TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.120 DEFINITIONS
Section 119.120 Definitions
For the purposes of this Part,
the following terms are defined:
"Abuse." Any physical injury, sexual abuse or
mental injury inflicted on an individual other than by accidental means.
(Section 1-101.1 of the Code)
Physical injury includes all injuries serious enough to
require immediate medical treatment by a physician, such as fractures and
lacerations which require suturing and all other injuries which because of the
circumstances or nature of the injury indicate possible abuse or neglect;
Sexual abuse includes but is not limited to any sexual
penetration or sexual conduct between an individual and another person if the
individual has been adjudicated legally disabled, or has a guardian, or is
unable to understand the nature of the act or is unable to give knowing
consent, or is injured, or alleges that there is, or there is evidence of use
of force, coercion, or the exchange of money or anything of value; and
Mental injury includes use of words, signs, gestures or other
actions by anyone against an individual which intimidates, demeans, harasses,
causes emotional anguish or distress, ridicules, threatens, harms or will
knowingly incite or precipitate maladaptive behavior on the part of an
individual. Mental injury also includes exploitation, which is any act that
uses individuals, their resources or their possessions for an agency employee's
personal gain or for an agency's benefit.
"Accreditation." A process establishing that a
program complies with nationally-recognized standards of care as set by one of
the following:
1997 Hospital Accreditation Standards (Joint Commission on
Accreditation of Healthcare Organizations (JCAHO), One Renaissance Boulevard,
Oakbrook Terrace, Illinois 60181, 1996);
1997 Standards for Behavioral Health Care (Joint Commission
on Accreditation of Healthcare Organizations (JCAHO), One Renaissance
Boulevard, Oakbrook Terrace, Illinois 60181, 1996);
1996 Comprehensive Accreditation Manual for Health Care
Networks (Joint Commission on Accreditation of Healthcare Organizations
(JCAHO), One Renaissance Boulevard, Oakbrook Terrace, Illinois 60181, 1996); or
Council on Accreditation 1997 Standards for Behavioral Health
Care Services and Community Support and Education Services (Council on
Accreditation of Services for Families and Children, Inc. (COA), 120 Wall
Street, 11th Floor, New York, New York 10005, 1996).
Outcome Based Performance Measures (The Council, 100 West
Road, Suite 406, Towson, Maryland 21204, 1993);
Standards Manual and Interpretive Guidelines for Behavioral
Health (Commission on Accreditation of Rehabilitation Facilities (CARF), 4891
East Grant Road, Tucson, Arizona 85711, 1996);
Standards Manual and Interpretive Guidelines for Employment
and Community Support Services (Commission on Accreditation of Rehabilitation
Facilities (CARF), 4891 East Grant Road, Tucson, Arizona 85711, 1996);
Education Standards (National Accreditation Council for
Agencies Serving the Blind and Visually Handicapped, 15 West 65th
Street, New York, New York 10023, 1994);
"Act." The Mental Health and Developmental
Disabilities Confidentiality Act [740 ILCS 110].
"Adaptive behavior." The effectiveness or degree
with which the individual approaches the standards of personal independence and
social responsibility expected of the individual's age and cultural group as
measured by adaptive behavior scales such as the Inventory for Client and
Agency Planning (ICAP) (DLM Teaching Resources, One DLM Park, Allen, Texas
75002, 1986) and Scales of Independent Behavior (SIB) (DLM Teaching Resources,
One DLM Park, Allen, Texas 75002, 1985).
"Authorized agency representative." A person
appointed by the governing body who has responsibility for the program's
administration including its content and fiscal affairs.
"Aversive procedures." The application of
unpleasant or painful stimuli or stimuli that have a potentially noxious
effect, contingent on the exhibition of a specific behavior that is not
adaptive.
"Behavior management." Efforts to increase adaptive
behaviors and to modify problem behaviors or behaviors that are not adaptive
and replace them with behaviors and skills that are adaptive and socially
productive.
"Code." The Mental Health and Developmental
Disabilities Code [405 ILCS 5].
"Day." A calendar day, unless otherwise indicated.
"Deemed status." If a provider has been accredited
by an approved accrediting body as identified in the definition of
"accreditation" in this Section, the Department shall deem the
provider to be in substantial compliance with specific Sections of this Part.
Deemed status, however, may be nullified by a finding by the Department that
the provider is in substantial non-compliance with one or more of the
designated Sections.
"Department." The Department of Human Services.
"Developmental disability." A disability which
is attributable to mental retardation, cerebral palsy, epilepsy or autism; or
to any other condition which results in an impairment similar to that caused by
mental retardation and which requires services similar to those required by
individuals with mental retardation. Such disability must originate before
the age of 18, be expected to continue indefinitely, and constitute a
substantial handicap. (Section 1-106 of the Code)
"Discharge." The full release of an individual from
a program.
"Equivalency." Evidence to substantiate compliance
with requirements of this Part by means other than indicated in this Part.
"Exclusion." Preventing an individual's entrance or
continuation in a program due to the individual's disability, medical
condition, or maladaptive behavior, or due to lack of space in the day program.
"Exploitation." Any act that uses individuals,
their resources or their possessions for the provider's employee's personal
gain or for the provider's benefit.
"Family." The individual's spouse, children,
mother, father, sister and brother.
"Full compliance." A survey finding that a program
has no identified deficiencies with the standards in this Part.
"Governing body." The provider's decision-making
authority which establishes policies for the program's operation and the
welfare of the individuals served.
"Guardian." The plenary or limited guardian or
conservator appointed by the court for an individual over age 18 so long as the
limited guardian's duties encompass concerns related to service requirements.
"Imminent risk." A situation in which individuals
in a program are or may be subject to mental, physical or psychological harm which
is not immediately correctable, such as environmental or safety hazards.
"Individual." A person who is applying for or
receiving services in a program.
"Individual record" or "record."
Materials kept chronologically by a program in the course of providing services
to an individual.
"Individual services plan" or "plan." A
written plan which includes an assessment of the individual's strengths and
needs, a description of the services needed regardless of availability,
objectives for each service, the role of the individual, guardian, significant
others, and the family in the implementation, if the individual agrees to their
participation. The plan shall also include a timetable for the accomplishment
of objectives, and the names of the persons responsible for their
implementation.
"Industrial norm." A standard of measured
productivity outcomes of a specific work activity as determined by a time and
motion study conducted on workers who are not impaired for the work being
performed by age, physical or mental disability, or injury.
"Informed consent." Permission freely granted by
the individual or guardian based on full disclosure to the individual or
guardian of the benefits and/or liabilities of participation in specific
procedures and/or services, including the releases of information, as part of
the individual's services plan.
"Interdisciplinary team" or "team." A
group consisting of at least the individual, parents (except when a non-legally
disabled individual or a legally disabled individual's guardian does not desire
them to participate), the guardian, as well as representatives of disciplines
and services necessary to identify the individual's needs and to design
services and alternatives to meet them. At least one member of the team shall
be a qualified mental retardation professional.
"Maladaptive behavior." Actions by the individual
that interrupt services, require a specific program addressing the behavior
developed by the interdisciplinary team and exclude instances requiring only a
verbal prompt such as "please sit down."
"Mental retardation." Significantly subaverage
general intellectual functioning which exists concurrently with impairment in
adaptive behavior and which originates before the age of 18 years. (Section
1-116 of the Code)
"Moral turpitude." Moral quality of being
inherently base, depraved, vile or wicked.
"Neglect." Failure to provide adequate medical
or personal care or maintenance to an individual which results in
physical or mental injury or in the deterioration of an individual's physical
or mental condition. (Section 1-117.1 of the Code).
"Notice of violation." A report submitted by OAL to
a provider listing the program's deficiencies with this Part as noted during a
survey.
"OAL." The Department's Office of Accreditation
and Licensure.
"Plan of correction." A written plan submitted by a
provider to OAL in response to a notice of violation, which describes the steps
the provider will take to bring the program into compliance, including the
time-frames for completion of each step.
"Program." Services provided in non-residential
facilities to adults who are developmentally disabled and require training in
self-help, community living skills, social and leisure skills, communication or
productive work.
"Progress notes." Narrative chronological
documentation in an individual's record of service provided and its
relationship to the plan.
"Provider." A sole proprietorship, association,
partnership, corporation or organization, public or private, either for profit
or not-for-profit, which operates a developmental training program under the
jurisdiction of a governing body or board.
"Qualified mental retardation professional (QMRP)."
A QMRP must have at least one year of experience working directly with
individuals with mental retardation or other developmental disabilities and be
one of the following:
A doctor of medicine or osteopathy licensed pursuant to the
Medical Practice Act of 1987 [225 ILCS 60];
A registered nurse licensed pursuant to the Illinois Nursing
Act of 1987 [225 ILCS 65];
An occupational therapist or occupational therapist assistant
certified by the American Occupational Therapy Association or other comparable
body (Illinois Occupational Therapy Practice Act [225 ILCS 75]);
A physical therapist certified by the American Physical
Therapy Association or other comparable body (Illinois Physical Therapy Act
[225 ILCS 90]);
A physical therapist assistant registered by the American
Physical Therapy Association or a graduate of a two-year college-level program
approved by the American Physical Therapy Association or comparable body;
A psychologist with at least a master's degree in psychology
from an accredited school (Clinical Psychologist Licensing Act [225 ILCS 15]);
A social worker with a bachelor's degree from a college or
university or graduate degree from a school of social work accredited or
approved by the Council on Social Work Education or another comparable body
(the Clinical Social Work and Social Work Practice Act [225 ILCS 20]);
A speech-language pathologist or audiologist with a
certificate of Clinical Competence in Speech-Language Pathology or Audiology
granted by the American Speech Language Hearing Association or comparable body
or meet the education requirements for licensure and be in the process of
accumulating the supervised experience required for licensure (the Illinois
Speech-Language Pathology and Audiology Practice Act [225 ILCS 110]);
A professional recreation staff person with a bachelor's
degree in recreation or in a specialty area such as art, dance, music or
physical therapy;
A professional dietician registered by the American Dietetics
Association; or
A human services professional with a bachelor's degree in a
human services field, including, but not limited to sociology, special
education, rehabilitation counseling or psychology.
"Quality assurance." A systematic and objective
approach to monitoring and evaluating the appropriateness, adequacy and quality
of services in order to identify and resolve problems.
"Restraint." The direct restriction through
mechanical means or personal physical force of the limbs, head or body of
an individual except as part of a medically prescribed procedure for the
treatment of an existing physical disorder or the amelioration of a physical
handicap. The partial or total immobilization of an individual for the
purpose of performing a medical or surgical procedure shall not constitute
restraint. (Section 1-125 of the Code)
"Seclusion." Sequestration by placement of
an individual alone in a room from which he or she has no
means of leaving. (Section 1-126 of the Code)
"Secretary." The Secretary of the Department of
Human Services or his or her designee.
"Self-administration of medications." An
individual's ability to take medications independently or with verbal prompts.
"Skills training." Activities which focus on the
development of daily living skills which enable individuals to achieve
independent functioning and economic self-sufficiency.
"Substantial compliance." A determination that a
surveyed program does not have a deficiency or group of deficiencies sufficient
to jeopardize the health, welfare or safety of individuals or prevent their
maximum development; or, when deficient, the provider has documented a plan of
correction to rectify any deficiency or has an approved equivalency or waiver
for it.
"Survey." A process to determine the degree of
compliance with this Part which a program has maintained, including surveyor
observation and an on-site examination of policies, procedures, records of
individuals, written plans, and the physical plant. Interviews of individuals
and staff are also a part of the survey.
"Suspension." The conditional release of an
individual from a program.
"Time-out." When an individual is placed in a
behavior modification program pursuant to his or her individual services plan,
he or she may be removed from a situation that affords positive reinforcement
to an area where reinforcement is not available for a reasonable period of time
as determined by the team but not to exceed 30 minutes.
"Waiver." Department-granted exceptions to this
Part on application by a provider, for a period not to exceed the duration of
the current certificate.
"Work activity." The individual performs work such
as contract janitorial, simulated assembly, and food service.
(Source: Amended at 21 Ill. Reg. 8297, effective June 25, 1997)
SUBPART B: PROGRAM REQUIREMENTS FOR CERTIFIED DAY PROGRAMS
 | TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.200 GENERAL REQUIREMENTS
Section 119.200 General
requirements
a) Programs shall be located to promote integration of
individuals into their communities. In addition to the requirements in
subsections (e) and (f) of this Section, examples of integration include
locations near public transportation, shopping, restaurants, and recreation.
b) Programs shall provide a minimum of five hours of programming
per day, excluding transportation time to and from the program, and excluding
mealtime unless training during meals is a documented part of the plan.
Individuals may attend less than 5 hours if required and documented by a
physician or the interdisciplinary team.
c) No individual shall be transported in a one-way trip that
exceeds one hour, excluding field trips.
d) Transportation required for individuals shall be the responsibility
of the provider.
e) Programs shall not be located in buildings where individuals
reside.
f) Programs attended by individuals residing in licensed
long-term care facilities shall promote the principles of program independence
and community integration by meeting two of the following three criteria:
1) No more than 25 percent of the direct-care staff hours
allocated to the program shall be provided by personnel also employed by a
licensed long-term care facility in a residential services capacity;
2) At least 30 percent of the individuals in the program shall
not reside in the same licensed long-term care facility; or
3) The location of the program shall not be within or adjacent to
the boundaries of any licensed long-term care facility having individuals in
the program.
g) The Department shall grant a waiver of the requirements in
subsections (f)(1) and (2) of this Section for individuals of licensed
long-term care facilities whose physicians have determined that participation
in a program away from the residence will present a risk to the individual's
health. Physicians shall document and annually update this medical
determination in the individual's records.
(Source: Amended at 22 Ill. Reg. 16244, effective August 27, 1998)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.205 CRITERIA FOR PARTICIPATION OF INDIVIDUALS
Section 119.205 Criteria for
participation of individuals
a) A minimum level of skill development shall not be required for
entry into a program.
b) The criteria for exit from the program shall be as follows:
1) The individual shall perform four or more skills described in
subsections (e)(1) through(7) of this Section; and
2) The individual shall not engage in maladaptive behavior more
than 5 percent of the developmental training day. Maladaptive behavior shall
require staff intervention and shall be documented in the plan.
c) Individuals who meet or exceed the exit criteria shall not
enter or remain in the program unless the program can document that alternative
resources in the individual's community do not exist to meet the service
needs. Examples of documentation include denials of admission to other
programs because of lack of capacity or the information that no other program
exists in the indivdiual's community.
d) The team shall evaluate individuals who have attained the exit
criteria to determine whether they should continue in the program, or if they
should enter a program more integrated into the community such as supported
employment. The team shall document reasons for its decision.
e) The team shall assess individuals on the following skills:
1) Motor development - The individual exhibits fine or gross
motor skills independently or with minimal assistance. This is considered met if
the individual meets the criteria for dressing, grooming, toilet or eating.
2) Dressing - The individual dresses self with verbal cues only.
3) Grooming - The individual grooms self with verbal cues only.
4) Toileting - The individual toilets with verbal cues only.
5) Eating - The individual eats a meal without cues from staff.
6) Language - The individual understands basic requests and
expresses self verbally or with an alternative communication system such as
signing, communication board, computer or writing.
7) Productive capacity - The individual consistently maintains a
productive level of 25 percent of the industrial norm.
f) At least annually, the team shall assess the individual's
skill level and review the current placement to determine if it is meeting the
individual's needs.
g) The provider shall identify to the Department, with a release
of information in keeping with the Act, the names of all individuals whom the
team has determined should exit the program. The Department shall assist the
provider in identifying alternative services. An individual shall continue in the
program until an alternative day program that meets his or her needs is
provided.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.210 EXCLUSION, SUSPENSION OR DISCHARGE OF AN INDIVIDUAL
Section 119.210 Exclusion,
suspension or discharge of an individual
a) Exclusion, suspension or discharge may occur due to:
1) The individual's desire to stop participation;
2) The individual's attainment of the exit criteria;
3) The individual's physical disability or medical condition
which places the individual in danger; or
4) Maladaptive behavior that places the individual or others in
serious danger.
b) Lack of space in a program shall not be used to suspend or
discharge individuals and shall be used only to deny admission to a program
that is presently filled.
c) The provider shall refer all proposals excluding, suspending
or discharging an individual to the team which shall determine whether the
criteria in subsection (a) of this Section have been met, recommend alternative
services and determine the criteria under which the individual may enter or
re-enter the program.
d) Before exclusion, suspension or discharge, the team shall
discuss, summarize and place in the individual's record the date and reason for
this action.
e) A provider shall not suspend or discharge an individual from a
program without at least a 10-day written notice to the individual or guardian
except when it is documented that the individual is dangerous to himself or
herself or others and the behavior cannot be corrected through special training
procedures.
f) An individual shall have the opportunity to appeal to the
agency representative the provider's decision to exclude, suspend or discharge
him or her in accordance with the procedures required in Section 119.235(e) of
this Part.
(Source: Amended at 21 Ill. Reg. 8297, effective June 25, 1997)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.215 PROGRAM STAFF
Section 119.215 Program
staff
a) The provider shall designate a program administrator whose
level of education and experience shall include an undergraduate degree in
education, special education, psychology, rehabilitation counseling or social
work, with two or more year's experience working with individuals who are
developmentally disabled, or an equivalent combination of education and
experience.
b) The provider shall designate at least one developmental
instructor whose minimum level of education and experience includes an
undergraduate degree in special education or a related human service field as
specified in the definition of qualified mental retardation professional, plus
one or more years experience working with individuals who are developmentally
disabled, or an equivalent combination of education and experience.
c) The provider shall designate developmental trainers whose
minimum level of education includes a high school diploma or general
equivalency diploma (G.E.D.). A developmental trainer shall address the
individual's needs as identified in the plan under the professional oversight
of the developmental instructor.
1) The program administrator may function as the developmental
instructor.
2) The program shall employ developmental instructors on an
overall ratio of one developmental instructor to three developmental trainers.
3) The developmental instructor shall perform instructional
duties as well as provide professional oversight of developmental trainers.
Professional oversight includes answering questions about the implementation of
the individual's plan and providing feedback to the developmental trainer and
his or her supervisor on the developmental trainer's activities.
d) Staff ratios
1) The provider shall maintain staff ratios that will meet the
individual's program needs. The Department's calculation of provider cost is
based on the following ratios, but the provider will be given flexibility in
grouping individuals to meet the individual's needs.
A) For individuals who have mild deficits in adaptive behavior as
defined in Classification in Mental Retardation (American Association on Mental
Retardation, 1719 Kalorama Road, NW, Washington D.C. 20009, 1983), and who have
physical disabilities, mental disabilities or behavior disorders, the provider
shall maintain on-duty trainers and instructors at a ratio of 1:10.
B) For individuals who have moderate deficits in adaptive behavior
as defined in Classification in Mental Retardation and who have physical
disabilities, mental disabilities or behavior disorders, the provider shall
maintain on-duty trainers and instructors at a ratio of 1:8.
C) For individuals who have severe or profound deficits in
adaptive behavior, as defined in Classification in Mental Retardation and who
have physical disabilities, mental disabilities or behavior disorders, the
provider shall maintain on-duty trainers and instructors at a ratio of 1:5.
D) The provider may request additional staff for individuals whom
the team has assessed and who require and who are receiving specialized
services stated in one of the following levels:
i) Level I. For individuals requiring and receiving staff
assistance for the following specialized care: aids or appliances for visual
or auditory deficits or both; aids, appliances or equipment for physical
disabilities; in dwelling catheterization; insulin injections for stabilized
diabetics; cardiovascular or respiratory medications and multiple daily
monitoring; incontinence care and assistance in personal care; seizure
medication and monitoring of unstable condition; or a moderately serious level
of maladaptive behavior as measured by the Inventory for Client and Agency
Planning (ICAP) (DLM Teaching Resources, One DLM Park, Allen, Texas 75002,
1986);
ii) Level II. For individuals requiring and receiving staff
assistance for the following specialized care: personal care and assistance
with transfer and movement about the facility; insulin injections for diabetics
who are not stabilized; ostomy care; or a serious level of maladaptive behavior
as measured by the ICAP; or
iii) Level III. For individuals requiring and receiving staff
assistance for the following specialized care: intermittent catheterization;
wound care; respiratory care; tracheotomy care; tube feeding; or a very serious
level of maladaptive behavior as measured by the ICAP.
2) During breaks and non-training lunch periods, supervision
shall be provided to maintain the safety of the individual.
3) There shall be at least one QMRP for every 30 individuals.
e) Each individual shall have a designated QMRP who shall:
1) Convene the team as required by Section 119.220 to develop or
revise the plan;
2) Assure that the services specified in the plan are being
provided;
3) Assure the participation of team members;
4) Identify and address gaps in the provision of service;
5) Monitor the individual's status in relation to the plan;
6) Advocate for the individual's rights and services;
7) Provide for a written record of team meetings; and
8) Initiate and coordinate a meeting of the team as often as the
plan specifies or when required by problems or changes.
f) If the interdisciplinary team determines that services
required to meet the individual's needs are not available in the developmental
training program, the QMRP shall be responsible for linking the individual with
the level of service that meets his or her needs.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.220 INTERDISCIPLINARY TEAM (TEAM)
Section 119.220
Interdisciplinary team (team)
a) The provider shall assure that each individual has a single
interdisciplinary team which shall be responsible for preparing, revising,
documenting and implementing the plan in accordance with Section 119.230.
b) The team shall provide for and invite the active participation
of:
1) The individual and his or her legal guardian or both;
2) The persons who work most directly with the individual both at
the program and the individual's residence; and
3) The professionals who assess the individual's strengths and
needs (in accordance with Section 119.225), and design and evaluate the
individual's program.
c) At least one member of the team shall be a QMRP who shall
provide services as specified in Section 119.215 and shall be responsible for
convening the team.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.225 ASSESSMENT OF INDIVIDUALS
Section 119.225 Assessment
of individuals
The provider shall assure that,
at least annually, each individual receives assessments identified in Sections
119.205(e) and (f) that shall be documented in the individual's record and the
results explained to the individual or guardian.
a) The assessment shall determine the individual's strengths and
needs, level of adaptive and intellectual functioning, the presenting
problem(s) and disability(s), diagnosis and the services required to meet the
individual's needs.
b) The assessment shall be performed by staff trained in methods
of assessment such as physical, psychological, and functional.
c) Through the method of assessment and the interpretation of
results, the assessment shall be sensitive to the individual's:
1) Racial, ethnic and cultural background;
2) Chronological and developmental age;
3) Visual and auditory impairments;
4) Language preferences; and
5) Degree of disability.
d) Annual assessments for individuals shall include the ICAP or
the Scales of Independent Behavior (SIB) (DLM Teaching Resources, One DLM Park,
Allen, Texas 75002, 1985).
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.230 INDIVIDUAL SERVICES PLAN (PLAN)
Section 119.230 Individual
services plan (plan)
a) When the individual enters a program, staff shall:
1) Document in the record those services being provided to the
individual until a plan is developed; and
2) Explain to the individual all rights stated in Section
119.235, and provide the individual with a copy of those rights. This shall be
documented in the individual's record.
b) Within 30 days after an individual's entry into the program, a
plan shall be developed by the team that states goals and objectives for
developmental training that:
1) Is based on the assessment results;
2) Reflects the individual's or guardian's preferences for goals,
objectives, and services;
3) Identifies services and supports to be provided and by whom;
and
4) Has objectives that:
A) Are measurable;
B) Have timeframes for completion; and
C) Have a person assigned responsibility.
c) The plan shall include the names and titles of all staff and
other persons contributing to the plan.
d) The plan shall be signed by the QMRP and the individual or
guardian.
e) The individual or guardian shall be offered a copy of the
plan.
f) The plan shall become a part of the individual's record.
g) At least monthly, the QMRP shall review the plan and document
in the record that:
1) Services are being implemented; and
2) Services identified in the plan continue to meet the
individual's needs or require modification or change to better meet the
individual's needs.
h) The team shall review the plan, at least annually, and shall
note the status of the individual including any progress or regression which
might require modification to the plan.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.232 WORK ACTIVITIES
Section 119.232 Work
activities
When an individual participates
in work activities, the individual services plan must contain assessments or
documentation that:
a) The work activities are necessary to achieve the individual's
goals and objectives;
b) The work activities are part of an organized training program
to teach the individual new skills;
c) The individual is not able to work at a competitive wage
level;
d) The individual's other goals, objectives and needs are being
addressed, whether in the developmental training program, in the residential
program, or in the home; and
e) The work activities are not directly related to the
preparation of the individual for a specific paid or unpaid job.
(Source: Added at 22 Ill. Reg. 16244, effective August 27, 1998)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.235 INDIVIDUAL RIGHTS AND CONFIDENTIALITY
Section 119.235 Individual
rights and confidentiality
To insure that the individual's
rights are protected and that all services provided to the individual comply
with the laws cited in subsections (a) and (b) of this Section, providers shall
assure that:
a) The individual's rights are protected in accordance with the
Code, except that the use of seclusion shall not be permitted.
b) The individual's right to confidentiality is in accordance
with the Act.
c) Staff shall inform individuals entering a program of their
rights in accordance with subsections (a) and (b) of this Section and of their
right to contact the Guardianship and Advocacy Commission, Equip for Equality,
Inc., and the provider's human rights committee. Staff shall offer assistance
to individuals in contacting these groups, giving each individual the address
and telephone number of the Guardianship and Advocacy Commission and Equip for
Equality, Inc. This information shall be given to the individual and his or
her guardian in writing. If the individual is unable to read, the information
shall be read and explained to him or her in a language he or she understands.
Staff shall, upon request, offer assistance to individuals in contacting the
Commission and Protection and Advocacy.
d) There is documentation in the record that staff have advised
the individual of his or her rights, provided justification for any restriction
of the individual's rights in accordance with Chapter 2 of the Code or assisted
in contacting the Guardianship and Advocacy Commission.
e) Providers have procedures that permit the individual or
guardian to present grievances and to appeal decisions to deny, modify, reduce
or terminate services up to and including the authorized agency
representative. The procedures shall require, at a minimum:
1) Notification of a right to appeal actions to deny, modify,
reduce or terminate services be given to the individual or guardian upon entry
into the program;
2) Written notice shall be given, 10 days in advance, of actions
to deny, modify, reduce or terminate services;
3) That no provider action shall be implemented pending a final
administrative decision;
4) Time frames for notice of intent to appeal and the rendering
of a final administrative decision; and
5) That no one directly involved in the action or decisions being
grieved or appealed shall be part of the review of that action or decision.
f) The authorized agency representative's decision on the
grievance shall constitute a final administrative decision and shall be subject
to review in accordance with the Administrative Review Law [735 ILCS 5/Art.
III].
g) The individual is not excluded, suspended or discharged from
services and services are not reduced for exercising any of his or her rights.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.240 SPECIAL TRAINING PROCEDURES
Section 119.240 Special
training procedures
a) The provider shall develop policies and procedures and shall
govern the use of all special training procedures used to modify behaviors that
the team determines to be a problem or maladaptive.
b) The program shall prohibit corporal punishment, seclusion,
abuse, neglect and exploitation of individuals.
c) To maximize the individual's growth, development and
independence, the program shall use positive reinforcement in keeping with the
individual's developmental level and learning, emotional, and environmental
needs.
d) The plan of an individual who exhibits maladaptive behavior
shall include provisions to train the individual in the circumstances, if any,
under which the behavior can be exhibited adaptively, or how to channel the
behavior into similar but adaptive expressions, or how to replace the
maladaptive behavior with adaptive behavior.
e) Procedures used to prevent individuals from harming themselves
or others that are not part of the plan shall not be repeated more than three
time within a six-month period without being incorporated into the plan.
f) Aversive procedures and time-out shall be used only as part of
a plan.
g) Whenever physical restraint, medications to manage behavior,
time-out rooms, aversive conditioning or other procedures with similar degrees
of restriction or intrusion are used to manage maladaptive behavior:
1) The team shall determine and document in the record that the
harmful effects of the behavior clearly outweigh all of the potentially harmful
effects of the procedure;
2) The procedure shall be an integral part of the plan which will
lead to a less restrictive way to manage, and ultimately eliminate the
behavior;
3) The record shall document that informed consent was obtained;
and
4) The program's behavior management committee and human rights
committee shall review and approve the procedure in accordance with Section
119.245.
h) The behavior management committee and human rights committee
shall review and approve proposed special training procedures that call for
concurrent administration of more than one medication to manage an individual's
behavior while attending the program. Medications so ordered shall be
accompanied by a physician's progress note substantiating that use of the
medication is justified, is within a therapeutic dosage range, and will not
adversely affect the therapeutic benefits of other medications. The medically
supervised special training procedures shall assure that:
1) The medications are not administered in doses that will
interfere with the individual's daily living activities;
2) The medications are monitored for desired responses and
adverse consequences; and
3) The medications are gradually withdrawn at least annually
unless clinically contraindicated.
i) Programs using restraints in any special training procedure
shall comply with Section 2-108 of the Code.
j) The use of time-out rooms shall be in accordance with 42 CFR
483 (1996) (Conditions of Participation for Long Term Care Facilities.)
k) The team shall implement time-out, medications for behavior
management and aversive procedures programs only when:
1) The individual's behavior is likely to cause physical or
psychological harm to the individual or others;
2) Positive procedures used within the past six months have been
documented to be ineffective in reducing or eliminating this particular
behavior;
3) Both the human rights committee and the behavior management
committee have approved the program prior to implementation; and
4) The authorized agency representative has given written
approval.
l) Any approval by the program's human rights and behavior
management committees and authorized agency representative of an individual's
written aversive procedures program shall expire in 30 days. The program shall
not continue beyond that time unless it is reviewed and approved by both
committees and the authorized agency representative.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.245 COMMITTEES
Section 119.245 Committees
a) A program shall have a human rights committee.
1) Not more than half of the members shall be program employees.
2) The committee shall review program policies, procedures and
practices which restrict an individual's rights.
3) The program shall inform the committee of any complaints
involving individual's rights, violations and any corrective actions.
4) At least one member shall be an individual or his or her
representative.
b) A program which uses special training procedures as specified
in Section 119.240 for managing maladaptive behavior shall establish a behavior
management committee.
1) Members shall include persons qualified to evaluate published
behavior management studies and the technical adequacy of proposed behavior
management interventions. Persons are qualified by training and experence such
as a clinical psychologist to review oversight procedures.
2) When drugs to manage behavior are used, a professional
qualified to evaluate their use, such as a physician or pharmacist, shall be a
member of the committee.
c) The human rights committee and behavior management committee
shall:
1) Approve special training procedures prior to their
implementation and review those procedures at least every three months, except
aversive conditioning procedures which shall be reviewed and approved at least
every 30 days;
2) Maintain minutes, including attendance and decisions made; and
3) Have at least five members.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.250 MEDICATIONS AND MEDICAL CARE
Section 119.250 Medications
and medical care
a) All medications shall be specifically prescribed for the
individual by a physician or a dentist with the intent of the physician or
dentist that it be taken by the individual under program oversight of the
provider staff.
b) The provider as it exercises program oversight may, as needed,
guide the individual in self-administration of medications as part of the
training program for independent living if the individual is not capable of
self-administration.
c) Medications shall be secured from unauthorized access and only
a physician, pharmacist, registered or licensed practical nurse or program
personnel authorized to provide program oversight of the self-administration of
medications shall have access to medications.
d) Programs shall provide an area for care of individuals who
become ill.
e) Programs shall have available the American Red Cross First Aid
Kit or the equivalent contents.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.255 ENVIRONMENTAL MANAGEMENT
Section 119.255
Environmental management
a) Buildings used by the provider for the program shall:
1) Be safe and clean;
2) Conform with Chapters 28, 29, and 31 (specifically Section
31-1.1 through 31-1.6 of Chapter 31) of the NFPA 101, Life Safety Code
(National Fire Protection Association, 1988) (Storage buildings of less than
200 square feet of floor area are exempt from compliance with Chapter 29);
3) Conform with the Environmental Barriers Act [410 ILCS 25] and
71 Ill. Adm. Code 400 (Illinois Accessibility Code);
4) Have a normal temperature and humidity comfort range in
accordance with the American Society of Heating, Refrigerating, and Air
Conditioning Engineers (ASHRAE), Handbook of Fundamentals (National Association
of American Society of Heating, Refrigerating, and Air Conditioning, United
Engineering Center, 345 East 47th Street, New York, New York 10017, 1977); and
5) Have a written preventive maintenance program which includes a
schedule for inspection and service of equipment and physical plant.
b) Toilets and bathrooms shall provide privacy and be located and
equipped to facilitate accessibility and independence. When needed by the
individual, special assistance or devices shall be provided.
c) The provider shall maintain copies of inspections performed by
local and state inspectors in regard to health, sanitation and environment.
d) The provider shall develop, implement and maintain a disaster
preparedness plan which shall be reviewed annually, revised as necessary, and
ensure that:
1) Records and reports of fire and disaster training are
maintained;
2) A record of actions taken to correct noted deficiencies in
disaster drills or inspections is maintained;
3) Staff know how to react to fire, severe weather, missing
persons, medical emergencies, poison control and deaths;
4) Individuals can react to fire and severe weather emergencies
or they are receiving training;
5) Staff and individuals can locate fire-fighting equipment,
first aid kits, evacuation routes and procedures; and
6) A telephone is available with a list of the telephone numbers
of the nearest poison control center, the police, the fire department and
emergency medical personnel.
e) The provider shall have procedures for evacuation which ensure
that:
1) Evacuation drills are conducted at a frequency determined by
the provider based on the needs and abilities of the individuals served;
2) Evacuation drills occur at least annually;
3) Special provisions are made for those individuals who cannot
evacuate the building without assistance, including those with physical
disabilities and individuals who are deaf and/or blind;
4) All personnel are trained to carry out their assigned
evacuation tasks;
5) Corrective action is taken when inefficiency or problems are
identified during an evacuation drill; and
6) Drills include actual evacuation of individuals to safe areas.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.260 ADMINISTRATIVE REQUIREMENTS
Section 119.260
Administrative requirements
a) Governing body
1) Each program which is owned or operated by any corporation,
association, or unit of local government shall have a governing body in which
is vested authority and responsibility for the organization, management,
control and operation of the program in compliance with the General Not For
Profit Corporation Act of 1986 [805 ILCS 105], and with the Department's rules
at 59 Ill. Adm. Code 103 (Grants).
2) The names and addresses of all owners or controlling parties
(whether they are sole proprietorship, association, partnership, corporation,
or subdivisions of other bodies, such as public agencies or religious,
fraternal or other charitable organizations) shall be fully disclosed and
provided to the Department annually. For corporations, the names and addresses
of all officers, directors, and principal stockholders, either beneficial or of
record, shall be disclosed.
3) The governing body shall include persons who have no direct or
indirect financial interest in the program and who reside in the geographic area
served by the program and include persons with developmental disabilities and
consumer representatives.
4) The provider shall notify the governing body of the
Department's annual survey and other State and local inspections which indicate
the outcome and disposition of any findings resulting from a survey.
b) Advisory board
1) A program which is owned or operated by a sole proprietor or
partnership shall appoint and maintain an advisory board whose members shall be
persons who have no direct or indirect financial interest in the program, and
who reside in the geographic area served by the program, and who include
persons with developmental disabilities and consumer representatives.
2) The advisory board shall ensure that each program owned or
operated by a sole proprietor or partnership shall have a charter, mission
statement, goals and objectives.
c) Authorized agency representative
The provider shall appoint an authorized agency
representative whose qualifications and duties are defined in writing and
include authority for program administration and management. His or her
performance shall be reviewed and documented annually by the governing body.
d) Provider policy requirements
1) The program shall have written policies which shall be
reviewed annually, revised as necessary and approved by the governing body or
advisory board and shall describe:
A) Goals and objectives reflecting annual and long-range plans;
B) The population served, including age groups, disabilities and
the geographic service area;
C) The services provided in response to individual and community
needs including:
i) The hours and days of operation;
ii) The methods used to perform initial screening and assessment
of individuals;
iii) A description of processes used for development of the
services plan;
iv) The use and approval of special training procedures such as
time-out, restraint and aversive techniques;
v) Handling emergencies and disasters; and
vi) Maintenance of buildings, vehicles and equipment.
2) Program policy shall ensure the availability of professional,
administrative and support staff to assess and address the needs of
individuals. This includes personnel and consultants who can communicate,
either verbally or non-verbally, with individuals.
3) Program policy shall ensure that Department-authorized
consumer-interest groups shall be permitted, with the consent of the
individuals, to visit a program.
A) Consumer interest groups must request authorization in writing
to visit specific programs. The request shall be made to the Department and
shall specify the program to be visited and the reason for the group's proposed
visit. If the group agrees to the conditions set out below, the request shall
contain those agreements.
B) The Department shall authorize a group to visit a program for a
period of one year if:
i) The group has as one of its organizational purposes to review
public services for mentally disabled individuals;
ii) The group agrees that its visits will not interfere with the
program; and
iii) The group agrees to abide by the provisions of the Act
concerning records and communications of individuals in programs.
C) The Department shall revoke its authorization or not renew the
authorization if it has information that the group has not abided by the
conditions set out above.
D) Any group whose authorization has been denied, revoked or not
renewed may appeal the decision in writing to the Secretary, who shall review
the decision and accept or reverse it within 30 days. The Secretary shall
uphold the decision if he or she finds that the group has not abided by this
Part.
e) Personnel requirements
1) Programs shall not discriminate in the hiring or employment of
staff on the basis of race, color, age, national origin, sex, religion, or
handicap.
2) Personnel policies and procedures shall be in writing and
available for review.
3) The program shall have written job descriptions or contractual
agreements for every position, including consultant and direct-service
volunteer positions, which list the job title, duties and responsibilities,
minimum experience and educational requirements, immediate supervisor and
subordinates.
4) Staff shall be licensed, registered or certified by the State,
if required.
5) When paraprofessional or untrained staff are used in direct
services, they shall be supervised by professional staff.
6) A pay plan for all position titles in use shall be available
for review by the Department.
7) An agency shall not employ a person in any capacity until the
agency has inquired of the Department of Public Health as to information in the
Nurse Aide Registry concerning the person. If the Registry has information
substantiating a finding of abuse or neglect against the person, the agency
shall not employ him or her in any capacity.
f) Staff and volunteer training
1) Training in principles and practices in the following areas
shall be provided to direct service and professional staff:
A) Cardiopulmonary resuscitation (CPR), Heimlich maneuver and
first aid;
B) Behavior management;
C) Normalization;
D) Age and cultural appropriateness;
E) Safety, fire, and disaster procedures including:
i) Use of fire-fighting equipment; and
ii) Familiarity with the disaster preparedness plan.
F) Prevention, handling, and reporting of abuse, neglect,
exploitation, unusual incidents (see subsection (h) of this Section):
G) Individual rights in accordance with Chapter 2 of the Code and
maintaining confidentiality in accordance with the Act;
H) Team planning;
I) Infection control and sanitation; and
J) Food preparation and handling for staff who prepare and serve
food to individuals.
2) Training for volunteers working directly with individuals
shall be provided in the areas discussed in subsections (f)(1)(A), (E), (F) and
(G) of this Section. The agency shall provide a training program for other
volunteers.
g) Quality assurance
1) There shall be a written quality assurance plan and ongoing
activities designed to review and evaluate services to individuals, operation
of programs and to resolve identified problems.
2) The scope of quality assurance shall include reviewing
semi-annually, or more frequently if problems are identified, at least the
following:
A) Service planning;
B) The use of special training procedures including behavior
management procedures;
C) Unusual incidents relative to services to individuals;
D) Service utilization;
E) Individuals' records ensuring that they meet the requirements
of this Part;
F) Subcontracted services to ensure that the needs of individuals
are being met; and
G) The status of individuals receiving service.
3) Records of quality assurance reviews and activities shall be
filed separately from the records of individuals.
h) Unusual incidents
1) The provider shall have written policies and procedures for
handling, investigating, reporting, tracking and analyzing unusual incidents
through the provider's management structure, up to and including the authorized
agency representative. The provider shall ensure that staff demonstrate their
knowledge of, and follow such policies and procedures that shall include but
are not limited to:
A) Rape or sexual assault;
B) Abuse or neglect;
C) Death;
D) Physical injury;
E) Assault;
F) Missing individuals;
G) Theft; and
H) Criminal conduct.
2) Within 24 hours after becoming aware of an incident, the
provider shall report to the appropriate law enforcement agencies any incident
which is subject to the Criminal Code of 1961 [720 ILCS 5].
3) The provider shall ensure that suspected instances of abuse or
neglect against individuals in programs that are certified by the Department
are reported to the Office of Inspector General (Section 6.2 of the Abused and
Neglected Long Term Care Facility Residents Reporting Act [210 ILCS 30/6.2]).
i) Individual's record (record)
1) The program shall ensure the confidentiality of an
individual's record in accordance with the Act and shall ensure safekeeping of
all records against loss or destruction. Individuals or their guardians shall
have access to the individual's record upon request.
2) The program shall maintain a chronological record for each
individual. Records shall be located at a site, designated by the program, that
is accessible and convenient to staff contributing to the plan.
A) Each entry shall be legible, dated and authenticated by the
signature and title of the person making the entry.
B) Corrections shall be initialed and made in such a way as to
leave the original incorrect entry legible.
C) When symbols or abbreviations are used, the program shall
provide a legend, standardized throughout the program, to explain them.
3) The following information shall be obtained and recorded when
an individual enters a program, and shall be updated as necessary:
A) Identifying information including name, date of birth, sex,
race, social security number and legal status;
B) The name, address and telephone number of the guardian or the
person to be notified in case of an emergency;
C) The language spoken or understood by the individual including,
in the case of a hearing impaired or non-verbal individual, the individual's
preferred mode of communication, e.g., American sign language, signed English,
aural, oral or tactile communications device;
D) Psychological assessments and recommendations;
E) Prescribed medications, allergies to foods, other medications
and substances;
F) Physical and dental examinations and medical history;
G) Consent to receive emergency medical services; and
H) Copies of the authorization for release of information.
4) The following shall be entered in the individual's record
during the period of service:
A) Prior service history;
B) Initial assessments and plan and the most recent assessments
and plan;
C) Documentation of approval and their results when special
training procedures are used such as time-out, restraint and aversive
procedures; and
D) Chronological progress notes, at least monthly, documenting the
individual's involvement in and response to the plan.
j) Financial and operational requirements
Programs shall comply with 59 Ill. Adm. Code 103 (Grants).
(Source: Amended at 23 Ill. Reg. 10211, effective August 23, 1999)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.261 APPLICATION FOR WAIVER OF THE PROHIBITION AGAINST EMPLOYMENT
Section 119.261 Application
for waiver of the prohibition against employment
a) Hiring of direct care employees
A provider shall not knowingly hire or retain any
person after January 1, 1998 in a full-time, part-time or contractual direct
care position if that person has been convicted of committing or attempting
to commit one or more of the following offenses unless the applicant or
employee obtains a waiver pursuant to subsections (i) through (l) of this
Section (Section 25 of the Health Care Worker Background Check Act [225 ILCS
46/25]):
1) Murder, homicide, manslaughter or concealment of a homicidal
death (Sections 9-1 through 9-3.3 of the Criminal Code of 1961 [720 ILCS 5/9-1
through 9-3.3]);
2) Solicitation of murder and solicitation of murder for hire
(Sections 8-1.1 and 8-1.2 of the Criminal Code of 1961 [720 ILCS 5/8-1.1 and
8-1.2]);
3) Kidnaping or child abduction (Sections 10-1, 10-2, 10-5 and
10-7 of the Criminal Code of 1961 [720 ILCS 5/10-1, 10-2, 10-5 and 10-7]);
4) Unlawful restraint or forcible detention (Sections 10-3,
10-3.1 and 10-4 of the Criminal Code of 1961 [720 ILCS 5/10-3, 10-3.1 and
10-4]);
5) Assault, battery or infliction of great bodily harm (Sections
12-1, 12-2, 12-3, 12-3.1, 12-3.2, 12-4, 12-4.2, 12-4.3, 12-4.4, 12-6 and 12-7
of the Criminal Code of 1961 [720 ILCS 5/12-1, 12-2, 12-3, 12-3.1, 12-3.2,
12-4, 12-4.2, 12-4.3, 12-4.4, 12-6 and 12-7]);
6) Sexual assault or abuse (Sections 12-13, 12-14, 12-15 and
12-16 of the Criminal Code of 1961 [720 ILCS 5/12-13, 12-14, 12-15 and 12-16]);
7) Indecent solicitation of a child (Section 11-6 of the Criminal
Code of 1961 [720 ILCS 5/11-6]);
8) Predatory criminal sexual assault of a child (Section 12-14.1
of the Criminal Code of 1961 [720 ILCS 5/12-14.1]);
9) Sexual exploitation of a child (Section 11-9.1 of the Criminal
Code of 1961 [720 ILCS 5/11-9.1]);
10) Exploitation of a child (Section 11-19.2 of the Criminal Code
of 1961 [720 ILCS 5/11-19.2]);
11) Child pornography (Section 11-20.1 of the Criminal Code of 1961
[720 ILCS 5/11-20.1]);
12) Endangering the life or health of a child (Section 12-21.6 of
the Criminal Code of 1961 [720 ILCS 5/12-21.6]);
13) Cruelty to children (Section 53 of the Criminal Jurisprudence
Act [720 ILCS 115/53], repealed by P.A. 89-234, effective January 1, 1996);
14) Abuse or gross neglect of a long-term care facility resident
(Section 12-19 of the Criminal Code of 1961 [720 ILCS 5/12-19]);
15) Criminal neglect of an elderly or disabled person (Section
12-21 of the Criminal Code of 1961 [720 ILCS 5/12-21]);
16) Theft, financial exploitation of an elderly or disabled person,
robbery or burglary (Sections 16-1, 16-1.3, 16A-3, 18-1, 18-2, 19-1 and 19-3 of
the Criminal Code of 1961 [720 ILCS 5/16-1, 16-1.3, 16A-3, 18-1, 18-2, 19-1 and
19-3]);
17) Aggravated robbery (Section 18-5 of the Criminal Code of 1961
[720 ILCS 5/18-5]);
18) Criminal trespass (Section 19-4 of the Criminal Code of 1961
[720 ILCS 5/19-4]);
19) Home invasion (Section 12-11 of Criminal Code of 1961 [720 ILCS
5/12-11]);
20) Arson (Sections 20-1 and 20-1.1 of the Criminal Code of 1961
[720 ILCS 5/20-1 and 20-1.1]);
21) Unlawful use of weapons or aggravated discharge of a firearm
(Sections 24-1 and 24-1.2 of the Criminal Code of 1961 [720 ILCS 5/24-1 and
24-1.2]);
22) Armed violence (Article 33A of the Criminal Code of 1961 [720
ILCS 5/Art. 33A]);
23) Heinous battery (Section 12-4.1 of the Criminal Code of 1961
[720 ILCS 5/12-4.1]);
24) Tampering with food, drugs or cosmetics (Section 12-4.5 of the
Criminal Code of 1961 [720 ILCS 5/12-4.5]);
25) Aggravated stalking (Section 12-7.4 of the Criminal Code of
1961 [720 ILCS 5/12-7.4]);
26) Ritual mutilation and ritualized abuse of a child (Sections
12-32 and 12-33 of the Criminal Code of 1961 [720 ILCS 5/12-32 and 12-33]);
27) Forgery (Section 17-3 of the Criminal Code of 1961 [720 ILCS
5/17-3]);
28) Vehicular hijacking and aggravated vehicular hijacking
(Sections 18-3 and 18-4 of the Criminal Code of 1961 [720 ILCS 5/18-3 and
18-4]);
29) Manufacture, delivery or trafficking of cannabis (Sections 5,
5.1 and 9 of the Cannabis Control Act [720 ILCS 550/5, 5.1 and 9]); and
30) Delivery of cannabis on school grounds (Section 5.2 of the Cannabis
Control Act [720 ILCS 550/5.2]);
31) Delivery of cannabis by a person at least 18 years of age to a
person under 18 who is at least three years his or her junior (Section 7 of the
Cannabis Control Act [720 ILCS 550/7]); and
32) Manufacture, delivery or trafficking of controlled substances
(Sections 401, 401.1, 404, 405, 405.1, 407 and 407.1 of the Illinois Controlled
Substances Act [720 ILCS 570/401, 401.1, 404, 405, 405.1, 407 and 407.1]).
b) Definitions
For the purposes of this Section, the following terms are
defined:
"Applicant." A person seeking employment
with a provider who has received a bona fide conditional offer of
employment. (Section 15 of the Health Care Worker Background Check Act
[225 ILCS 46/15])
"Conditional offer of employment." A bona fide
offer of employment by a provider to an applicant, which is contingent
on the receipt of a report from the Department of State Police indicating
that the applicant does not have a record of conviction of any of the criminal
offenses enumerated in subsections (a)(1) through (32) of this Section.
(Section 15 of the Health Care Worker Background Check Act [225 ILCS 46/15])
"Direct care." The provision of nursing
assistance with meals, dressing, movement, bathing, or other personal
needs of maintenance, or general supervision and oversight of the physical and
mental well-being of an individual who is incapable of maintaining a
private, independent residence or who is incapable of managing his or
her person whether or not a guardian has been appointed for that individual.
(Section 15 of the Health Care Worker Background Check Act [225 ILCS 46/15])
"Initiate." The obtaining of the authorization
for a record check from a student, applicant, or employee. The provider shall
transmit all necessary information and fees to the Illinois State Police within
10 working days after receipt of the authorization. (Section 15 or the
Health Care Worker Background Check Act [225 ILCS 46/15])
"Nurse Aide Registry." The registry of nurse aides
kept by the Department of Public Health pursuant to Section 3-206.01 of the
Nursing Home Care Act [210 ILCS 45/3-206.01].
"UCIA" The Uniform Conviction Information Act [20
ILCS 2635].
c) Nurse Aide Registry
For all applicants for nurse aide positions, the provider
shall check the Nurse Aide Registry to determine the date of the applicant's
last UCIA criminal history record check. If it has been more than one year
since the records check, the provider must initiate or have initiated on
its behalf a UCIA criminal history record check for the nurse aide.
(Section 30(b) of the Health Care Worker Background Check Act [225 ILCS
46/30(b)])
d) Conditional offers
Effective January 1, 1996, if the provider makes a
conditional offer of employment to an applicant other than a nurse aide who
is not exempt under subsection (m) of this Section for a direct care position,
the provider shall initiate or have initiated on its behalf a UCIA
criminal history record check except as provided for in subsection (e)(2)
of this Section. (Section 30(c) of the Health Care Worker Background Check Act
[225 ILCS 46/30(c)])
e) Initiation of UCIA criminal history record check
1) By January 1, 1997 the provider must initiate a UCIA
criminal history record check for all direct care employees who were
hired before January 1, 1996, who have not already had a UCIA criminal history
record check and who are not exempt in accordance with subsection (m) of this
Section. (Section 30 of the Health Care Worker Background Check Act [225 ILCS
46/30])
2) If the agency initiated a criminal background check on an
employee hired after January 1, 1996 and before January 1, 1998, the agency
does not need to initiate an additional criminal history record check to
determine if the employee has a record of conviction of any of the offenses
enumerated in subsections (a)(2), (7), (9) through (13), (17), (22) through
(28), (30) and (31) of this Section. (Section 25.1 of the Health Care Worker
Background Check Act [225 ILCS 46/25.1])
f) Request for UCIA criminal history record check
The provider shall request the UCIA criminal
history record check in accordance with the requirements of the
Department of State Police. (See 20 Ill. Adm. Code 1265.) The provider
shall notify the applicant or employee of the following whenever a
non-fingerprint UCIA Criminal History Record search is made.
(Section 30 of the Health Care Worker Background Check Act [225 ILCS 46/30]):
1) That the provider shall request or have requested on
its behalf a UCIA criminal history record check pursuant to the Health
Care Worker Background Check Act;
2) That the applicant or employee has a right to obtain a copy
of the criminal records report, challenge the accuracy and completeness of the
report and request a waiver in accordance with subsection (j)(1) of this
Section;
3) That the applicant, if hired conditionally, may be
terminated if the criminal records report indicates that the applicant has a
record of conviction of any of the criminal offenses enumerated in
subsections (a)(1) through (32) of this Section unless the applicant's
identity is validated and it is determined that the applicant or employee does
not have a disqualifying criminal history record based on a fingerprint-based
records check pursuant to subsection (h) of this Section or the employee
receives a waiver pursuant to subsection (j)(1) of this Section;
4) That the applicant or employee cannot work in a direct care
position while a waiver request is pending;
5) That the applicant, if not hired conditionally, shall not
be hired if the criminal records report indicates that the applicant has a
record of conviction of any of the criminal offenses enumerated in
subsections (a)(1) through (32) of this Section unless the applicant's
record is cleared based on a fingerprint-based record check pursuant to
subsection (h) of this Section or the employee receives a waiver pursuant to
subsection (j)(1) of this Section;
6) That the employee may be terminated if the criminal records
report indicates that the employee has a record of conviction of any of the
criminal offenses enumerated in subsections (a)(1) through (32) of this
Section unless the record is cleared based on a fingerprint-based records
check pursuant to subsection (h) of this Section or the employee receives a
waiver pursuant to subsection (j)(1) of this Section.
g) Conditional employment
The provider may conditionally employ an applicant to
provide direct care for up to three months pending the results of a UCIA
criminal history record check. (Section 30(g) of the Health Care Worker
Background Check Act [225 ILCS 46/30(g)])
h) Request for fingerprint-based UCIA criminal records check
An applicant, employee, or nurse aide whose UCIA criminal
history record check indicates a conviction for committing or attempting to
commit one or more of the offenses enumerated in subsections (a)(1) through
(32) of this Section may request that the provider commence a
fingerprint-based UCIA criminal records check by submitting information in a
form and manner prescribed by the Department of State Police (see 20 Ill.
Adm. Code 1265) within 30 days after receipt of the criminal records report
to validate identity and clear one's record. (Section 35 of the Health Care
Worker Background Check Act [225 ILCS 46/35])
i) Eligibility for waiver
1) An applicant, employee, or nurse aide may request a waiver
of the prohibition against employment. (Section 40 of the Health Care
Worker Background Check Act [225 ILCS 46/40])
2) The Department may grant a waiver based on any
mitigating circumstances, which may include but not be limited to:
A) The applicant's, employee's or nurse aide's age at
the time that the crime was committed;
B) The circumstances surrounding the crime;
C) The length of time since the conviction;
D) The applicant or employee's criminal history since the
conviction;
E) The applicant or employee's work history;
F) The applicant or employee's current employment references;
G) The applicant or employee's character references;
H) Nurse Aide Registry records; and
I) Other evidence demonstrating the ability of the applicant
or employee to perform the employment responsibilities competently and evidence
that the applicant or employee does not pose a threat to the health or safety
of residents, recipients or clients. (Section 40(b) of the Health
Care Worker Background Check Act [225 ILCS 46/40(b)])
j) Application for waiver
1) If the applicant, employee or nurse aide wishes to request a
waiver, the request shall be submitted within 5 calendar days after receipt
of the criminal records report. A complete waiver request shall include the
following:
A) A statement specifying any mitigating circumstances (see
subsection (i)(2) of this Section) the person believes are relevant to the
employment in question; and
B) Either:
i) Information necessary for the Department to obtain a
fingerprint-based UCIA criminal records check, including a suitable set of
fingerprints, in a form and manner prescribed by the Department of State Police
(see 20 Ill. Adm. Code 1265), the fee for such a check (which shall not exceed
the actual cost of the check) and the findings of the required non
fingerprint-based UCIA criminal records check conducted by the Department of
State Police; or
ii) The report of the results of the fingerprint-based UCIA criminal
records check done pursuant to subsection (h) of this Section.
2) Provider staff may assist the applicant, employee or nurse
aide in completing the application.
3) The waiver request shall be submitted to:
Accreditation, Licensure and Certification
Department of Human Services
405 Stratton Building
Springfield IL 62765
k) Waiver decision
1) The waiver request shall be reviewed by a panel of Department
staff. The Department shall return a decision to the applicant, employee, or
nurse aide and the provider within 30 calendar days after receipt of the
completed waiver request including receipt of a report from the State Police
based on the fingerprint-based record check.
2) The provider is not obligated to hire or offer permanent
employment to an applicant or to retain an employee who is granted a waiver.
(Section 40(f) of the Health Care Worker Background Check Act [225 ILCS
46/40(f)])
3) The Department shall be immune from liability for any
waivers granted. (Section 40(e) of the Health Care Worker Background Check
Act [225 ILCS 46/40(e)])
l) Appeal of the decision
1) The applicant, employee, or nurse aide may request further
review of his or her request for a waiver within 30 calendar days after the
receipt of the Department's denial of the waiver.
2) The applicant, employee, or nurse aide may submit additional
documentation of the mitigating circumstances.
3) The appeal shall be submitted to:
Director
Division of Disability and Behavioral Health Services
Department of Human Services
100 South Grand Avenue East
Springfield IL 62762
4) The Secretary shall act on the appeal within 30 calendar days
after receipt of the appeal and shall issue a final decision granting or
denying the waiver request.
m) This Section shall not apply to:
1) An individual who is licensed by the Department of
Professional Regulation or the Department of Public Health under another law;
or
2) An individual employed or retained by the provider as
defined by Section 15 of the Health Care Worker Background Check Act [225 ILCS
46/15] for whom a criminal background check is required by another law of
this State. (Section 20 of the Health Care Worker Background Check Act [225
ILCS 46/20])
n) The provider shall send a copy of the results of the
UCIA criminal history record check to the State Nurse Aide Registry for an
individual employed as a nurse aide within 10 working days after receipt of
the results. (Section 30(b) of the Health Care Worker Background Check Act
[225 ILCS 46/30(b)])
o) The provider shall retain on file for a period of
five years records of criminal records requests for all employees. The
files shall be subject to inspection by the Department's Office of
Accreditation and Licensure. The provider shall retain the results
of the UCIA criminal history records check and waiver, if appropriate, for the
duration of the individual's employment. A fine of $500 may be imposed for
failure to maintain these records. (Section 50 of the Health Care Worker
Background Check Act [225 ILCS 46/50])
(Source: Amended at 23 Ill. Reg. 190, effective December 15, 1998)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.270 ACCREDITATION
Section 119.270
Accreditation
a) Providers demonstrating current accreditation status under any
of the standards of the accrediting organizations identified in the definition
of "accreditation" in Section 119.120 of this Part shall be granted
deemed status for the following Sections of this Part:
1) Section 119.200(a) and (b);
2) Section 119.205;
3) Section 119.210(a) through (d);
4) Section 119.215;
5) Section 119.220;
6) Section 119.225;
7) Section 119.230(a) and (c) through (f);
8) Section 119.240(a) and (c) through (h);
9) Section 119.245;
10) Section 119.250; and
11) Section 119.260(a) through (e)(1) through (6), (g), (i) and
(j).
b) Demonstration of current accreditation status shall be
achieved by submission of a certificate of accreditation and the most recent
accreditation report by the provider to the Department.
c) If the provider's accreditation status changes for any reason,
the provider shall notify the Department of that change within 30 days after
the effective date of the change.
(Source: Amended at 23 Ill. Reg. 10211, effective August 23, 1999)
SUBPART C: CERTIFICATION REQUIREMENTS FOR DAY PROGRAMS
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.300 ISSUING A CERTIFICATE AND PERIOD OF CERTIFICATION
Section 119.300 Issuing a
certificate and period of certification
a) The Department shall issue a certificate after receipt of a
completed application, including the authorized agency representative's
signature and the date, and after verifying the provider's compliance with this
Part.
b) The Department shall survey providers and their certified
program. The Department shall review the provision of services, observe
individuals and staff, and inspect the records and premises for the purpose of
determining compliance with this Part.
c) The Department shall survey providers to determine their
compliance with this Part at the time of initial certification or certificate
renewal.
d) If a provider requests a waiver of any standard in this Part,
it shall present to the Department a plan of correction to comply with the
required standard, including a timetable for compliance and its rationale for
the waiver request. Standards identified in Sections 119.325(a)(1)(A), (B),
(C) and (D) shall not be waived.
e) If a provider is not able to comply with a standard in this
Part due to insufficient funding or no funding, the following shall occur:
1) The provider shall request a waiver of the specific standard
in its plan of correction which shall state that the provider cannot comply
with the standard due to insufficient funding or no funding;
2) The Department's Division of Developmental Disabilities shall
review the waiver request and determine if the waiver shall be granted, except
that no waiver shall be granted for any standard identified in Sections
119.325(a)(1)(A), (B), (C), and (D); and
3) If the Division of Developmental Disabilities determines that
a waiver should be granted, it shall direct the Bureau to waive the specific
standard.
f) If a provider requests an equivalency for any standard in this
Part, it shall present a written description to the Department of the
equivalency containing specific reference as to how the equivalency meets the
standard. An equivalency shall not be granted on standards identified in
Sections 119.325(a)(1)(A), (B), (C), and (D).
g) A certificate shall be valid for one year unless denied by the
Department.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.305 APPLICATION FOR CERTIFICATION
Section 119.305 Application
for certification
a) Forms
Providers shall obtain application forms by writing to:
Office of Accreditation and Licensure
Department of Human Services
405 Stratton Building
Springfield IL 62765
b) Certification renewal
1) Each certified provider shall submit a renewal application at
least 120 days before expiration of the certification. The Department shall
mail an application to the provider prior to the 120 day period before
expiration.
2) Prior to recertification, OAL shall survey a provider.
3) The Department shall recertify a provider in compliance with
this Part for an additional one-year period.
4) When the Department does not approve a provider for recertification,
the Department shall notify the provider, in writing, within 30 days after the
decision.
5) The notice shall include a clear and concise statement of the
violation on which the determination is based and notice of the opportunity for
a hearing in accordance with Section 119.330 of this Part.
6) The Department shall consider approving written requests for
the development and certification of new providers when the following
conditions are presented to the Department and verified:
A) The provider shall not force:
i) The provision of a service or residential setting on an
individual or guardian which does not meet the individual's needs and desires;
or
ii) Residential relocation of individuals away from participating
relatives;
B) The provider demonstrates through letters of support or working
agreement, a willingness to work cooperatively in coordinating services with
residential service providers in the geographic area where services are
provided; and
C) The provider shall identify unserved individuals who have been
assessed to be in need of developmental training.
(Source: Amended at 21 Ill. Reg. 8297, effective June 25, 1997)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.310 APPLICATION ACCEPTANCE AND VERIFICATION
Section 119.310 Application
acceptance and verification
a) Applications for certification shall be deemed received by the
Department on the postmarked date.
b) The Department shall notify a provider of any error or
omission made on the application within 30 days. If the provider fails to
respond to the notice within 30 days, the Department shall terminate the
application process and notify the provider within 30 days.
c) The Department shall either approve or disapprove the
application within 90 days after its receipt.
d) The Department shall verify information supplied in
applications. This may be done by telephone with the applicant or through
information provided by independent parties.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.315 NON-TRANSFERABILITY OF A CERTIFICATE
Section 119.315
Non-transferability of a certificate
a) A certificate is not assignable or transferable.
b) Change in ownership or discontinuation of operations causes
the certificate to be void.
c) Certification documents and all copies shall remain Department
property and shall be returned by the provider within 10 days after notifying
the Department of a change in ownership.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.320 CESSATION OF OPERATIONS
Section 119.320 Cessation of
operations
a) When a provider decides to terminate operation of a program,
it shall notify the following of its decision at least 60 days in advance of
termination:
1) The Department;
2) Individuals who must be transferred or discharged;
3) The individual's guardian and members of the individual's
family, when applicable;
4) Contractual staff; and
5) Subcontractors working with affected individuals.
b) The notice shall state the proposed date and reason for the
program's termination.
c) The provider shall advise individuals on available
alternatives and shall assist them in securing alternative services. If the
provider is unable to find an alternative, the Department shall assure
placement for those individuals funded by the Department. For residents of licensed
long-term care facilities, the facility shall assure placement.
d) After termination of a program, funding shall be continued in
the individual's new alternative by the State agency funding the individual in
the terminating program.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.325 CERTIFICATE DENIAL
Section 119.325 Certificate
denial
a) The Department shall deny certification at any time if the
provider:
1) Fails to maintain full compliance with standards identified
in:
A) Sections 119.235 (a) through (e);
B) Sections 119.240 (b), (g)(4), (i);
C) Sections 119.250 (a), (b); and
D) Sections 119.255 (a)(1) through (a)(3), (b), (d)(1) through
(d)(6), (e)(1), (e)(3), (e)(5), (e)(6);
2) Fails to maintain substantial compliance with all standards in
this Part other than those identified in subsection (a)(1) of this Section;
3) Fails to submit a plan of correction acceptable to the
Department for any violations resulting from an on-site survey by the
Department within 30 days of receipt of the notice of violation. A plan will
be acceptable to the Department if the proposed correction will cause
compliance with the applicable standard and if the timetable is reasonable.
Criteria for the timetable being reasonable include that the correction be made
immediately if the standard not complied with affects the safety or health of
individuals, or that compliance occurs within the period of certification for
all other standards noted as deficient;
4) Submits false information either on Department forms, plan(s)
of correction or during an on-site survey;
5) Refuses to permit or participate in a scheduled or unscheduled
survey; or
6) Willfully violates any rights of individuals being served as
identified in the Code or in the Act.
b) The Department shall refuse to certify a program or shall deny
a certificate if the owner, authorized agency representative or certificate
holder has been convicted of a felony, or a misdemeanor involving moral
turpitude, as shown by a certified copy of the court of conviction.
c) If the Department determines that individuals are at imminent
risk which has not or cannot be corrected, it shall immediately close the
affected program, plan for the immediate removal of all individuals and deny
the certificate of the provider. The affected program shall not operate and
shall not receive Department funding during the period of any appeal.
d) If a provider contests the Department's certification decision
pursuant to subsection (a), (b) or (c) of this Section, it may request a
hearing in accordance with Section 119.330, by providing written notice. The
Department shall notify the provider of the time and place of the hearing not
less than 14 days before the hearing date.
e) If the provider does not provide written notice, the
Department shall deny the certificate.
f) The Department shall immediately notify the Department of
Public Aid of the decertification of any provider.
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 119
MINIMUM STANDARDS FOR CERTIFICATION OF
DEVELOPMENTAL TRAINING PROGRAMS
SECTION 119.330 HEARINGS
Section 119.330 Hearings
a) The Department may not deny or suspend a certificate unless
the provider is given written notice of the grounds for the Department's
action. Except when denial of a certificate is based on imminent risk as
described in Section 119.325, the provider may operate and receive a
reimbursement for services during the period preceding the hearing, until such
time as a final decision is made.
b) Hearings shall be conducted in accordance with the
Department's rule at 89 Ill. Adm. Code 508.
(Source: Amended at 23 Ill. Reg. 10211, effective August 23, 1999)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
