TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.10 PURPOSE
Section 430.10 Purpose
The purpose of this Part is to
explain the internal review process for the Department's Office of Inspector
General (OIG) investigations. This includes the filing of complaints, OIG
records retrieval, subpoena power, confidentiality of information, and OIG
reports.
 | TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.20 DEFINITIONS
Section 430.20 Definitions
"Administrator"
means the person charged with administration of the Department Office, Private
Agency or Licensed Child Care Facility. In the case of foster homes, it refers
to either foster parent.
"Department"
means the Department of Children and Family Services.
"Department
Employee" means a full, part-time or contractual employee of the
Department.
"Department
Office" means a program, division or office of the Department.
"Director"
means the Director of the Department.
"Employee"
means a person employed by, or on contract with, the Department, a private
agency or licensed child care facility.
"Impounding"
means requiring immediate production of records.
"Licensed
Child Care Facility" means a foster home, day care center, child care
institution, day care home, group day care home, secure care facility, group
home, child welfare agency or youth emergency shelter, as defined in Section 10
of the Child Care Act [225 ILCS 10].
"Licensing
Standards" means all rules and laws applicable to the operation and
licensure of the particular licensed child care facility.
"Malfeasance"
means a wrongful act that the actor has no legal right to do, or any wrongful
conduct that affects, interrupts, or interferes with performance of an official
duty.
"Management"
means a private agency or Department employee who either supervises subordinate
employees or manages or administers a program or division.
"Misfeasance"
means the improper performance of some act that a person may lawfully do.
"Obstruction"
means hindering or preventing from progress, stopping or delaying the progress
of, or making the progress of an investigation difficult or slow.
"OIG"
or "Inspector General" means the Office of Inspector General of the
Department of Children and Family Services and includes the Inspector General,
investigators and employees of the office.
"Private
Agency" means a child welfare agency licensed through 89 Ill. Adm. Code
401 (Licensing Standards for Child Welfare Agencies) that contracts with the
Department.
"Private
Agency Employee" means a full or part-time employee or contractor of the
private agency.
"Record"
means any recording, either in written, audio, electronic transmission or
computer storage form, including, but not limited to, drafts, memoranda, notes,
reports, computer printouts, notations and messages, medical records, mental
health records, case files, clinical records, and financial and administrative
records.
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.30 OFFICE OF INSPECTOR GENERAL (OIG) INVESTIGATIONS
Section 430.30 Office of
Inspector General (OIG) Investigations
a) Investigations by the Office of Inspector General (OIG)
1) The Office of Inspector General (OIG) of the Department of
Children and Family Services investigates allegations of, or incidents of,
possible misconduct, misfeasance, malfeasance, or violation of rules,
procedures or laws by an employee, foster parent, service provider, or a
contractor of the Illinois Department of Children and Family Services, or
employees of the service provider or contractor. Any investigation conducted by
the Inspector General shall be independent and separate from an investigation mandated
by the Abused and Neglected Child Reporting Act [325 ILCS 5].
2) The Inspector General investigates deaths or serious injuries
in foster homes, child welfare institutions, independent living programs and
other facilities licensed by the Department, as well as deaths or serious
injury when there was an open child welfare service case or child protection
investigation by the Department within the preceding 12 months.
3) The Inspector General investigates complaints relating to
child welfare employee licensure pursuant to this Part and 89 Ill. Adm. Code
412 (Licensure of Direct Child Welfare Services Employees and Supervisors).
b) Operation of the Office of Inspector General (OIG)
1) The OIG shall be independent of the operations of the
Department and shall report to the Director and perform all other duties the
Director may designate.
A) The files of the Inspector General shall remain separate from
other files of the Department and shall not be open for review by the
Department or the general public.
B) Investigations will be conducted separately from any Department
investigations, including Independent Utilization Reviews and reviews or audits
conducted pursuant to 89 Ill. Adm. Code 434 (Audits, Reviews and
Investigations).
2) The Inspector General shall have access to all information and
personnel necessary to perform the duties of the office.
3) The Inspector General shall be the primary liaison between the
Department and the Illinois State Police. As such, Department management
personnel shall report all known criminal acts impacting on professional duties
of employees to the Inspector General, who will coordinate with the Illinois
State Police.
4) A full OIG investigation consists of:
A) Retrieval of relevant records, either through subpoena,
impounding or voluntary production;
B) Review of all relevant documentation; and
C) Interviews of all relevant persons.
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.40 COMPLAINTS
Section 430.40 Complaints
a) The Office of Inspector General accepts complaints in writing
from the general public. The OIG also maintains a toll-free hotline for public
complaints. Anyone wishing to file a complaint with the office may send written
comments to:
Office of the Inspector General
Illinois Department of Children and Family Services
2240 West Ogden
Chicago IL 60612
Call toll-free at 1-800-722-9124
b) Complaints will be evaluated to determine if they suggest
possible misconduct, misfeasance, malfeasance, or violation of rules,
procedures or statutes by a:
1) DCFS employee;
2) foster parent;
3) service provider or its employees; or
4) contractor of DCFS or its employees.
c) All complaints shall be reviewed to determine whether a full
investigation is warranted.
d) Complaints will not be accepted unless:
1) The complaint alleges misconduct, misfeasance or malfeasance
or a violation of rules, procedures or statutes or a basis for employee
licensure action pursuant to 89 Ill. Adm. Code 412.
2) The complaint is against a person within the jurisdiction of
the Inspector General's office.
3) The allegations can be independently verified through
investigation.
e) The Inspector General will determine within 2 weeks after
receipt of a complaint whether it will be accepted for an initial
investigation. A full investigation will include an examination of all relevant
documents and interviews of relevant persons.
f) Complaints alleging a basis for a child welfare services
employee licensure action will be submitted to the appointed staff of the Child
Welfare Employee Licensure Board and will be evaluated pursuant to 89 Ill. Adm.
Code 412.60 (Investigation, Notice and Proceedings Involving Formal
Complaints).
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.50 COOPERATION WITH OIG INVESTIGATIONS
Section 430.50 Cooperation
with OIG Investigations
a) All Department and private agency employees, foster parents
and owners, operators and employees of licensed child care facilities shall
cooperate with the OIG. Cooperation includes, but is not limited to:
1) permitting full access to, and production of, information and
records in accordance with this Part. Information and records can be shared
with the OIG without violating confidentiality provisions;
2) fair and honest disclosure of documents and information
reasonably requested by the Inspector General in the performance of his/her
duties;
3) management encouraging employees to fully comply with
reasonable requests of the Inspector General in the performance of his/her
duties;
4) management prohibiting retaliation against employees for
providing information or records or complaining to the Inspector General;
5) management being prohibited from requiring employees to seek
supervisory approval prior to filing a complaint with, or providing information
or records to, the Inspector General;
6) employees providing complete and truthful answers to
questions; and
7) employees not willfully interfering or obstructing the OIG
investigation.
b) Failure to cooperate with an OIG investigation may result in
discipline, up to and including discharge, or other sanction.
c) Any person who fails to appear in response to a subpoena
issued by the OIG or to answer any question or produce any books or papers
relevant to an investigation conducted in accordance with this Part, or who
knowingly gives false testimony in relation to such investigation, is guilty of
a Class A misdemeanor. The power to subpoena or to compel the production of
books and papers, however, shall not extend to the person or documents of a
labor organization or its representatives insofar as the person or documents of
the labor organization relate to the function of representing an employee
subject to an investigation under this Part [20 ILCS 505/35.5(g)].
d) Union representation, in conformance with Article IX, Section
6(b) of the AFSCME Agreement with the State of Illinois, dated July 1,
2000-June 30, 2004, shall not be considered obstruction.
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.60 RECORDS RETRIEVAL
Section 430.60 Records
Retrieval
a) In conducting investigations, the OIG shall access all
relevant records, either through subpoena, impounding or voluntary production.
The OIG investigator may impound the original of any record, file, document or
paper necessary for the investigation from any Department office, licensed
child care facility, or private agency that is pertinent to an investigation
conducted pursuant to this Part. All case files, licensing files, medical
records, financial and administrative records, and records required to be
maintained pursuant to applicable licensing rules shall be subject to
production and review by the Inspector General without subpoena.
b) Compliance with impounding requires:
1) production of all records noted;
2) a diligent search to ensure that all appropriate records are
included in the materials forwarded to the OIG;
3) a continuing obligation to immediately forward to the OIG any
relevant records received, located or generated after the date of the impound.
c) The OIG may impound original records from any Department
office, licensed child care facility, or private agency relevant to an
investigation conducted in accordance with this Part.
1) The OIG shall seek access in a manner that respects the
dignity and human rights of all persons involved, maintains the integrity of
the investigation and does not unnecessarily disrupt programs and/or services.
When advance notice to an administrator or his or her designee is not provided,
the OIG shall, upon arrival at the private agency, licensed child care facility
or Department office, request that an on-site employee notify the administrator
or his or her designee of the OIG's arrival.
2) During business hours, the OIG may make an unannounced visit
to a Department office, licensed child care facility or private agency to
impound records relevant to an investigation.
3) If it is necessary to impound records after business hours,
the investigator shall seek access to a Department office, licensed child
welfare facility or private agency by contacting the relevant administrator.
4) The administrator may be asked to sign a Statement of File
Integrity and Security stating, when the file was secured for impounding:
A) that the administrator has made a diligent search of the
office, agency or facility to determine that all appropriate documents in
existence at the time of impounding were produced;
B) that the administrator agrees to forward any relevant documents
received, located or generated after the impound to the OIG immediately;
C) persons who have had access to the material since it was
secured; and
D) whether, to the knowledge of the administrator, any documents
were removed or added to the file since it was secured.
5) The OIG will permit an employee of the private agency, child
welfare facility, or Department office to make photocopies of the original file
within a reasonable period of time in the presence of the investigator for
purposes of creating a working file in a manner that assures confidentiality.
6) The OIG shall present to the administrator or other employee
of the private agency, Department office or licensed child care facility, a
copy of the Notice of Impounding/File Retrieval, stating the date of impounding
or retrieval and the titles of files impounded or retrieved.
7) Except in investigations involving death or serious injury,
the OIG shall return the original impounded file as soon as practicable, but no
later than 10 working days after the date of impoundment. The OIG shall return
a copy in lieu of an original document whenever a copy satisfactorily cannot
duplicate information contained in the original document and, on the face of
the document, the OIG shall indicate that it is a copy and where the original
can be located. Copies of impounded documents relevant to the findings of the
investigation will be retained by the OIG for a minimum of 10 years.
8) For death investigations, the original file shall be returned
to the DCFS Office of Legal Services, upon completion of the investigation or
any subsequent proceedings resulting from the investigation, but the OIG may
retain copies or originals of the documents for the investigative file. The OIG
shall return a copy, in lieu of an original document, whenever a copy
satisfactorily cannot duplicate information contained in the original document
and, on the face of the document, the OIG shall indicate that it is a copy and
where the original can be located.
9) All investigations conducted by the OIG shall be conducted in
a manner designed to ensure the preservation of evidence for possible use in a
criminal prosecution.
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.70 ADMINISTRATIVE LEAVE
Section 430.70
Administrative Leave
Whenever an employee of the
Department or a private agency is placed on administrative leave or desk duty
as a result of an interim OIG recommendation, the administrative leave or desk
duty shall not exceed 90 days.
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.80 SUBPOENA POWERS
Section 430.80 Subpoena
Powers
a) The Inspector General shall have the power to subpoena
witnesses and compel the production of records pertinent to an
investigation authorized under this Part.
b) The OIG may not subpoena witnesses or compel the production
of records from a labor organization or its representatives, insofar as
the witness or record sought relates to the function of representing an
employee subject to investigation under this Part.
c) Any person who fails to appear in response to a
subpoena or to answer any question or produce any records pertinent to
an investigation under this Part, except as otherwise provided in
subsection (b) of this Section, or who knowingly gives false testimony in
relation to an investigation under this Part is guilty of a Class A
misdemeanor. [20 ILCS 505/35.5(g)]
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.90 CONFIDENTIALITY
Section 430.90
Confidentiality
a) OIG investigations access information that is confidential
pursuant to numerous State and federal statutes and administrative rules. OIG
reports are confidential because they contain information gleaned from these
confidential records. OIG reports shall not be distributed beyond the
Department or private agency that is the subject of the report without the
consent of the Inspector General.
b) The
OIG may share confidential information with the Illinois State Police (ISP)
when it refers cases for possible criminal investigation or prosecution, or
when conducting joint investigations with ISP, or pursuant to an
intergovernmental agreement; provided, however, that ISP agrees not to use the confidential
information for any other purpose and agrees to seek a protective order before
redisclosing the information.
c) The OIG shall redact confidential information, as required by
law and/or 89 Ill. Adm. Code 431 (Confidentiality of Personal Information of
Persons Served by the Department of Children and Family Services).
d) OIG reports shall not be subject to disclosure under the
Freedom of Information Act [5 ILCS 140].
e) The Department and the OIG shall protect from retaliation any
person who files a complaint or provides information in good faith. To protect
persons from retaliation, the OIG may withhold the identity of sources of
information.
(Source: Amended at 33 Ill.
Reg. 4914, effective April 15, 2009)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.100 OIG REPORTS
Section 430.100 OIG Reports
a) The Inspector General's report to the Director shall be in
writing and shall contain recommendations. The OIG may recommend systemic
reform or case-specific action, including a recommendation for discharge or
discipline of either Department or private agency employees or for sanctions
against a private agency or foster parent. Individual OIG investigators may not
make recommendations for discipline. All recommendations to pursue discipline
must be in writing and must be signed by the Inspector General for consideration
by the Director. Private agencies that are the subject of reports and
Department management shall review and assess whether practice and systems
issues raised by individual case-based OIG reports may offer guidance in
remedying failings in the field.
b) Reports to the Director
1) Reports will be shared with the Director within one week after
completion.
2) After a report is submitted to the Director, the Director
shall determine whether to accept, reject, or request modification of the recommendations
contained in the report.
3) If a recommendation is not accepted, the Inspector General may
delete or modify the recommendation.
4) When the Director has accepted the recommendations contained
in the report, portions of the report shall be provided to the private agency
that is the subject of a recommendation and with those involved in the
implementation of the recommendation. Those receiving any OIG report may not
further distribute the report or any confidential information contained in the
report.
c) The Inspector General and the Director of DCFS may distribute
the report to: the private agency or Department office that is currently
handling the child or family case; the juvenile court judge before whom the
child or family case is pending; or the children's guardian ad litem, to the
extent that doing so is relevant to the child's welfare. Those receiving OIG
reports pursuant to this subsection (c) may not further disclose the report or
any confidential information contained in the report.
1) Whenever the OIG determines that sharing a report with either
the court or the current child welfare agency is necessary, it will notify both
the Director and the private agency involved that the report is being
disseminated.
2) Notification is not required where reports are redacted for
use as teaching tools, including use as appendices to the OIG Annual Report.
3) OIG reports disseminated pursuant to this Section, other than
those redacted and disseminated as teaching tools, may not be further
disseminated without the approval of the Director.
d) An OIG report that identifies misfeasance, malfeasance or
misconduct of a Department employee or private agency employee that is relevant
to providing appropriate supervision of the employee may be shared with the
Department office or private agency for which the employee works. The employer
may not further distribute the OIG report or any confidential information
contained in the report.
1) Recommendations Concerning a Private Agency or Private Agency
Employee
A) When the Director has accepted recommendations concerning a
private agency or private agency employee, the Inspector General shall transmit
a copy of the report to the executive director of the private agency within 15
days after the date that the recommendations were accepted. If the Director has
not accepted recommendations concerning a private agency, the OIG report will
not be transmitted to the private agency.
B) Portions of the report may be redacted to preserve
confidentiality.
C) The Inspector General may arrange a meeting to discuss the
recommendations with the executive director, chairman or president, and the
board of directors, of any private agency or child care facility that is the
subject of an OIG recommendation.
D) The OIG report may be shared with any employee or private
agency that is the subject of a recommendation and those involved in
implementation of the recommendations.
2) Private Agency Response
A) Within 45 days after receipt of the report, the private agency
may submit a written response to the OIG to correct any factual errors in the
report.
B) The Inspector General will consider all documents submitted by
the private agency to determine whether a corrected report will be issued.
C) If the OIG determines that a corrected report is necessary, the
corrected report shall be issued within 14 days after receipt of the private
agency's written response.
D) If the OIG does not issue a corrected report, or if the
corrected report does not address all issues raised within the written response
from the private agency, the private agency may request that the written
response, or portions of the response, be appended to the report or corrected
report.
e) OIG reports that are generated from child welfare employee
licensure investigations will be submitted to the Child Welfare Employee
Licensure Board and will be handled according to 89 Ill. Adm. Code 412.
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.110 ANNUAL REPORTS
Section 430.110 Annual
Reports
The OIG shall provide to the
General Assembly and the Governor, no later than January 1 of each year, a
summary of reports and investigations made under this Part for the
previous fiscal year. The summaries shall detail recommendations and the status
of implementation of recommendations. The summaries shall not contain any
confidential or identifying information concerning the subjects of the reports
and investigations. [20 ILCS 505/35.5(h)]
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER f: GENERAL ADMINISTRATION
PART 430
OFFICE OF THE INSPECTOR GENERAL (OIG)
SECTION 430.120 SEVERABILITY
Section 430.120 Severability
If any court of competent
jurisdiction finds that any Section, clause, phrase, or provision of this Part
is unconstitutional or invalid for any reason whatsoever, this finding shall
not affect the validity of the remaining portions of this Part.
AUTHORITY: Implementing and authorized by Section 35.5 and 35.6 of the Children and Family Services Act [20 ILCS 505/35.5 and 35.6] and Section 5 of the Illinois Administrative Procedure Act [5 ILCS 100/5].
SOURCE: Adopted at 25 Ill. Reg. 14828, effective November 1, 2001; amended at 33 Ill. Reg. 4914, effective April 15, 2009.
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