an
3allegation, the Inspector General shall not conduct an
4investigation that would be redundant to, or interfere with, an
5investigation conducted by another State agency. The rules
6shall further clarify the method and circumstances under which
7the Office of Inspector General may interact with the
8licensing, funding, or certification units of the Department in
9preventing further occurrences of mental abuse, physical
10abuse, sexual abuse, neglect, egregious neglect, and financial
11exploitation.
12    (h) Training programs. The Inspector General shall (i)
13establish a comprehensive program to ensure that every person
14authorized to conduct investigations receives ongoing training
15relative to investigation techniques, communication skills,
16and the appropriate means of interacting with persons receiving
17treatment for mental illness, developmental disability, or
18both mental illness and developmental disability, and (ii)
19establish and conduct periodic training programs for facility
20and agency employees concerning the prevention and reporting of
21any one or more of the following: mental abuse, physical abuse,
22sexual abuse, neglect, egregious neglect, or financial
23exploitation. Nothing in this Section shall be deemed to
24prevent the Office of Inspector General from conducting any
25other training as determined by the Inspector General to be
26necessary or helpful.

 

 

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1    (i) Duty to cooperate.
2        (1) The Inspector General shall at all times be granted
3    access to any facility or agency for the purpose of
4    investigating any allegation, conducting unannounced site
5    visits, monitoring compliance with a written response, or
6    completing any other statutorily assigned duty. The
7    Inspector General shall conduct unannounced site visits to
8    each facility at least annually for the purpose of
9    reviewing and making recommendations on systemic issues
10    relative to preventing, reporting, investigating, and
11    responding to all of the following: mental abuse, physical
12    abuse, sexual abuse, neglect, egregious neglect, or
13    financial exploitation.
14        (2) Any employee who fails to cooperate with an Office
15    of the Inspector General investigation is in violation of
16    this Act. Failure to cooperate with an investigation
17    includes, but is not limited to, any one or more of the
18    following: (i) creating and transmitting a false report to
19    the Office of the Inspector General hotline, (ii) providing
20    false information to an Office of the Inspector General
21    Investigator during an investigation, (iii) colluding with
22    other employees to cover up evidence, (iv) colluding with
23    other employees to provide false information to an Office
24    of the Inspector General investigator, (v) destroying
25    evidence, (vi) withholding evidence, or (vii) otherwise
26    obstructing an Office of the Inspector General

 

 

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1    investigation. Additionally, any employee who, during an
2    unannounced site visit or written response compliance
3    check, fails to cooperate with requests from the Office of
4    the Inspector General is in violation of this Act.
5    (j) Subpoena powers. The Inspector General shall have the
6power to subpoena witnesses and compel the production of all
7documents and physical evidence relating to his or her
8investigations and any hearings authorized by this Act. This
9subpoena power shall not extend to persons or documents of a
10labor organization or its representatives insofar as the
11persons are acting in a representative capacity to an employee
12whose conduct is the subject of an investigation or the
13documents relate to that representation. Any person who
14otherwise fails to respond to a subpoena or who knowingly
15provides false information to the Office of the Inspector
16General by subpoena during an investigation is guilty of a
17Class A misdemeanor.
18    (k) Reporting allegations and deaths.
19        (1) Allegations. If an employee witnesses, is told of,
20    or has reason to believe an incident of mental abuse,
21    physical abuse, sexual abuse, neglect, or financial
22    exploitation has occurred, the employee, agency, or
23    facility shall report the allegation by phone to the Office
24    of the Inspector General hotline according to the agency's
25    or facility's procedures, but in no event later than 4
26    hours after the initial discovery of the incident,

 

 

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1    allegation, or suspicion of any one or more of the
2    following: mental abuse, physical abuse, sexual abuse,
3    neglect, or financial exploitation. A required reporter as
4    defined in subsection (b) of this Section who knowingly or
5    intentionally fails to comply with these reporting
6    requirements is guilty of a Class A misdemeanor.
7        (2) Deaths. Absent an allegation, a required reporter
8    shall, within 24 hours after initial discovery, report by
9    phone to the Office of the Inspector General hotline each
10    of the following:
11            (i) Any death of an individual occurring within 14
12        calendar days after discharge or transfer of the
13        individual from a residential program or facility.
14            (ii) Any death of an individual occurring within 24
15        hours after deflection from a residential program or
16        facility.
17            (iii) Any other death of an individual occurring at
18        an agency or facility or at any Department-funded site.
19        (3) Retaliation. It is a violation of this Act for any
20    employee or administrator of an agency or facility to take
21    retaliatory action against an employee who acts in good
22    faith in conformance with his or her duties as a required
23    reporter.
24    (l) Reporting to law enforcement.
25        (1) Reporting criminal acts. Within 24 hours after
26    determining that there is credible evidence indicating

 

 

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1    that a criminal act may have been committed or that special
2    expertise may be required in an investigation, the
3    Inspector General shall notify the Department of State
4    Police or other appropriate law enforcement authority, or
5    ensure that such notification is made. The Department of
6    State Police shall investigate any report from a
7    State-operated facility indicating a possible murder,
8    sexual assault, or other felony by an employee. All
9    investigations conducted by the Inspector General shall be
10    conducted in a manner designed to ensure the preservation
11    of evidence for possible use in a criminal prosecution.
12        (2) Reporting allegations of adult students with
13    disabilities. Upon receipt of a reportable allegation
14    regarding an adult student with a disability, the
15    Department's Office of the Inspector General shall
16    determine whether the allegation meets the criteria for the
17    Domestic Abuse Program under the Abuse of Adults with
18    Disabilities Intervention Act. If the allegation is
19    reportable to that program, the Office of the Inspector
20    General shall initiate an investigation. If the allegation
21    is not reportable to the Domestic Abuse Program, the Office
22    of the Inspector General shall make an expeditious referral
23    to the respective law enforcement entity. If the alleged
24    victim is already receiving services from the Department,
25    the Office of the Inspector General shall also make a
26    referral to the respective Department of Human Services'

 

 

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1    Division or Bureau.
2    (m) Investigative reports. Upon completion of an
3investigation, the Office of Inspector General shall issue an
4investigative report identifying whether the allegations are
5substantiated, unsubstantiated, or unfounded. Within 10
6business days after the transmittal of a completed
7investigative report substantiating an allegation, or if a
8recommendation is made, the Inspector General shall provide the
9investigative report on the case to the Secretary and to the
10director of the facility or agency where any one or more of the
11following occurred: mental abuse, physical abuse, sexual
12abuse, neglect, egregious neglect, or financial exploitation.
13In a substantiated case, the investigative report shall include
14any mitigating or aggravating circumstances that were
15identified during the investigation. If the case involves
16substantiated neglect, the investigative report shall also
17state whether egregious neglect was found. An investigative
18report may also set forth recommendations. All investigative
19reports prepared by the Office of the Inspector General shall
20be considered confidential and shall not be released except as
21provided by the law of this State or as required under
22applicable federal law. Unsubstantiated and unfounded reports
23shall not be disclosed except as allowed under Section 6 of the
24Abused and Neglected Long Term Care Facility Residents
25Reporting Act. Raw data used to compile the investigative
26report shall not be subject to release unless required by law

 

 

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1or a court order. "Raw data used to compile the investigative
2report" includes, but is not limited to, any one or more of the
3following: the initial complaint, witness statements,
4photographs, investigator's notes, police reports, or incident
5reports. If the allegations are substantiated, the accused
6shall be provided with a redacted copy of the investigative
7report. Death reports where there was no allegation of abuse or
8neglect shall only be released pursuant to applicable State or
9federal law or a valid court order.
10    (n) Written responses and reconsideration requests.
11        (1) Written responses. Within 30 calendar days from
12    receipt of a substantiated investigative report or an
13    investigative report which contains recommendations,
14    absent a reconsideration request, the facility or agency
15    shall file a written response that addresses, in a concise
16    and reasoned manner, the actions taken to: (i) protect the
17    individual; (ii) prevent recurrences; and (iii) eliminate
18    the problems identified. The response shall include the
19    implementation and completion dates of such actions. If the
20    written response is not filed within the allotted 30
21    calendar day period, the Secretary shall determine the
22    appropriate corrective action to be taken.
23        (2) Reconsideration requests. The facility, agency,
24    victim or guardian, or the subject employee may request
25    that the Office of Inspector General reconsider or clarify
26    its finding based upon additional information.

 

 

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1    (o) Disclosure of the finding by the Inspector General. The
2Inspector General shall disclose the finding of an
3investigation to the following persons: (i) the Governor, (ii)
4the Secretary, (iii) the director of the facility or agency,
5(iv) the alleged victims and their guardians, (v) the
6complainant, and (vi) the accused. This information shall
7include whether the allegations were deemed substantiated,
8unsubstantiated, or unfounded.
9    (p) Secretary review. Upon review of the Inspector
10General's investigative report and any agency's or facility's
11written response, the Secretary shall accept or reject the
12written response and notify the Inspector General of that
13determination. The Secretary may further direct that other
14administrative action be taken, including, but not limited to,
15any one or more of the following: (i) additional site visits,
16(ii) training, (iii) provision of technical assistance
17relative to administrative needs, licensure or certification,
18or (iv) the imposition of appropriate sanctions.
19    (q) Action by facility or agency. Within 30 days of the
20date the Secretary approves the written response or directs
21that further administrative action be taken, the facility or
22agency shall provide an implementation report to the Inspector
23General that provides the status of the action taken. The
24facility or agency shall be allowed an additional 30 days to
25send notice of completion of the action or to send an updated
26implementation report. If the action has not been completed

 

 

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1within the additional 30 day period, the facility or agency
2shall send updated implementation reports every 60 days until
3completion. The Inspector General shall conduct a review of any
4implementation plan that takes more than 120 days after
5approval to complete, and shall monitor compliance through a
6random review of approved written responses, which may include,
7but are not limited to: (i) site visits, (ii) telephone
8contact, and (iii) requests for additional documentation
9evidencing compliance.
10    (r) Sanctions. Sanctions, if imposed by the Secretary under
11Subdivision (p)(iv) of this Section, shall be designed to
12prevent further acts of mental abuse, physical abuse, sexual
13abuse, neglect, egregious neglect, or financial exploitation
14or some combination of one or more of those acts at a facility
15or agency, and may include any one or more of the following:
16        (1) Appointment of on-site monitors.
17        (2) Transfer or relocation of an individual or
18    individuals.
19        (3) Closure of units.
20        (4) Termination of any one or more of the following:
21    (i) Department licensing, (ii) funding, or (iii)
22    certification.
23    The Inspector General may seek the assistance of the
24Illinois Attorney General or the office of any State's Attorney
25in implementing sanctions.
26    (s) Health Care Worker Registry care worker registry.

 

 

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1        (1) Reporting to the Registry registry. The Inspector
2    General shall report to the Department of Public Health's
3    Health Care Worker Registry health care worker registry, a
4    public registry, the identity and finding of each employee
5    of a facility or agency against whom there is a final
6    investigative report containing a substantiated allegation
7    of physical or sexual abuse, financial exploitation, or
8    egregious neglect of an individual.
9        (2) Notice to employee. Prior to reporting the name of
10    an employee, the employee shall be notified of the
11    Department's obligation to report and shall be granted an
12    opportunity to request an administrative hearing, the sole
13    purpose of which is to determine if the substantiated
14    finding warrants reporting to the Registry registry.
15    Notice to the employee shall contain a clear and concise
16    statement of the grounds on which the report to the
17    Registry registry is based, offer the employee an
18    opportunity for a hearing, and identify the process for
19    requesting such a hearing. Notice is sufficient if provided
20    by certified mail to the employee's last known address. If
21    the employee fails to request a hearing within 30 days from
22    the date of the notice, the Inspector General shall report
23    the name of the employee to the Registry registry. Nothing
24    in this subdivision (s)(2) shall diminish or impair the
25    rights of a person who is a member of a collective
26    bargaining unit under the Illinois Public Labor Relations

 

 

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1    Act or under any other federal labor statute.
2        (3) Registry hearings. If the employee requests an
3    administrative hearing, the employee shall be granted an
4    opportunity to appear before an administrative law judge to
5    present reasons why the employee's name should not be
6    reported to the Registry registry. The Department shall
7    bear the burden of presenting evidence that establishes, by
8    a preponderance of the evidence, that the substantiated
9    finding warrants reporting to the Registry registry. After
10    considering all the evidence presented, the administrative
11    law judge shall make a recommendation to the Secretary as
12    to whether the substantiated finding warrants reporting
13    the name of the employee to the Registry registry. The
14    Secretary shall render the final decision. The Department
15    and the employee shall have the right to request that the
16    administrative law judge consider a stipulated disposition
17    of these proceedings.
18        (4) Testimony at Registry registry hearings. A person
19    who makes a report or who investigates a report under this
20    Act shall testify fully in any judicial proceeding
21    resulting from such a report, as to any evidence of abuse
22    or neglect, or the cause thereof. No evidence shall be
23    excluded by reason of any common law or statutory privilege
24    relating to communications between the alleged perpetrator
25    of abuse or neglect, or the individual alleged as the
26    victim in the report, and the person making or

 

 

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1    investigating the report. Testimony at hearings is exempt
2    from the confidentiality requirements of subsection (f) of
3    Section 10 of the Mental Health and Developmental
4    Disabilities Confidentiality Act.
5        (5) Employee's rights to collateral action. No
6    reporting to the Registry registry shall occur and no
7    hearing shall be set or proceed if an employee notifies the
8    Inspector General in writing, including any supporting
9    documentation, that he or she is formally contesting an
10    adverse employment action resulting from a substantiated
11    finding by complaint filed with the Illinois Civil Service
12    Commission, or which otherwise seeks to enforce the
13    employee's rights pursuant to any applicable collective
14    bargaining agreement. If an action taken by an employer
15    against an employee as a result of a finding of physical
16    abuse, sexual abuse, or egregious neglect is overturned
17    through an action filed with the Illinois Civil Service
18    Commission or under any applicable collective bargaining
19    agreement and if that employee's name has already been sent
20    to the Registry registry, the employee's name shall be
21    removed from the Registry registry.
22        (6) Removal from Registry registry. At any time after
23    the report to the Registry registry, but no more than once
24    in any 12-month period, an employee may petition the
25    Department in writing to remove his or her name from the
26    Registry registry. Upon receiving notice of such request,

 

 

SB1400- 21 -LRB100 08265 MJP 18366 b

1    the Inspector General shall conduct an investigation into
2    the petition. Upon receipt of such request, an
3    administrative hearing will be set by the Department. At
4    the hearing, the employee shall bear the burden of
5    presenting evidence that establishes, by a preponderance
6    of the evidence, that removal of the name from the Registry
7    registry is in the public interest. The parties may jointly
8    request that the administrative law judge consider a
9    stipulated disposition of these proceedings.
10    (t) Review of Administrative Decisions. The Department
11shall preserve a record of all proceedings at any formal
12hearing conducted by the Department involving Health Care
13Worker Registry health care worker registry hearings. Final
14administrative decisions of the Department are subject to
15judicial review pursuant to provisions of the Administrative
16Review Law.
17    (u) Quality Care Board. There is created, within the Office
18of the Inspector General, a Quality Care Board to be composed
19of 7 members appointed by the Governor with the advice and
20consent of the Senate. One of the members shall be designated
21as chairman by the Governor. Of the initial appointments made
22by the Governor, 4 Board members shall each be appointed for a
23term of 4 years and 3 members shall each be appointed for a
24term of 2 years. Upon the expiration of each member's term, a
25successor shall be appointed for a term of 4 years. In the case
26of a vacancy in the office of any member, the Governor shall

 

 

SB1400- 22 -LRB100 08265 MJP 18366 b

1appoint a successor for the remainder of the unexpired term.
2    Members appointed by the Governor shall be qualified by
3professional knowledge or experience in the area of law,
4investigatory techniques, or in the area of care of the
5mentally ill or care of persons with developmental
6disabilities. Two members appointed by the Governor shall be
7persons with a disability or a parent of a person with a
8disability. Members shall serve without compensation, but
9shall be reimbursed for expenses incurred in connection with
10the performance of their duties as members.
11    The Board shall meet quarterly, and may hold other meetings
12on the call of the chairman. Four members shall constitute a
13quorum allowing the Board to conduct its business. The Board
14may adopt rules and regulations it deems necessary to govern
15its own procedures.
16    The Board shall monitor and oversee the operations,
17policies, and procedures of the Inspector General to ensure the
18prompt and thorough investigation of allegations of neglect and
19abuse. In fulfilling these responsibilities, the Board may do
20the following:
21        (1) Provide independent, expert consultation to the
22    Inspector General on policies and protocols for
23    investigations of alleged abuse, neglect, or both abuse and
24    neglect.
25        (2) Review existing regulations relating to the
26    operation of facilities.

 

 

SB1400- 23 -LRB100 08265 MJP 18366 b

1        (3) Advise the Inspector General as to the content of
2    training activities authorized under this Section.
3        (4) Recommend policies concerning methods for
4    improving the intergovernmental relationships between the
5    Office of the Inspector General and other State or federal
6    offices.
7    (v) Annual report. The Inspector General shall provide to
8the General Assembly and the Governor, no later than January 1
9of each year, a summary of reports and investigations made
10under this Act for the prior fiscal year with respect to
11individuals receiving mental health or developmental
12disabilities services. The report shall detail the imposition
13of sanctions, if any, and the final disposition of any
14corrective or administrative action directed by the Secretary.
15The summaries shall not contain any confidential or identifying
16information of any individual, but shall include objective data
17identifying any trends in the number of reported allegations,
18the timeliness of the Office of the Inspector General's
19investigations, and their disposition, for each facility and
20Department-wide, for the most recent 3-year time period. The
21report shall also identify, by facility, the staff-to-patient
22ratios taking account of direct care staff only. The report
23shall also include detailed recommended administrative actions
24and matters for consideration by the General Assembly.
25    (w) Program audit. The Auditor General shall conduct a
26program audit of the Office of the Inspector General on an

 

 

SB1400- 24 -LRB100 08265 MJP 18366 b

1as-needed basis, as determined by the Auditor General. The
2audit shall specifically include the Inspector General's
3compliance with the Act and effectiveness in investigating
4reports of allegations occurring in any facility or agency. The
5Auditor General shall conduct the program audit according to
6the provisions of the Illinois State Auditing Act and shall
7report its findings to the General Assembly no later than
8January 1 following the audit period.
9    (x) Nothing in this Section shall be construed to mean that
10an individual a patient is a victim of abuse or neglect because
11of health care services appropriately provided or not provided
12by health care professionals.
13    (y) Nothing in this Section shall require a facility,
14including its employees, agents, medical staff members, and
15health care professionals, to provide a service to an
16individual a patient in contravention of that individual's
17patient's stated or implied objection to the provision of that
18service on the ground that that service conflicts with the
19individual's patient's religious beliefs or practices, nor
20shall the failure to provide a service to an individual a
21patient be considered abuse under this Section if the
22individual patient has objected to the provision of that
23service based on his or her religious beliefs or practices.
24(Source: P.A. 98-49, eff. 7-1-13; 98-711, eff. 7-16-14; 99-143,
25eff. 7-27-15; 99-323, eff. 8-7-15; 99-642, eff. 7-28-16.)
 

 

 

SB1400- 25 -LRB100 08265 MJP 18366 b

1    Section 10. The Mental Health and Developmental
2Disabilities Administrative Act is amended by changing Section
37.3 as follows:
 
4    (20 ILCS 1705/7.3)
5    Sec. 7.3. Health Care Worker Registry care worker registry;
6finding of abuse or neglect. The Department shall require that
7no facility, service agency, or support agency providing mental
8health or developmental disability services that is licensed,
9certified, operated, or funded by the Department shall employ a
10person, in any capacity, who is identified by the Health Care
11Worker Registry health care worker registry as having been
12subject of a substantiated finding of abuse or neglect of a
13service recipient. Any owner or operator of a community agency
14who is identified by the Health Care Worker Registry health
15care worker registry as having been the subject of a
16substantiated finding of abuse or neglect of a service
17recipient is prohibited from any involvement in any capacity
18with the provision of Department funded mental health or
19developmental disability services. The Department shall
20establish and maintain the rules that are necessary or
21appropriate to effectuate the intent of this Section. The
22provisions of this Section shall not apply to any facility,
23service agency, or support agency licensed or certified by a
24State agency other than the Department, unless operated by the
25Department of Human Services.

 

 

SB1400- 26 -LRB100 08265 MJP 18366 b

1(Source: P.A. 94-934, eff. 6-26-06; 95-545, eff. 8-28-07.)
 
2    Section 15. The Nursing Home Care Act is amended by
3changing Sections 3-206 and 3-206.01 as follows:
 
4    (210 ILCS 45/3-206)  (from Ch. 111 1/2, par. 4153-206)
5    Sec. 3-206. The Department shall prescribe a curriculum for
6training nursing assistants, habilitation aides, and child
7care aides.
8    (a) No person, except a volunteer who receives no
9compensation from a facility and is not included for the
10purpose of meeting any staffing requirements set forth by the
11Department, shall act as a nursing assistant, habilitation
12aide, or child care aide in a facility, nor shall any person,
13under any other title, not licensed, certified, or registered
14to render medical care by the Department of Professional
15Regulation, assist with the personal, medical, or nursing care
16of residents in a facility, unless such person meets the
17following requirements:
18        (1) Be at least 16 years of age, of temperate habits
19    and good moral character, honest, reliable and
20    trustworthy.
21        (2) Be able to speak and understand the English
22    language or a language understood by a substantial
23    percentage of the facility's residents.
24        (3) Provide evidence of employment or occupation, if

 

 

SB1400- 27 -LRB100 08265 MJP 18366 b

1    any, and residence for 2 years prior to his present
2    employment.
3        (4) Have completed at least 8 years of grade school or
4    provide proof of equivalent knowledge.
5        (5) Begin a current course of training for nursing
6    assistants, habilitation aides, or child care aides,
7    approved by the Department, within 45 days of initial
8    employment in the capacity of a nursing assistant,
9    habilitation aide, or child care aide at any facility. Such
10    courses of training shall be successfully completed within
11    120 days of initial employment in the capacity of nursing
12    assistant, habilitation aide, or child care aide at a
13    facility. Nursing assistants, habilitation aides, and
14    child care aides who are enrolled in approved courses in
15    community colleges or other educational institutions on a
16    term, semester or trimester basis, shall be exempt from the
17    120 day completion time limit. The Department shall adopt
18    rules for such courses of training. These rules shall
19    include procedures for facilities to carry on an approved
20    course of training within the facility.
21        The Department may accept comparable training in lieu
22    of the 120 hour course for student nurses, foreign nurses,
23    military personnel, or employes of the Department of Human
24    Services.
25        The facility shall develop and implement procedures,
26    which shall be approved by the Department, for an ongoing

 

 

SB1400- 28 -LRB100 08265 MJP 18366 b

1    review process, which shall take place within the facility,
2    for nursing assistants, habilitation aides, and child care
3    aides.
4        At the time of each regularly scheduled licensure
5    survey, or at the time of a complaint investigation, the
6    Department may require any nursing assistant, habilitation
7    aide, or child care aide to demonstrate, either through
8    written examination or action, or both, sufficient
9    knowledge in all areas of required training. If such
10    knowledge is inadequate the Department shall require the
11    nursing assistant, habilitation aide, or child care aide to
12    complete inservice training and review in the facility
13    until the nursing assistant, habilitation aide, or child
14    care aide demonstrates to the Department, either through
15    written examination or action, or both, sufficient
16    knowledge in all areas of required training.
17        (6) Be familiar with and have general skills related to
18    resident care.
19    (a-0.5) An educational entity, other than a secondary
20school, conducting a nursing assistant, habilitation aide, or
21child care aide training program shall initiate a criminal
22history record check in accordance with the Health Care Worker
23Background Check Act prior to entry of an individual into the
24training program. A secondary school may initiate a criminal
25history record check in accordance with the Health Care Worker
26Background Check Act at any time during or after a training

 

 

SB1400- 29 -LRB100 08265 MJP 18366 b

1program.
2    (a-1) Nursing assistants, habilitation aides, or child
3care aides seeking to be included on the Health Care Worker
4Registry under the Health Care Worker Background Check Act
5registry maintained under Section 3-206.01 on or after January
61, 1996 must authorize the Department of Public Health or its
7designee to request a criminal history record check in
8accordance with the Health Care Worker Background Check Act and
9submit all necessary information. An individual may not newly
10be included on the Health Care Worker Registry registry unless
11a criminal history record check has been conducted with respect
12to the individual.
13    (b) Persons subject to this Section shall perform their
14duties under the supervision of a licensed nurse.
15    (c) It is unlawful for any facility to employ any person in
16the capacity of nursing assistant, habilitation aide, or child
17care aide, or under any other title, not licensed by the State
18of Illinois to assist in the personal, medical, or nursing care
19of residents in such facility unless such person has complied
20with this Section.
21    (d) Proof of compliance by each employee with the
22requirements set out in this Section shall be maintained for
23each such employee by each facility in the individual personnel
24folder of the employee. Proof of training shall be obtained
25only from the Health Care Worker Registry health care worker
26registry.

 

 

SB1400- 30 -LRB100 08265 MJP 18366 b

1    (e) Each facility shall obtain access to the Health Care
2Worker Registry's health care worker registry's web
3application, maintain the employment and demographic
4information relating to each employee, and verify by the
5category and type of employment that each employee subject to
6this Section meets all the requirements of this Section.
7    (f) Any facility that is operated under Section 3-803 shall
8be exempt from the requirements of this Section.
9    (g) Each skilled nursing and intermediate care facility
10that admits persons who are diagnosed as having Alzheimer's
11disease or related dementias shall require all nursing
12assistants, habilitation aides, or child care aides, who did
13not receive 12 hours of training in the care and treatment of
14such residents during the training required under paragraph (5)
15of subsection (a), to obtain 12 hours of in-house training in
16the care and treatment of such residents. If the facility does
17not provide the training in-house, the training shall be
18obtained from other facilities, community colleges or other
19educational institutions that have a recognized course for such
20training. The Department shall, by rule, establish a recognized
21course for such training. The Department's rules shall provide
22that such training may be conducted in-house at each facility
23subject to the requirements of this subsection, in which case
24such training shall be monitored by the Department.
25    The Department's rules shall also provide for
26circumstances and procedures whereby any person who has

 

 

SB1400- 31 -LRB100 08265 MJP 18366 b

1received training that meets the requirements of this
2subsection shall not be required to undergo additional training
3if he or she is transferred to or obtains employment at a
4different facility or a facility other than a long-term care
5facility but remains continuously employed for pay as a nursing
6assistant, habilitation aide, or child care aide. Individuals
7who have performed no nursing or nursing-related services for a
8period of 24 consecutive months shall be listed as "inactive"
9and as such do not meet the requirements of this Section.
10Licensed sheltered care facilities shall be exempt from the
11requirements of this Section.
12(Source: P.A. 96-1372, eff. 7-29-10.)
 
13    (210 ILCS 45/3-206.01)  (from Ch. 111 1/2, par. 4153-206.01)
14    Sec. 3-206.01. Health Care Worker Registry care worker
15registry.
16    (a) The Department shall establish and maintain a Health
17Care Worker Registry accessible by health care employers, as
18defined in the Health Care Worker Background Check Act, that
19includes background check and training information of all
20individuals who (i) have satisfactorily completed the training
21required by Section 3-206, (ii) have begun a current course of
22training as set forth in Section 3-206, or (iii) are otherwise
23acting as a nursing assistant, habilitation aide, home health
24aide, psychiatric services rehabilitation aide, or child care
25aide. Any individual placed on the registry is required to

 

 

SB1400- 32 -LRB100 08265 MJP 18366 b

1inform the Department of any change of address within 30 days.
2A facility shall not employ an individual as a nursing
3assistant, habilitation aide, home health aide, psychiatric
4services rehabilitation aide, or child care aide, or newly
5hired as an individual who may have access to a resident, a
6resident's living quarters, or a resident's personal,
7financial, or medical records, unless the facility has inquired
8of the Department's Health Care Worker Registry and the
9individual is listed on the Health Care Worker Registry as
10eligible to work for a health care employer health care worker
11registry as to information in the registry concerning the
12individual. The facility shall not employ an individual as a
13nursing assistant, habilitation aide, or child care aide if
14that individual is not on the Health Care Worker Registry
15registry unless the individual is enrolled in a training
16program under paragraph (5) of subsection (a) of Section 3-206
17of this Act. The Department may also maintain a publicly
18accessible registry.
19    (a-5) The Health Care Worker Registry registry maintained
20by the Department exclusive to health care employers, as
21defined in the Health Care Worker Background Check Act, shall
22clearly indicate whether an applicant or employee is eligible
23for employment and shall include the following:
24        (1) information about the individual, including the
25    individual's name, his or her current address, Social
26    Security number, the date and location of the training

 

 

SB1400- 33 -LRB100 08265 MJP 18366 b

1    course completed by the individual, whether the individual
2    has any of the disqualifying convictions listed in Section
3    25 of the Health Care Worker Background Check Act from the
4    date of the individual's last criminal record check,
5    whether the individual has a waiver pending under Section
6    40 of the Health Care Worker Background Check Act, and
7    whether the individual has received a waiver under Section
8    40 of that Act;
9        (2) the following language:
10            "A waiver granted by the Department of Public
11        Health is a determination that the applicant or
12        employee is eligible to work in a health care facility.
13        The Equal Employment Opportunity Commission provides
14        guidance about federal law regarding hiring of
15        individuals with criminal records."; and
16        (3) a link to Equal Employment Opportunity Commission
17    guidance regarding hiring of individuals with criminal
18    records.
19    (a-10) After January 1, 2017, the publicly accessible
20registry maintained by the Department shall report that an
21individual is ineligible to work if he or she has a
22disqualifying offense under Section 25 of the Health Care
23Worker Background Check Act and has not received a waiver under
24Section 40 of that Act. If an applicant or employee has
25received a waiver for one or more disqualifying offenses under
26Section 40 of the Health Care Worker Background Check Act and

 

 

SB1400- 34 -LRB100 08265 MJP 18366 b

1he or she is otherwise eligible to work, the Department of
2Public Health shall report on the public registry that the
3applicant or employee is eligible to work. The Department,
4however, shall not report information regarding the waiver on
5the public registry.
6    (a-15) (Blank). If the Department finds that a nursing
7assistant, habilitation aide, home health aide, psychiatric
8services rehabilitation aide, or child care aide, or an
9unlicensed individual, has abused or neglected a resident or an
10individual under his or her care or misappropriated property of
11a resident or an individual under his or her care, the
12Department shall notify the individual of this finding by
13certified mail sent to the address contained in the registry.
14The notice shall give the individual an opportunity to contest
15the finding in a hearing before the Department or to submit a
16written response to the findings in lieu of requesting a
17hearing. If, after a hearing or if the individual does not
18request a hearing, the Department finds that the individual
19abused a resident, neglected a resident, or misappropriated
20resident property in a facility, the finding shall be included
21as part of the registry as well as a clear and accurate summary
22from the individual, if he or she chooses to make such a
23statement. The Department shall make the following information
24in the registry available to the public: an individual's full
25name; the date an individual successfully completed a nurse
26aide training or competency evaluation; and whether the

 

 

SB1400- 35 -LRB100 08265 MJP 18366 b

1Department has made a finding that an individual has been
2guilty of abuse or neglect of a resident or misappropriation of
3resident property. In the case of inquiries to the registry
4concerning an individual listed in the registry, any
5information disclosed concerning such a finding shall also
6include disclosure of the individual's statement in the
7registry relating to the finding or a clear and accurate
8summary of the statement.
9    (b) (Blank). The Department shall add to the health care
10worker registry records of findings as reported by the
11Inspector General or remove from the health care worker
12registry records of findings as reported by the Department of
13Human Services, under subsection (s) of Section 1-17 of the
14Department of Human Services Act.
15(Source: P.A. 99-78, eff. 7-20-15; 99-872, eff. 1-1-17.)
 
16    (210 ILCS 45/3-206.02 rep.)
17    Section 20. The Nursing Home Care Act is amended by
18repealing Section 3-206.02.
 
19    Section 25. The MC/DD Act is amended by changing Sections
203-206 and 3-206.01 as follows:
 
21    (210 ILCS 46/3-206)
22    Sec. 3-206. Curriculum for training nursing assistants and
23aides. The Department shall prescribe a curriculum for training

 

 

SB1400- 36 -LRB100 08265 MJP 18366 b

1nursing assistants, habilitation aides, and child care aides.
2    (a) No person, except a volunteer who receives no
3compensation from a facility and is not included for the
4purpose of meeting any staffing requirements set forth by the
5Department, shall act as a nursing assistant, habilitation
6aide, or child care aide in a facility, nor shall any person,
7under any other title, not licensed, certified, or registered
8to render medical care by the Department of Financial and
9Professional Regulation, assist with the personal, medical, or
10nursing care of residents in a facility, unless such person
11meets the following requirements:
12        (1) Be at least 16 years of age, of temperate habits
13    and good moral character, honest, reliable and
14    trustworthy.
15        (2) Be able to speak and understand the English
16    language or a language understood by a substantial
17    percentage of the facility's residents.
18        (3) Provide evidence of employment or occupation, if
19    any, and residence for 2 years prior to his or her present
20    employment.
21        (4) Have completed at least 8 years of grade school or
22    provide proof of equivalent knowledge.
23        (5) Begin a current course of training for nursing
24    assistants, habilitation aides, or child care aides,
25    approved by the Department, within 45 days of initial
26    employment in the capacity of a nursing assistant,

 

 

SB1400- 37 -LRB100 08265 MJP 18366 b

1    habilitation aide, or child care aide at any facility. Such
2    courses of training shall be successfully completed within
3    120 days of initial employment in the capacity of nursing
4    assistant, habilitation aide, or child care aide at a
5    facility. Nursing assistants, habilitation aides, and
6    child care aides who are enrolled in approved courses in
7    community colleges or other educational institutions on a
8    term, semester or trimester basis, shall be exempt from the
9    120-day completion time limit. The Department shall adopt
10    rules for such courses of training. These rules shall
11    include procedures for facilities to carry on an approved
12    course of training within the facility.
13        The Department may accept comparable training in lieu
14    of the 120-hour course for student nurses, foreign nurses,
15    military personnel, or employees of the Department of Human
16    Services.
17        The facility shall develop and implement procedures,
18    which shall be approved by the Department, for an ongoing
19    review process, which shall take place within the facility,
20    for nursing assistants, habilitation aides, and child care
21    aides.
22        At the time of each regularly scheduled licensure
23    survey, or at the time of a complaint investigation, the
24    Department may require any nursing assistant, habilitation
25    aide, or child care aide to demonstrate, either through
26    written examination or action, or both, sufficient

 

 

SB1400- 38 -LRB100 08265 MJP 18366 b

1    knowledge in all areas of required training. If such
2    knowledge is inadequate the Department shall require the
3    nursing assistant, habilitation aide, or child care aide to
4    complete inservice training and review in the facility
5    until the nursing assistant, habilitation aide, or child
6    care aide demonstrates to the Department, either through
7    written examination or action, or both, sufficient
8    knowledge in all areas of required training; and
9        (6) Be familiar with and have general skills related to
10    resident care.
11    (a-0.5) An educational entity, other than a secondary
12school, conducting a nursing assistant, habilitation aide, or
13child care aide training program shall initiate a criminal
14history record check in accordance with the Health Care Worker
15Background Check Act prior to entry of an individual into the
16training program. A secondary school may initiate a criminal
17history record check in accordance with the Health Care Worker
18Background Check Act at any time during or after a training
19program.
20    (a-1) Nursing assistants, habilitation aides, or child
21care aides seeking to be included on the Health Care Worker
22Registry under the Health Care Worker Background Check Act
23registry maintained under Section 3-206.01 of this Act must
24authorize the Department of Public Health or its designee to
25request a criminal history record check in accordance with the
26Health Care Worker Background Check Act and submit all

 

 

SB1400- 39 -LRB100 08265 MJP 18366 b

1necessary information. An individual may not newly be included
2on the Health Care Worker Registry registry unless a criminal
3history record check has been conducted with respect to the
4individual.
5    (b) Persons subject to this Section shall perform their
6duties under the supervision of a licensed nurse or other
7appropriately trained, licensed, or certified personnel.
8    (c) It is unlawful for any facility to employ any person in
9the capacity of nursing assistant, habilitation aide, or child
10care aide, or under any other title, not licensed by the State
11of Illinois to assist in the personal, medical, or nursing care
12of residents in such facility unless such person has complied
13with this Section.
14    (d) Proof of compliance by each employee with the
15requirements set out in this Section shall be maintained for
16each such employee by each facility in the individual personnel
17folder of the employee. Proof of training shall be obtained
18only from the Health Care Worker Registry health care worker
19registry.
20    (e) Each facility shall obtain access to the Health Care
21Worker Registry's health care worker registry's web
22application, maintain the employment and demographic
23information relating to each employee, and verify by the
24category and type of employment that each employee subject to
25this Section meets all the requirements of this Section.
26    (f) Any facility that is operated under Section 3-803 shall

 

 

SB1400- 40 -LRB100 08265 MJP 18366 b

1be exempt from the requirements of this Section.
2    (g) Each skilled nursing and intermediate care facility
3that admits persons who are diagnosed as having Alzheimer's
4disease or related dementias shall require all nursing
5assistants, habilitation aides, or child care aides, who did
6not receive 12 hours of training in the care and treatment of
7such residents during the training required under paragraph (5)
8of subsection (a), to obtain 12 hours of in house training in
9the care and treatment of such residents. If the facility does
10not provide the training in house, the training shall be
11obtained from other facilities, community colleges or other
12educational institutions that have a recognized course for such
13training. The Department shall, by rule, establish a recognized
14course for such training.
15    The Department's rules shall provide that such training may
16be conducted in house at each facility subject to the
17requirements of this subsection, in which case such training
18shall be monitored by the Department. The Department's rules
19shall also provide for circumstances and procedures whereby any
20person who has received training that meets the requirements of
21this subsection shall not be required to undergo additional
22training if he or she is transferred to or obtains employment
23at a different facility or a facility other than those licensed
24under this Act but remains continuously employed as a nursing
25assistant, habilitation aide, or child care aide. Individuals
26who have performed no nursing, nursing-related services, or

 

 

SB1400- 41 -LRB100 08265 MJP 18366 b

1habilitation services for a period of 24 consecutive months
2shall be listed as inactive and as such do not meet the
3requirements of this Section. Licensed sheltered care
4facilities shall be exempt from the requirements of this
5Section.
6(Source: P.A. 99-180, eff. 7-29-15.)
 
7    (210 ILCS 46/3-206.01)
8    Sec. 3-206.01. Health Care Worker Registry care worker
9registry.
10    (a) The Department shall establish and maintain a registry
11of all individuals who (i) have satisfactorily completed the
12training required by Section 3-206, (ii) have begun a current
13course of training as set forth in Section 3-206, or (iii) are
14otherwise acting as a nursing assistant, habilitation aide,
15home health aide, or child care aide. The registry shall
16include the individual's name, his or her current address,
17Social Security number, and whether the individual has any of
18the disqualifying convictions listed in Section 25 of the
19Health Care Worker Background Check Act from the date and
20location of the training course completed by the individual,
21and the date of the individual's last criminal records check.
22Any individual placed on the registry is required to inform the
23Department of any change of address within 30 days. A facility
24shall not employ an individual as a nursing assistant,
25habilitation aide, home health aide, or child care aide, or

 

 

SB1400- 42 -LRB100 08265 MJP 18366 b

1newly hired as an individual who may have access to a resident,
2a resident's living quarters, or a resident's personal,
3financial, or medical records, unless the facility has checked
4inquired of the Department's Health Care Worker Registry and
5the individual is listed on the Health Care Worker Registry as
6eligible to work for a health care employer health care worker
7registry as to information in the registry concerning the
8individual. The facility shall not employ an individual as a
9nursing assistant, habilitation aide, or child care aide if
10that individual is not on the Health Care Worker Registry
11registry unless the individual is enrolled in a training
12program under paragraph (5) of subsection (a) of Section 3-206
13of this Act.
14    If the Department finds that a nursing assistant,
15habilitation aide, home health aide, child care aide, or an
16unlicensed individual, has abused or neglected a resident or an
17individual under his or her care, or misappropriated property
18of a resident or an individual under his or her care in a
19facility, the Department shall notify the individual of this
20finding by certified mail sent to the address contained in the
21registry. The notice shall give the individual an opportunity
22to contest the finding in a hearing before the Department or to
23submit a written response to the findings in lieu of requesting
24a hearing. If, after a hearing or if the individual does not
25request a hearing, the Department finds that the individual
26abused a resident, neglected a resident, or misappropriated

 

 

SB1400- 43 -LRB100 08265 MJP 18366 b

1resident property in a facility, the finding shall be included
2as part of the registry as well as a clear and accurate summary
3statement from the individual, if he or she chooses to make
4such a statement. The Department shall make the following
5information in the registry available to the public: an
6individual's full name; the date an individual successfully
7completed a nurse aide training or competency evaluation; and
8whether the Department has made a finding that an individual
9has been guilty of abuse or neglect of a resident or
10misappropriation of resident's property. In the case of
11inquiries to the registry concerning an individual listed in
12the registry, any information disclosed concerning such a
13finding shall also include disclosure of the individual's
14statement in the registry relating to the finding or a clear
15and accurate summary of the statement.
16    (b) (Blank). The Department shall add to the health care
17worker registry records of findings as reported by the
18Inspector General or remove from the health care worker
19registry records of findings as reported by the Department of
20Human Services, under subsection (s) of Section 1-17 of the
21Department of Human Services Act.
22(Source: P.A. 99-180, eff. 7-29-15.)
 
23    (210 ILCS 46/3-206.02 rep.)
24    Section 30. The MC/DD Act is amended by repealing Section
253-206.02.
 

 

 

SB1400- 44 -LRB100 08265 MJP 18366 b

1    Section 35. The ID/DD Community Care Act is amended by
2changing Sections 3-206 and 3-206.01 as follows:
 
3    (210 ILCS 47/3-206)
4    Sec. 3-206. Curriculum for training nursing assistants and
5aides. The Department shall prescribe a curriculum for training
6nursing assistants, habilitation aides, and child care aides.
7    (a) No person, except a volunteer who receives no
8compensation from a facility and is not included for the
9purpose of meeting any staffing requirements set forth by the
10Department, shall act as a nursing assistant, habilitation
11aide, or child care aide in a facility, nor shall any person,
12under any other title, not licensed, certified, or registered
13to render medical care by the Department of Financial and
14Professional Regulation, assist with the personal, medical, or
15nursing care of residents in a facility, unless such person
16meets the following requirements:
17        (1) Be at least 16 years of age, of temperate habits
18    and good moral character, honest, reliable and
19    trustworthy.
20        (2) Be able to speak and understand the English
21    language or a language understood by a substantial
22    percentage of the facility's residents.
23        (3) Provide evidence of employment or occupation, if
24    any, and residence for 2 years prior to his or her present

 

 

SB1400- 45 -LRB100 08265 MJP 18366 b

1    employment.
2        (4) Have completed at least 8 years of grade school or
3    provide proof of equivalent knowledge.
4        (5) Begin a current course of training for nursing
5    assistants, habilitation aides, or child care aides,
6    approved by the Department, within 45 days of initial
7    employment in the capacity of a nursing assistant,
8    habilitation aide, or child care aide at any facility. Such
9    courses of training shall be successfully completed within
10    120 days of initial employment in the capacity of nursing
11    assistant, habilitation aide, or child care aide at a
12    facility. Nursing assistants, habilitation aides, and
13    child care aides who are enrolled in approved courses in
14    community colleges or other educational institutions on a
15    term, semester or trimester basis, shall be exempt from the
16    120-day completion time limit. The Department shall adopt
17    rules for such courses of training. These rules shall
18    include procedures for facilities to carry on an approved
19    course of training within the facility.
20        The Department may accept comparable training in lieu
21    of the 120-hour course for student nurses, foreign nurses,
22    military personnel, or employees of the Department of Human
23    Services.
24        The facility shall develop and implement procedures,
25    which shall be approved by the Department, for an ongoing
26    review process, which shall take place within the facility,

 

 

SB1400- 46 -LRB100 08265 MJP 18366 b

1    for nursing assistants, habilitation aides, and child care
2    aides.
3        At the time of each regularly scheduled licensure
4    survey, or at the time of a complaint investigation, the
5    Department may require any nursing assistant, habilitation
6    aide, or child care aide to demonstrate, either through
7    written examination or action, or both, sufficient
8    knowledge in all areas of required training. If such
9    knowledge is inadequate the Department shall require the
10    nursing assistant, habilitation aide, or child care aide to
11    complete inservice training and review in the facility
12    until the nursing assistant, habilitation aide, or child
13    care aide demonstrates to the Department, either through
14    written examination or action, or both, sufficient
15    knowledge in all areas of required training; and
16        (6) Be familiar with and have general skills related to
17    resident care.
18    (a-0.5) An educational entity, other than a secondary
19school, conducting a nursing assistant, habilitation aide, or
20child care aide training program shall initiate a criminal
21history record check in accordance with the Health Care Worker
22Background Check Act prior to entry of an individual into the
23training program. A secondary school may initiate a criminal
24history record check in accordance with the Health Care Worker
25Background Check Act at any time during or after a training
26program.

 

 

SB1400- 47 -LRB100 08265 MJP 18366 b

1    (a-1) Nursing assistants, habilitation aides, or child
2care aides seeking to be included on the Health Care Worker
3Registry under the Health Care Worker Background Check Act
4registry maintained under Section 3-206.01 of this Act must
5authorize the Department of Public Health or its designee to
6request a criminal history record check in accordance with the
7Health Care Worker Background Check Act and submit all
8necessary information. An individual may not newly be included
9on the Health Care Worker Registry registry unless a criminal
10history record check has been conducted with respect to the
11individual.
12    (b) Persons subject to this Section shall perform their
13duties under the supervision of a licensed nurse or other
14appropriately trained, licensed, or certified personnel.
15    (c) It is unlawful for any facility to employ any person in
16the capacity of nursing assistant, habilitation aide, or child
17care aide, or under any other title, not licensed by the State
18of Illinois to assist in the personal, medical, or nursing care
19of residents in such facility unless such person has complied
20with this Section.
21    (d) Proof of compliance by each employee with the
22requirements set out in this Section shall be maintained for
23each such employee by each facility in the individual personnel
24folder of the employee. Proof of training shall be obtained
25only from the Health Care Worker Registry health care worker
26registry.

 

 

SB1400- 48 -LRB100 08265 MJP 18366 b

1    (e) Each facility shall obtain access to the Health Care
2Worker Registry's health care worker registry's web
3application, maintain the employment and demographic
4information relating to each employee, and verify by the
5category and type of employment that each employee subject to
6this Section meets all the requirements of this Section.
7    (f) Any facility that is operated under Section 3-803 shall
8be exempt from the requirements of this Section.
9    (g) Each skilled nursing and intermediate care facility
10that admits persons who are diagnosed as having Alzheimer's
11disease or related dementias shall require all nursing
12assistants, habilitation aides, or child care aides, who did
13not receive 12 hours of training in the care and treatment of
14such residents during the training required under paragraph (5)
15of subsection (a), to obtain 12 hours of in house training in
16the care and treatment of such residents. If the facility does
17not provide the training in house, the training shall be
18obtained from other facilities, community colleges or other
19educational institutions that have a recognized course for such
20training. The Department shall, by rule, establish a recognized
21course for such training.
22    The Department's rules shall provide that such training may
23be conducted in house at each facility subject to the
24requirements of this subsection, in which case such training
25shall be monitored by the Department. The Department's rules
26shall also provide for circumstances and procedures whereby any

 

 

SB1400- 49 -LRB100 08265 MJP 18366 b

1person who has received training that meets the requirements of
2this subsection shall not be required to undergo additional
3training if he or she is transferred to or obtains employment
4at a different facility or a facility other than those licensed
5under this Act but remains continuously employed as a nursing
6assistant, habilitation aide, or child care aide. Individuals
7who have performed no nursing, nursing-related services, or
8habilitation services for a period of 24 consecutive months
9shall be listed as inactive and as such do not meet the
10requirements of this Section. Licensed sheltered care
11facilities shall be exempt from the requirements of this
12Section.
13(Source: P.A. 96-339, eff. 7-1-10; 97-38, eff. 6-28-11.)
 
14    (210 ILCS 47/3-206.01)
15    Sec. 3-206.01. Health Care Worker Registry care worker
16registry.
17    (a) The Department shall establish and maintain a registry
18of all individuals who (i) have satisfactorily completed the
19training required by Section 3-206, (ii) have begun a current
20course of training as set forth in Section 3-206, or (iii) are
21otherwise acting as a nursing assistant, habilitation aide,
22home health aide, or child care aide. The registry shall
23include the individual's name, his or her current address,
24Social Security number, and whether the individual has any of
25the disqualifying convictions listed in Section 25 of the

 

 

SB1400- 50 -LRB100 08265 MJP 18366 b

1Health Care Worker Background Check Act from the date and
2location of the training course completed by the individual,
3and the date of the individual's last criminal records check.
4Any individual placed on the registry is required to inform the
5Department of any change of address within 30 days. A facility
6shall not employ an individual as a nursing assistant,
7habilitation aide, home health aide, or child care aide, or
8newly hired as an individual who may have access to a resident,
9a resident's living quarters, or a resident's personal,
10financial, or medical records, unless the facility has checked
11inquired of the Department's Health Care Worker Registry and
12the individual is listed on the Health Care Worker Registry as
13eligible to work for a health care employer health care worker
14registry as to information in the registry concerning the
15individual. The facility shall not employ an individual as a
16nursing assistant, habilitation aide, or child care aide if
17that individual is not on the Health Care Worker Registry
18registry unless the individual is enrolled in a training
19program under paragraph (5) of subsection (a) of Section 3-206
20of this Act.
21    If the Department finds that a nursing assistant,
22habilitation aide, home health aide, child care aide, or an
23unlicensed individual, has abused or neglected a resident or an
24individual under his or her care, or misappropriated property
25of a resident or an individual under his or her care in a
26facility, the Department shall notify the individual of this

 

 

SB1400- 51 -LRB100 08265 MJP 18366 b

1finding by certified mail sent to the address contained in the
2registry. The notice shall give the individual an opportunity
3to contest the finding in a hearing before the Department or to
4submit a written response to the findings in lieu of requesting
5a hearing. If, after a hearing or if the individual does not
6request a hearing, the Department finds that the individual
7abused a resident, neglected a resident, or misappropriated
8resident property in a facility, the finding shall be included
9as part of the registry as well as a clear and accurate summary
10statement from the individual, if he or she chooses to make
11such a statement. The Department shall make the following
12information in the registry available to the public: an
13individual's full name; the date an individual successfully
14completed a nurse aide training or competency evaluation; and
15whether the Department has made a finding that an individual
16has been guilty of abuse or neglect of a resident or
17misappropriation of resident's property. In the case of
18inquiries to the registry concerning an individual listed in
19the registry, any information disclosed concerning such a
20finding shall also include disclosure of the individual's
21statement in the registry relating to the finding or a clear
22and accurate summary of the statement.
23    (b) (Blank). The Department shall add to the health care
24worker registry records of findings as reported by the
25Inspector General or remove from the health care worker
26registry records of findings as reported by the Department of

 

 

SB1400- 52 -LRB100 08265 MJP 18366 b

1Human Services, under subsection (s) of Section 1-17 of the
2Department of Human Services Act.
3(Source: P.A. 99-78, eff. 7-20-15.)
 
4    (210 ILCS 47/3-206.02 rep.)
5    Section 40. The ID/DD Community Care Act is amended by
6repealing Section 3-206.02.
 
7    Section 45. The Health Care Worker Background Check Act is
8amended by changing Sections 15, 25, 33, and 40 and by adding
9Sections 26, 27, 28, and 75 as follows:
 
10    (225 ILCS 46/15)
11    Sec. 15. Definitions. In this Act:
12    "Abuse" means any conduct by an employee that is violent,
13cruel, insulting, disparaging, derogatory, humiliating,
14threatening, harassing, or offensive directly to a resident
15under the direct care of a health care employer, regardless of
16the resident's age, ability to comprehend, or disability or
17regardless of whether the resident was actually harmed by the
18conduct of the employee.
19    "Applicant" means an individual seeking employment,
20whether paid or on a volunteer basis, with a health care
21employer who has received a bona fide conditional offer of
22employment.
23    "Conditional offer of employment" means a bona fide offer

 

 

SB1400- 53 -LRB100 08265 MJP 18366 b

1of employment by a health care employer to an applicant, which
2is contingent upon the receipt of a report from the Department
3of Public Health indicating that the applicant does not have a
4record of conviction of any of the criminal offenses enumerated
5in Section 25.
6    "Department" means the Department of Public Health.
7    "Direct care" means the provision of nursing care or
8assistance with feeding, dressing, movement, bathing,
9toileting, or other personal needs, including home services as
10defined in the Home Health, Home Services, and Home Nursing
11Agency Licensing Act. The entity responsible for inspecting and
12licensing, certifying, or registering the health care employer
13may, by administrative rule, prescribe guidelines for
14interpreting this definition with regard to the health care
15employers that it licenses.
16    "Director" means the Director of Public Health.
17    "Disqualifying offenses" means those offenses set forth in
18Section 25 of this Act.
19    "Employee" means any individual hired, employed, or
20retained, whether paid or on a volunteer basis, to which this
21Act applies.
22    "Finding" means the Department's determination of whether
23an allegation is verified and substantiated.
24    "Fingerprint-based criminal history records check" means a
25livescan fingerprint-based criminal history records check
26submitted as a fee applicant inquiry in the form and manner

 

 

SB1400- 54 -LRB100 08265 MJP 18366 b

1prescribed by the Department of State Police.
2    "Health care employer" means:
3        (1) the owner or licensee of any of the following:
4            (i) a community living facility, as defined in the
5        Community Living Facilities Act;
6            (ii) a life care facility, as defined in the Life
7        Care Facilities Act;
8            (iii) a long-term care facility;
9            (iv) a home health agency, home services agency, or
10        home nursing agency as defined in the Home Health, Home
11        Services, and Home Nursing Agency Licensing Act;
12            (v) a hospice care program or volunteer hospice
13        program, as defined in the Hospice Program Licensing
14        Act;
15            (vi) a hospital, as defined in the Hospital
16        Licensing Act;
17            (vii) (blank);
18            (viii) a nurse agency, as defined in the Nurse
19        Agency Licensing Act;
20            (ix) a respite care provider, as defined in the
21        Respite Program Act;
22            (ix-a) an establishment licensed under the
23        Assisted Living and Shared Housing Act;
24            (x) a supportive living program, as defined in the
25        Illinois Public Aid Code;
26            (xi) early childhood intervention programs as

 

 

SB1400- 55 -LRB100 08265 MJP 18366 b

1        described in 59 Ill. Adm. Code 121;
2            (xii) the University of Illinois Hospital,
3        Chicago;
4            (xiii) programs funded by the Department on Aging
5        through the Community Care Program;
6            (xiv) programs certified to participate in the
7        Supportive Living Program authorized pursuant to
8        Section 5-5.01a of the Illinois Public Aid Code;
9            (xv) programs listed by the Emergency Medical
10        Services (EMS) Systems Act as Freestanding Emergency
11        Centers;
12            (xvi) locations licensed under the Alternative
13        Health Care Delivery Act;
14        (2) a day training program certified by the Department
15    of Human Services;
16        (3) a community integrated living arrangement operated
17    by a community mental health and developmental service
18    agency, as defined in the Community-Integrated Living
19    Arrangements Licensing and Certification Act; or
20        (4) the State Long Term Care Ombudsman Program,
21    including any regional long term care ombudsman programs
22    under Section 4.04 of the Illinois Act on the Aging, only
23    for the purpose of securing background checks.
24    "Initiate" means obtaining from a student, applicant, or
25employee his or her social security number, demographics, a
26disclosure statement, and an authorization for the Department

 

 

SB1400- 56 -LRB100 08265 MJP 18366 b

1of Public Health or its designee to request a fingerprint-based
2criminal history records check; transmitting this information
3electronically to the Department of Public Health; conducting
4Internet searches on certain web sites, including without
5limitation the Illinois Sex Offender Registry, the Department
6of Corrections' Sex Offender Search Engine, the Department of
7Corrections' Inmate Search Engine, the Department of
8Corrections Wanted Fugitives Search Engine, the National Sex
9Offender Public Registry, and the List of Excluded Individuals
10and Entities database on the website of the Health and Human
11Services Office of Inspector General to determine if the
12applicant has been adjudicated a sex offender, has been a
13prison inmate, or has committed Medicare or Medicaid fraud, or
14conducting similar searches as defined by rule; and having the
15student, applicant, or employee's fingerprints collected and
16transmitted electronically to the Department of State Police.
17    "Livescan vendor" means an entity whose equipment has been
18certified by the Department of State Police to collect an
19individual's demographics and inkless fingerprints and, in a
20manner prescribed by the Department of State Police and the
21Department of Public Health, electronically transmit the
22fingerprints and required data to the Department of State
23Police and a daily file of required data to the Department of
24Public Health. The Department of Public Health shall negotiate
25a contract with one or more vendors that effectively
26demonstrate that the vendor has 2 or more years of experience

 

 

SB1400- 57 -LRB100 08265 MJP 18366 b

1transmitting fingerprints electronically to the Department of
2State Police and that the vendor can successfully transmit the
3required data in a manner prescribed by the Department of
4Public Health. Vendor authorization may be further defined by
5administrative rule.
6    "Long-term care facility" means a facility licensed by the
7State or certified under federal law as a long-term care
8facility, including without limitation facilities licensed
9under the Nursing Home Care Act, the Specialized Mental Health
10Rehabilitation Act of 2013, the ID/DD Community Care Act, or
11the MC/DD Act, a supportive living facility, an assisted living
12establishment, or a shared housing establishment or registered
13as a board and care home.
14    "Misappropriation of property" means the deliberate
15misplacement, exploitation, or wrongful, temporary, or
16permanent use of a resident's belongings or money without the
17resident's consent.
18    "Neglect" means a failure to provide goods and services
19that may pose any risk of physical harm, mental anguish, or
20mental illness to a resident.
21    "Resident" means a person, individual, or patient under the
22direct care of a health care employer or who has been provided
23goods or services by a health care employer.
24(Source: P.A. 98-104, eff. 7-22-13; 99-180, eff. 7-29-15.)
 
25    (225 ILCS 46/25)

 

 

SB1400- 58 -LRB100 08265 MJP 18366 b

1    Sec. 25. Hiring of people with criminal records by health
2care employers and long-term care facilities.
3    (a) A health care employer or long-term care facility may
4hire, employ, or retain any individual in a position involving
5direct care for clients, patients, or residents, or access to
6the living quarters or the financial, medical, or personal
7records of clients, patients, or residents who has been
8convicted of committing or attempting to commit one or more of
9the following offenses only with a waiver described in Section
1040: those defined in Sections 8-1(b), 8-1.1, 8-1.2, 9-1, 9-1.2,
119-2, 9-2.1, 9-3, 9-3.1, 9-3.2, 9-3.3, 9-3.4, 10-1, 10-2, 10-3,
1210-3.1, 10-4, 10-5, 10-7, 11-1.20, 11-1.30, 11-1.40, 11-1.50,
1311-1.60, 11-6, 11-9.1, 11-9.2, 11-9.3, 11-9.4-1, 11-9.5,
1411-19.2, 11-20.1, 11-20.1B, 11-20.3, 12-1, 12-2, 12-3.05,
1512-3.1, 12-3.2, 12-3.3, 12-4, 12-4.1, 12-4.2, 12-4.3, 12-4.4,
1612-4.5, 12-4.6, 12-4.7, 12-7.4, 12-11, 12-13, 12-14, 12-14.1,
1712-15, 12-16, 12-19, 12-21, 12-21.5, 12-21.6, 12-32, 12-33,
1812C-5, 12C-10, 16-1, 16-1.3, 16-5, 16-16, 16-25, 16A-3, 17-3,
1917-56, 18-1, 18-2, 18-3, 18-4, 18-5, 19-1, 19-3, 19-4, 19-6,
2020-1, 20-1.1, 24-1, 24-1.2, 24-1.5, 24-1.8, or 33A-2, or
21subdivision (a)(4) of Section 11-14.4, or in subsection (a) of
22Section 12-3 or subsection (a) or (b) of Section 12-4.4a, of
23the Criminal Code of 1961 or the Criminal Code of 2012; those
24provided in Section 4 of the Wrongs to Children Act; those
25provided in Section 53 of the Criminal Jurisprudence Act; those
26defined in subsection (c), (d), (e), (f), or (g) of Section 5

 

 

SB1400- 59 -LRB100 08265 MJP 18366 b

1or Section 5.1, 5.2, 7, or 9 of the Cannabis Control Act; those
2defined in the Methamphetamine Control and Community
3Protection Act; or those defined in Sections 401, 401.1, 404,
4405, 405.1, 407, or 407.1 of the Illinois Controlled Substances
5Act; Sections 3.01 or 3.03 of the Humane Care for Animals Act;
6or Section 4 of the Narcotics Profit Forfeiture Act.
7    (a-1) A health care employer or long-term care facility may
8hire, employ, or retain any individual in a position involving
9direct care for clients, patients, or residents, or access to
10the living quarters or the financial, medical, or personal
11records of clients, patients, or residents who has been
12convicted of committing or attempting to commit one or more of
13the following offenses only with a waiver described in Section
1440: those offenses defined in Section 12-3.3, 12-4.2-5, 16-2,
1516-30, 16G-15, 16G-20, 17-33, 17-34, 17-36, 17-44, 18-5,
1620-1.2, 24-1.1, 24-1.2-5, 24-1.6, 24-3.2, or 24-3.3, or
17subsection (b) of Section 17-32, subsection (b) of Section
1818-1, or subsection (b) of Section 20-1, of the Criminal Code
19of 1961 or the Criminal Code of 2012; Section 4, 5, 6, 8, or
2017.02 of the Illinois Credit Card and Debit Card Act; or
21Section 11-9.1A of the Criminal Code of 1961 or the Criminal
22Code of 2012 or Section 5.1 of the Wrongs to Children Act; or
23(ii) violated Section 50-50 of the Nurse Practice Act.
24    A health care employer is not required to retain an
25individual in a position with duties involving direct care for
26clients, patients, or residents, and no long-term care facility

 

 

SB1400- 60 -LRB100 08265 MJP 18366 b

1is required to retain an individual in a position with duties
2that involve or may involve contact with residents or access to
3the living quarters or the financial, medical, or personal
4records of residents, who has been convicted of committing or
5attempting to commit one or more of the offenses enumerated in
6this subsection.
7    (b) A health care employer shall not hire, employ, or
8retain, whether paid or on a volunteer basis, any individual in
9a position with duties involving direct care of clients,
10patients, or residents, and no long-term care facility shall
11knowingly hire, employ, or retain, whether paid or on a
12volunteer basis, any individual in a position with duties that
13involve or may involve contact with residents or access to the
14living quarters or the financial, medical, or personal records
15of residents, if the health care employer becomes aware that
16the individual has been convicted in another state of
17committing or attempting to commit an offense that has the same
18or similar elements as an offense listed in subsection (a) or
19(a-1), as verified by court records, records from a state
20agency, or an FBI criminal history record check, unless the
21applicant or employee obtains a waiver pursuant to Section 40
22of this Act. This shall not be construed to mean that a health
23care employer has an obligation to conduct a criminal history
24records check in other states in which an employee has resided.
25    (c) A health care employer shall not hire, employ, or
26retain, whether paid or on a volunteer basis, any individual in

 

 

SB1400- 61 -LRB100 08265 MJP 18366 b

1a position with duties involving direct care of clients,
2patients, or residents, who has a finding by the Department of
3abuse, neglect, misappropriation of property or theft or any
4other applicable finding set forth by rule that is denoted on
5the Health Care Worker Registry.
6    (d) A health care employer shall not hire, employ, or
7retain, whether paid or on a volunteer basis, any individual in
8a position with duties involving direct care of clients,
9patients, or residents if the individual has a verified and
10substantiated finding of abuse, neglect, or financial
11exploitation, as identified within the Adult Protective
12Service Registry established under Section 7.5 of the Adult
13Protective Services Act.
14(Source: P.A. 99-872, eff. 1-1-17.)
 
15    (225 ILCS 46/26 new)
16    Sec. 26. Health Care Worker Registry. The Department shall
17establish and maintain the Health Care Worker Registry, a
18registry of all individuals who (i) have satisfactorily
19completed the training required by Section 3-206 of the Nursing
20Home Care Act, Section 3-206 of the MC/DD Act, or Section 3-206
21of the ID/DD Community Care Act, (ii) have begun a current
22course of training as set forth in Section 3-206 of the Nursing
23Home Care Act, Section 3-206 of the MC/DD Act, or Section 3-206
24of the ID/DD Community Care Act, or (iii) are otherwise acting
25as a nursing assistant, habilitation aide, home health aide, or

 

 

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1child care aide. The Health Care Worker Registry shall include
2the individual's name, current address, and Social Security
3number, the date and location of the training course completed
4by the individual, whether the individual has any of the
5disqualifying convictions listed in Section 25 of the Health
6Care Worker Background Check Act from the date of the training
7course completed by the individual, and the date of the
8individual's last criminal records check. Any individual
9placed on the Health Care Worker Registry is required to inform
10the Department of any change of address within 30 days after
11the effective date of the change of address.
12    The Department shall include in the Health Care Worker
13Registry established under this Section the information
14contained in the registries established under Section 3-206.01
15of the Nursing Home Care Act, Section 3-206.01 of the MC/DD
16Act, and Section 3-206.01 of the ID/DD Community Care Act.
 
17    (225 ILCS 46/27 new)
18    Sec. 27. Notice and hearing prior to designation on Health
19Care Worker Registry for offense.
20    (a) If the Department finds that an employee or former
21employee has abused or neglected a resident, misappropriated
22property of a resident, or makes any other applicable finding
23as set forth by rule, the Department shall notify the employee
24or individual of this finding by certified mail sent to the
25address contained in the Health Care Worker Registry. The

 

 

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1notice shall give the employee or individual an opportunity to
2contest the finding in a hearing before the Department or to
3submit a written response to the finding in lieu of requesting
4a hearing.
5    (b) The Department shall have the authority to hold
6hearings to be conducted by the Director, or by an individual
7designated by the Director as hearing officer to conduct the
8hearing. On the basis of a hearing, or upon default of the
9employee, the Director shall make a determination specifying
10his or her findings and conclusions. A copy of the
11determination shall be sent by certified mail, return receipt
12requested, or served personally upon the employee to the
13address last provided by the employee to the Department.
14    (c) The procedure governing hearings authorized by this
15Section shall be in accordance with rules adopted by the
16Department. A full and complete record shall be kept of all
17proceedings, including the notice of hearing, and all other
18documents in the nature of pleadings, written motions filed in
19the proceedings, and the report and orders of the Director or
20the Director's designee. All testimony shall be reported but
21need not be transcribed unless the decision is sought to be
22reviewed under the Administrative Review Law. A copy or copies
23of the transcript and record of the proceedings may be obtained
24by any interested party subsequent to payment to the Department
25of the cost of preparing the copy or copies. All final
26administrative decisions of the Department under this Act are

 

 

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1subject to judicial review under the Administrative Review Law
2and the rules adopted pursuant thereto. For purposes of this
3subsection, "administrative decision" has the meaning provided
4in Section 3-101 of the Code of Civil Procedure.
5    (d) The Department may issue subpoenas requiring the
6attendance and the giving of testimony by witnesses, and
7subpoenas duces tecum requiring the production of books,
8papers, records, or memoranda. All subpoenas and subpoenas
9duces tecum issued under this Act may be served by mail or by
10any person of legal age. The fees of witnesses for attendance
11and travel shall be the same as the fees of witnesses before
12the courts of this State. The fees shall to be paid when the
13witness is excused from further attendance. When the witness is
14subpoenaed at the instance of the Department, the fees shall be
15paid in the same manner as other expenses of the Department,
16and when the witness is subpoenaed at the instance of any other
17party to any such proceeding, the Department may require that
18the cost of service of the subpoena or subpoena duces tecum and
19the fee of the witness be borne by the party at whose instance
20the witness is summoned. A subpoena or subpoena duces tecum
21issued pursuant to this Section shall be served in the same
22manner as a subpoena issued by a circuit court.
23    (e) If, after a hearing or if the employee, or former
24employee, does not request a hearing, the Department finds that
25the employee, or former employee, abused a resident, neglected
26a resident, or misappropriated resident property or makes any

 

 

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1other applicable finding as set forth by rule, the finding
2shall be included as part of the Health Care Worker Registry as
3well as a clear and accurate summary from the employee, if he
4or she chooses to make a statement.
5    (f) The Department shall make the following information in
6the Health Care Worker Registry available to the public: an
7individual's full name; the date an individual successfully
8completed a nurse aide training or competency evaluation; and
9whether the Department has made a finding that an employee, or
10former employee, has been guilty of abuse or neglect of a
11resident or misappropriation of resident property or has made
12any other applicable finding as set forth by rule. In the case
13of inquiries to the Health Care Worker Registry concerning an
14employee, or former employee, listed in the Health Care Worker
15Registry, any information disclosed concerning a finding shall
16also include disclosure of the employee's, or former
17employee's, statement in the Health Care Worker Registry
18relating to the finding or a clear and accurate summary of the
19statement.
20    (g) The Department shall add to the Health Care Worker
21Registry records of findings as reported by the Inspector
22General or remove from the Health Care Worker Registry records
23of findings as reported by the Department of Human Services,
24under subsection (s) of Section 1-17 of the Department of Human
25Services Act.
 

 

 

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1    (225 ILCS 46/28 new)
2    Sec. 28. Designation on Registry for offense.
3    (a) The Department, after notice to the employee, or former
4employee, may denote on the Health Care Worker Registry that
5the Department has found any of the following:
6        (1) The employee, or former employee, has abused a
7    resident.
8        (2) The employee, or former employee, has neglected a
9    resident.
10        (3) The employee, or former employee, has
11    misappropriated resident property.
12        (4) The employee, or former employee, has been
13    convicted of (i) a felony; (ii) a misdemeanor, an essential
14    element of which is dishonesty; or (iii) any crime that is
15    directly related to the duties of an employee, a nursing
16    assistant, habilitation aide, or child care aide.
17        (5) The employee, or former employee, has a finding as
18    set forth by rule that may be detrimental to the care of
19    patients or residents or to other staff of a health care
20    employer.
21    (b) Notice under this Section shall include a clear and
22concise statement of the grounds denoting abuse, neglect,
23theft, or other applicable finding, and notice of the
24opportunity for a hearing to contest the designation.
25    (c) The Department may denote any employee, or former
26employee, on the Health Care Worker Registry who fails (i) to

 

 

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1file a return, (ii) to pay the tax, penalty or interest shown
2in a filed return, or (iii) to pay any final assessment of tax,
3penalty, or interest as required by any tax Act administered by
4the Department of Revenue, until the time the requirements of
5the tax Act are satisfied.
6    (d) The Department shall document criminal history records
7check results pursuant to the requirements of this Act.
8    (e) After the designation of neglect or other applicable
9finding as set forth by rule, on the Health Care Worker
10Registry, made pursuant to this Section, an employee, or former
11employee, may petition the Department for removal of a
12designation of neglect on the Health Care Worker Registry,
13after durations set forth within the Department's notice made
14pursuant to subsections (a) and (b) of this Section. Upon
15receipt of a petition, the Department may remove the
16designation for a finding of neglect after no less than one
17year, or the designation of applicable findings set forth by
18rule of an employee, or former employee, for minimum durations
19set forth by the Department, on the Health Care Worker Registry
20unless the Department determines that removal of designation is
21not in the public interest. The Department shall set forth by
22rule the discretionary factors by which designations of
23employees or former employees may be removed.
 
24    (225 ILCS 46/33)
25    Sec. 33. Fingerprint-based criminal history records check.

 

 

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1    (a) A fingerprint-based criminal history records check is
2not required for health care employees who have been
3continuously employed by a health care employer since October
41, 2007, have met the requirements for criminal history
5background checks prior to October 1, 2007, and have no
6disqualifying convictions or requested and received a waiver of
7those disqualifying convictions. These employees shall be
8retained on the Health Care Worker Registry as long as they
9remain active. Nothing in this subsection (a) shall be
10construed to prohibit a health care employer from initiating a
11criminal history records check for these employees. Should
12these employees seek a new position with a different health
13care employer, then a fingerprint-based criminal history
14records check shall be required.
15    (b) On October 1, 2007 or as soon thereafter as is
16reasonably practical, in the discretion of the Director of
17Public Health, and thereafter, any student, applicant, or
18employee who desires to be included on the Department of Public
19Health's Health Care Worker Registry shall must authorize the
20Department of Public Health or its designee to request a
21fingerprint-based criminal history records check to determine
22if the individual has a conviction for a disqualifying offense.
23This authorization shall allow the Department of Public Health
24to request and receive information and assistance from any
25State or local governmental agency. Each individual shall
26submit his or her fingerprints to the Department of State

 

 

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1Police in an electronic format that complies with the form and
2manner for requesting and furnishing criminal history record
3information prescribed by the Department of State Police. The
4fingerprints submitted under this Section shall be checked
5against the fingerprint records now and hereafter filed in the
6Department of State Police criminal history record databases.
7The Department of State Police shall charge a fee for
8conducting the criminal history records check, which shall not
9exceed the actual cost of the records check. The livescan
10vendor may act as the designee for individuals, educational
11entities, or health care employers in the collection of
12Department of State Police fees and deposit those fees into the
13State Police Services Fund. The Department of State Police
14shall provide information concerning any criminal convictions,
15now or hereafter filed, against the individual.
16    (c) On October 1, 2007 or as soon thereafter as is
17reasonably practical, in the discretion of the Director of
18Public Health, and thereafter, an educational entity, other
19than a secondary school, conducting a nurse aide training
20program shall must initiate a fingerprint-based criminal
21history records check required by this Act requested by the
22Department of Public Health prior to entry of an individual
23into the training program.
24    (d) On October 1, 2007 or as soon thereafter as is
25reasonably practical, in the discretion of the Director of
26Public Health, and thereafter, a health care employer who makes

 

 

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1a conditional offer of employment to an applicant for a
2position as an employee shall must initiate a fingerprint-based
3criminal history record check, requested by the Department of
4Public Health, on the applicant, if such a background check has
5not been previously conducted.
6    (e) When initiating a background check requested by the
7Department of Public Health, an educational entity or health
8care employer shall electronically submit to the Department of
9Public Health the student's, applicant's, or employee's social
10security number, demographics, disclosure, and authorization
11information in a format prescribed by the Department of Public
12Health within 2 working days after the authorization is
13secured. The student, applicant, or employee shall must have
14his or her fingerprints collected electronically and
15transmitted to the Department of State Police within 10 working
16days. The educational entity or health care employer shall must
17transmit all necessary information and fees to the livescan
18vendor and Department of State Police within 10 working days
19after receipt of the authorization. This information and the
20results of the criminal history record checks shall be
21maintained by the Department of Public Health's Health Care
22Worker Registry.
23    (f) A direct care employer may initiate a fingerprint-based
24background check required by this Act requested by the
25Department of Public Health for any of its employees, but may
26not use this process to initiate background checks for

 

 

SB1400- 71 -LRB100 08265 MJP 18366 b

1residents. The results of any fingerprint-based background
2check that is initiated with the Department as the requester
3requestor shall be entered in the Health Care Worker Registry.
4    (g) As long as the employee has had a fingerprint-based
5criminal history record check required by this Act requested by
6the Department of Public Health and stays active on the Health
7Care Worker Registry, no further criminal history record checks
8are required shall be deemed necessary, as the Department of
9State Police shall notify the Department of Public Health of
10any additional convictions associated with the fingerprints
11previously submitted. Health care employers shall are required
12to check the Health Care Worker Registry before hiring an
13employee to determine that the individual has had a
14fingerprint-based record check required by this Act requested
15by the Department of Public Health and has no disqualifying
16convictions or has been granted a waiver pursuant to Section 40
17of this Act. If the individual has not had such a background
18check or is not active on the Health Care Worker Registry, then
19the health care employer shall must initiate a
20fingerprint-based record check requested by the Department of
21Public Health. If an individual is inactive on the Health Care
22Worker Registry, that individual is prohibited from being hired
23to work as a certified nursing assistant nurse aide if, since
24the individual's most recent completion of a competency test,
25there has been a period of 24 consecutive months during which
26the individual has not provided nursing or nursing-related

 

 

SB1400- 72 -LRB100 08265 MJP 18366 b

1services for pay. If the individual can provide proof of having
2retained his or her certification by not having a
324-consecutive-month 24 consecutive month break in service for
4pay, he or she may be hired as a certified nursing assistant
5nurse aide and that employment information shall be entered
6into the Health Care Worker Registry.
7    (h) On October 1, 2007 or as soon thereafter as is
8reasonably practical, in the discretion of the Director of
9Public Health, and thereafter, if the Department of State
10Police notifies the Department of Public Health that an
11employee has a new conviction of a disqualifying offense, based
12upon the fingerprints that were previously submitted, then (i)
13the Health Care Worker Registry shall notify the employee's
14last known employer of the offense, (ii) a record of the
15employee's disqualifying offense shall be entered on the Health
16Care Worker Registry, and (iii) the individual shall no longer
17be eligible to work as an employee unless he or she obtains a
18waiver pursuant to Section 40 of this Act.
19    (i) On October 1, 2007, or as soon thereafter, in the
20discretion of the Director of Public Health, as is reasonably
21practical, and thereafter, each direct care employer or its
22designee shall must provide an employment verification for each
23employee no less than annually. The direct care employer or its
24designee shall must log into the Health Care Worker Registry
25through a secure login. The health care employer or its
26designee shall must indicate employment and termination dates

 

 

SB1400- 73 -LRB100 08265 MJP 18366 b

1within 30 days after hiring or terminating an employee, as well
2as the employment category and type. Failure to comply with
3this subsection (i) constitutes a licensing violation. A For
4health care employers that are not licensed or certified, a
5fine of up to $500 may be imposed for failure to maintain these
6records. This information shall be used by the Department of
7Public Health to notify the last known employer of any
8disqualifying offenses that are reported by the Department of
9State Police.
10    (j) The Department of Public Health shall notify each
11health care employer or long-term care facility inquiring as to
12the information on the Health Care Worker Registry if the
13applicant or employee listed on the registry has a
14disqualifying offense and is therefore ineligible to work. In
15the event that an applicant or employee has a waiver for one or
16more disqualifying offenses pursuant to Section 40 of this Act
17and he or she is otherwise eligible to work, the Health Care
18Worker Registry Department of Public Health shall indicate
19report that the applicant or employee is eligible to work and
20that additional information is available on the Health Care
21Worker Registry. The Health Care Worker Registry Department may
22indicate report that the applicant or employee has received a
23waiver.
24    (k) The student, applicant, or employee shall must be
25notified of each of the following whenever a fingerprint-based
26criminal history records check is required:

 

 

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1        (1) That the educational entity, health care employer,
2    or long-term care facility shall initiate a
3    fingerprint-based criminal history record check required
4    by this Act requested by the Department of Public Health of
5    the student, applicant, or employee pursuant to this Act.
6        (2) That the student, applicant, or employee has a
7    right to obtain a copy of the criminal records report that
8    indicates a conviction for a disqualifying offense and
9    challenge the accuracy and completeness of the report
10    through an established Department of State Police
11    procedure of Access and Review.
12        (3) That the applicant, if hired conditionally, may be
13    terminated if the criminal records report indicates that
14    the applicant has a record of a conviction of any of the
15    criminal offenses enumerated in Section 25, unless the
16    applicant obtains a waiver pursuant to Section 40 of this
17    Act.
18        (4) That the applicant, if not hired conditionally,
19    shall not be hired if the criminal records report indicates
20    that the applicant has a record of a conviction of any of
21    the criminal offenses enumerated in Section 25, unless the
22    applicant obtains a waiver pursuant to Section 40 of this
23    Act.
24        (5) That the employee shall be terminated if the
25    criminal records report indicates that the employee has a
26    record of a conviction of any of the criminal offenses

 

 

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1    enumerated in Section 25.
2        (6) If, after the employee has originally been
3    determined not to have disqualifying offenses, the
4    employer is notified that the employee has a new
5    conviction(s) of any of the criminal offenses enumerated in
6    Section 25, then the employee shall be terminated.
7    (l) A health care employer or long-term care facility may
8conditionally employ an applicant for up to 3 months pending
9the results of a fingerprint-based criminal history record
10check requested by the Department of Public Health.
11    (m) The Department of Public Health or an entity
12responsible for inspecting, licensing, certifying, or
13registering the health care employer or long-term care facility
14shall be immune from liability for notices given based on the
15results of a fingerprint-based criminal history record check.
16(Source: P.A. 99-872, eff. 1-1-17.)
 
17    (225 ILCS 46/40)
18    Sec. 40. Waiver.
19    (a) Any student, applicant, or employee listed on the
20Health Care Worker Registry may request a waiver of the
21prohibition against employment by:
22        (1) completing a waiver application on a form
23    prescribed by the Department of Public Health;
24        (2) providing a written explanation of each conviction
25    to include (i) what happened, (ii) how many years have

 

 

SB1400- 76 -LRB100 08265 MJP 18366 b

1    passed since the offense, (iii) the individuals involved,
2    (iv) the age of the applicant at the time of the offense,
3    and (v) any other circumstances surrounding the offense;
4    and
5        (3) providing official documentation showing that all
6    fines have been paid, if applicable and except for in the
7    instance of payment of court-imposed fines or restitution
8    in which the applicant is adhering to a payment schedule,
9    and the date probation or parole was satisfactorily
10    completed, if applicable.
11    (b) The applicant may, but is not required to, submit
12employment and character references and any other evidence
13demonstrating the ability of the applicant or employee to
14perform the employment responsibilities competently and
15evidence that the applicant or employee does not pose a threat
16to the health or safety of residents, patients, or clients.
17    (c) The Department of Public Health may, at the discretion
18of the Director of Public Health, grant a waiver to an
19applicant, student, or employee listed on the Health Care
20Worker Registry registry. The Department of Public Health shall
21act upon the waiver request within 30 days of receipt of all
22necessary information, as defined by rule. The Department of
23Public Health shall send an applicant, student, or employee
24written notification of its decision whether to grant a waiver,
25including listing the specific disqualifying offenses for
26which the waiver is being granted or denied. The Department

 

 

SB1400- 77 -LRB100 08265 MJP 18366 b

1shall issue additional copies of this written notification upon
2the applicant's, student's, or employee's request.
3    (d) An individual shall not be employed from the time that
4the employer receives a notification from the Department of
5Public Health based upon the results of a fingerprint-based
6criminal history records check containing disqualifying
7conditions until the time that the individual receives a
8waiver.
9    (e) The entity responsible for inspecting, licensing,
10certifying, or registering the health care employer and the
11Department of Public Health shall be immune from liability for
12any waivers granted under this Section.
13    (f) A health care employer is not obligated to employ or
14offer permanent employment to an applicant, or to retain an
15employee who is granted a waiver under this Section.
16(Source: P.A. 99-872, eff. 1-1-17.)
 
17    (225 ILCS 46/75 new)
18    Sec. 75. Rulemaking. The Department shall have the
19authority to adopt administrative rules and procedures to carry
20out the purpose of this Act. The provisions of the Illinois
21Administrative Procedure Act are hereby expressly adopted and
22shall apply to all administrative rules and procedures of the
23Department under this Act.
 
24    Section 50. The Mental Health and Developmental

 

 

SB1400- 78 -LRB100 08265 MJP 18366 b

1Disabilities Confidentiality Act is amended by changing
2Section 10 as follows:
 
3    (740 ILCS 110/10)  (from Ch. 91 1/2, par. 810)
4    Sec. 10. (a) Except as provided herein, in any civil,
5criminal, administrative, or legislative proceeding, or in any
6proceeding preliminary thereto, a recipient, and a therapist on
7behalf and in the interest of a recipient, has the privilege to
8refuse to disclose and to prevent the disclosure of the
9recipient's record or communications.
10        (1) Records and communications may be disclosed in a
11    civil, criminal or administrative proceeding in which the
12    recipient introduces his mental condition or any aspect of
13    his services received for such condition as an element of
14    his claim or defense, if and only to the extent the court
15    in which the proceedings have been brought, or, in the case
16    of an administrative proceeding, the court to which an
17    appeal or other action for review of an administrative
18    determination may be taken, finds, after in camera
19    examination of testimony or other evidence, that it is
20    relevant, probative, not unduly prejudicial or
21    inflammatory, and otherwise clearly admissible; that other
22    satisfactory evidence is demonstrably unsatisfactory as
23    evidence of the facts sought to be established by such
24    evidence; and that disclosure is more important to the
25    interests of substantial justice than protection from

 

 

SB1400- 79 -LRB100 08265 MJP 18366 b

1    injury to the therapist-recipient relationship or to the
2    recipient or other whom disclosure is likely to harm.
3    Except in a criminal proceeding in which the recipient, who
4    is accused in that proceeding, raises the defense of
5    insanity, no record or communication between a therapist
6    and a recipient shall be deemed relevant for purposes of
7    this subsection, except the fact of treatment, the cost of
8    services and the ultimate diagnosis unless the party
9    seeking disclosure of the communication clearly
10    establishes in the trial court a compelling need for its
11    production. However, for purposes of this Act, in any
12    action brought or defended under the Illinois Marriage and
13    Dissolution of Marriage Act, or in any action in which pain
14    and suffering is an element of the claim, mental condition
15    shall not be deemed to be introduced merely by making such
16    claim and shall be deemed to be introduced only if the
17    recipient or a witness on his behalf first testifies
18    concerning the record or communication.
19        (2) Records or communications may be disclosed in a
20    civil proceeding after the recipient's death when the
21    recipient's physical or mental condition has been
22    introduced as an element of a claim or defense by any party
23    claiming or defending through or as a beneficiary of the
24    recipient, provided the court finds, after in camera
25    examination of the evidence, that it is relevant,
26    probative, and otherwise clearly admissible; that other

 

 

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1    satisfactory evidence is not available regarding the facts
2    sought to be established by such evidence; and that
3    disclosure is more important to the interests of
4    substantial justice than protection from any injury which
5    disclosure is likely to cause.
6        (3) In the event of a claim made or an action filed by
7    a recipient, or, following the recipient's death, by any
8    party claiming as a beneficiary of the recipient for injury
9    caused in the course of providing services to such
10    recipient, the therapist and other persons whose actions
11    are alleged to have been the cause of injury may disclose
12    pertinent records and communications to an attorney or
13    attorneys engaged to render advice about and to provide
14    representation in connection with such matter and to
15    persons working under the supervision of such attorney or
16    attorneys, and may testify as to such records or
17    communication in any administrative, judicial or discovery
18    proceeding for the purpose of preparing and presenting a
19    defense against such claim or action.
20        (4) Records and communications made to or by a
21    therapist in the course of examination ordered by a court
22    for good cause shown may, if otherwise relevant and
23    admissible, be disclosed in a civil, criminal, or
24    administrative proceeding in which the recipient is a party
25    or in appropriate pretrial proceedings, provided such
26    court has found that the recipient has been as adequately

 

 

SB1400- 81 -LRB100 08265 MJP 18366 b

1    and as effectively as possible informed before submitting
2    to such examination that such records and communications
3    would not be considered confidential or privileged. Such
4    records and communications shall be admissible only as to
5    issues involving the recipient's physical or mental
6    condition and only to the extent that these are germane to
7    such proceedings.
8        (5) Records and communications may be disclosed in a
9    proceeding under the Probate Act of 1975, to determine a
10    recipient's competency or need for guardianship, provided
11    that the disclosure is made only with respect to that
12    issue.
13        (6) Records and communications may be disclosed to a
14    court-appointed therapist, psychologist, or psychiatrist
15    for use in determining a person's fitness to stand trial if
16    the records were made within the 180-day period immediately
17    preceding the date of the therapist's, psychologist's or
18    psychiatrist's court appointment. These records and
19    communications shall be admissible only as to the issue of
20    the person's fitness to stand trial. Records and
21    communications may be disclosed when such are made during
22    treatment which the recipient is ordered to undergo to
23    render him fit to stand trial on a criminal charge,
24    provided that the disclosure is made only with respect to
25    the issue of fitness to stand trial.
26        (7) Records and communications of the recipient may be

 

 

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1    disclosed in any civil or administrative proceeding
2    involving the validity of or benefits under a life,
3    accident, health or disability insurance policy or
4    certificate, or Health Care Service Plan Contract,
5    insuring the recipient, but only if and to the extent that
6    the recipient's mental condition, or treatment or services
7    in connection therewith, is a material element of any claim
8    or defense of any party, provided that information sought
9    or disclosed shall not be redisclosed except in connection
10    with the proceeding in which disclosure is made.
11        (8) Records or communications may be disclosed when
12    such are relevant to a matter in issue in any action
13    brought under this Act and proceedings preliminary
14    thereto, provided that any information so disclosed shall
15    not be utilized for any other purpose nor be redisclosed
16    except in connection with such action or preliminary
17    proceedings.
18        (9) Records and communications of the recipient may be
19    disclosed in investigations of and trials for homicide when
20    the disclosure relates directly to the fact or immediate
21    circumstances of the homicide.
22        (10) Records and communications of a deceased
23    recipient shall be disclosed to a coroner conducting a
24    preliminary investigation into the recipient's death under
25    Section 3-3013 of the Counties Code.
26        (11) Records and communications of a recipient shall be

 

 

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1    disclosed in a proceeding where a petition or motion is
2    filed under the Juvenile Court Act of 1987 and the
3    recipient is named as a parent, guardian, or legal
4    custodian of a minor who is the subject of a petition for
5    wardship as described in Section 2-3 of that Act or a minor
6    who is the subject of a petition for wardship as described
7    in Section 2-4 of that Act alleging the minor is abused,
8    neglected, or dependent or the recipient is named as a
9    parent of a child who is the subject of a petition,
10    supplemental petition, or motion to appoint a guardian with
11    the power to consent to adoption under Section 2-29 of the
12    Juvenile Court Act of 1987.
13        (12) Records and communications of a recipient may be
14    disclosed when disclosure is necessary to collect sums or
15    receive third party payment representing charges for
16    mental health or developmental disabilities services
17    provided by a therapist or agency to a recipient; however,
18    disclosure shall be limited to information needed to pursue
19    collection, and the information so disclosed may not be
20    used for any other purposes nor may it be redisclosed
21    except in connection with collection activities. Whenever
22    records are disclosed pursuant to this subdivision (12),
23    the recipient of the records shall be advised in writing
24    that any person who discloses mental health records and
25    communications in violation of this Act may be subject to
26    civil liability pursuant to Section 15 of this Act or to

 

 

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1    criminal penalties pursuant to Section 16 of this Act or
2    both.
3    (b) Before a disclosure is made under subsection (a), any
4party to the proceeding or any other interested person may
5request an in camera review of the record or communications to
6be disclosed. The court or agency conducting the proceeding may
7hold an in camera review on its own motion. When, contrary to
8the express wish of the recipient, the therapist asserts a
9privilege on behalf and in the interest of a recipient, the
10court may require that the therapist, in an in camera hearing,
11establish that disclosure is not in the best interest of the
12recipient. The court or agency may prevent disclosure or limit
13disclosure to the extent that other admissible evidence is
14sufficient to establish the facts in issue. The court or agency
15may enter such orders as may be necessary in order to protect
16the confidentiality, privacy, and safety of the recipient or of
17other persons. Any order to disclose or to not disclose shall
18be considered a final order for purposes of appeal and shall be
19subject to interlocutory appeal.
20    (c) A recipient's records and communications may be
21disclosed to a duly authorized committee, commission or
22subcommittee of the General Assembly which possesses subpoena
23and hearing powers, upon a written request approved by a
24majority vote of the committee, commission or subcommittee
25members. The committee, commission or subcommittee may request
26records only for the purposes of investigating or studying

 

 

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1possible violations of recipient rights. The request shall
2state the purpose for which disclosure is sought.
3    The facility shall notify the recipient, or his guardian,
4and therapist in writing of any disclosure request under this
5subsection within 5 business days after such request. Such
6notification shall also inform the recipient, or guardian, and
7therapist of their right to object to the disclosure within 10
8business days after receipt of the notification and shall
9include the name, address and telephone number of the
10committee, commission or subcommittee member or staff person
11with whom an objection shall be filed. If no objection has been
12filed within 15 business days after the request for disclosure,
13the facility shall disclose the records and communications to
14the committee, commission or subcommittee. If an objection has
15been filed within 15 business days after the request for
16disclosure, the facility shall disclose the records and
17communications only after the committee, commission or
18subcommittee has permitted the recipient, guardian or
19therapist to present his objection in person before it and has
20renewed its request for disclosure by a majority vote of its
21members.
22    Disclosure under this subsection shall not occur until all
23personally identifiable data of the recipient and provider are
24removed from the records and communications. Disclosure under
25this subsection shall not occur in any public proceeding.
26    (d) No party to any proceeding described under paragraphs

 

 

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1(1), (2), (3), (4), (7), or (8) of subsection (a) of this
2Section, nor his or her attorney, shall serve a subpoena
3seeking to obtain access to records or communications under
4this Act unless the subpoena is accompanied by a written order
5issued by a judge or by the written consent under Section 5 of
6this Act of the person whose records are being sought,
7authorizing the disclosure of the records or the issuance of
8the subpoena. No such written order shall be issued without
9written notice of the motion to the recipient and the treatment
10provider. Prior to issuance of the order, each party or other
11person entitled to notice shall be permitted an opportunity to
12be heard pursuant to subsection (b) of this Section. In the
13absence of the written consent under Section 5 of this Act of
14the person whose records are being sought, no person shall
15comply with a subpoena for records or communications under this
16Act, unless the subpoena is accompanied by a written order
17authorizing the issuance of the subpoena or the disclosure of
18the records. Each subpoena issued by a court or administrative
19agency or served on any person pursuant to this subsection (d)
20shall include the following language: "No person shall comply
21with a subpoena for mental health records or communications
22pursuant to Section 10 of the Mental Health and Developmental
23Disabilities Confidentiality Act, 740 ILCS 110/10, unless the
24subpoena is accompanied by a written order that authorizes the
25issuance of the subpoena and the disclosure of records or
26communications or by the written consent under Section 5 of

 

 

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1that Act of the person whose records are being sought."
2    (e) When a person has been transported by a peace officer
3to a mental health facility, then upon the request of a peace
4officer, if the person is allowed to leave the mental health
5facility within 48 hours of arrival, excluding Saturdays,
6Sundays, and holidays, the facility director shall notify the
7local law enforcement authority prior to the release of the
8person. The local law enforcement authority may re-disclose the
9information as necessary to alert the appropriate enforcement
10or prosecuting authority.
11    (f) A recipient's records and communications shall be
12disclosed to the Inspector General of the Department of Human
13Services within 10 business days of a request by the Inspector
14General (i) in the course of an investigation authorized by the
15Department of Human Services Act and applicable rule or (ii)
16during the course of an assessment authorized by the Abuse of
17Adults with Disabilities Intervention Act and applicable rule.
18The request shall be in writing and signed by the Inspector
19General or his or her designee. The request shall state the
20purpose for which disclosure is sought. Any person who
21knowingly and willfully refuses to comply with such a request
22is guilty of a Class A misdemeanor. A recipient's records and
23communications shall also be disclosed pursuant to subsection
24(s) of Section 1-17 of the Department of Human Services Act in
25testimony at Health Care Worker Registry health care worker
26registry hearings or preliminary proceedings when such are

 

 

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1relevant to the matter in issue, provided that any information
2so disclosed shall not be utilized for any other purpose nor be
3redisclosed except in connection with such action or
4preliminary proceedings.
5(Source: P.A. 98-221, eff. 1-1-14; 98-908, eff. 1-1-15; 99-78,
6eff. 7-20-15.)
 
7    Section 99. Effective date. This Act takes effect upon
8becoming law.

 

 

SB1400- 89 -LRB100 08265 MJP 18366 b

1 INDEX
2 Statutes amended in order of appearance
3    20 ILCS 1305/1-17
4    20 ILCS 1705/7.3
5    210 ILCS 45/3-206from Ch. 111 1/2, par. 4153-206
6    210 ILCS 45/3-206.01from Ch. 111 1/2, par. 4153-206.01
7    210 ILCS 45/3-206.02 rep.
8    210 ILCS 46/3-206
9    210 ILCS 46/3-206.01
10    210 ILCS 46/3-206.02 rep.
11    210 ILCS 47/3-206
12    210 ILCS 47/3-206.01
13    210 ILCS 47/3-206.02 rep.
14    225 ILCS 46/15
15    225 ILCS 46/25
16    225 ILCS 46/26 new
17    225 ILCS 46/27 new
18    225 ILCS 46/28 new
19    225 ILCS 46/33
20    225 ILCS 46/40
21    225 ILCS 46/75 new
22    740 ILCS 110/10from Ch. 91 1/2, par. 810