Current through Register Vol. 48, No. 12, March 22, 2024
There are multiple circumstances where OIG requires Community
Agencies or Facilities to provide a written response to an investigative report
or referral:
a) If OIG substantiates
abuse, neglect, or Financial Exploitation, or makes one or more recommendations
in its investigative report, the Community Agency or facility is required to
submit a written response on a prescribed form to the respective DHS program
division. The prescribed form will be sent to the Community Agency or facility.
1) The written response shall address the
actions that it will take or has taken to protect individuals from abuse,
neglect, or Financial Exploitation, prevent recurrence, and eliminate problems.
Each substantiated finding or recommendation shall be addressed
separately.
2) The written response
shall include the following information:
A)
Investigative findings and/or recommendations by OIG;
B) Specific actions for each finding or
recommendation, identifying the persons the actions address, if any;
C) Persons responsible for implementing each
action;
D) For each action, the
actual or anticipated completion date; and
E) Signature of the Authorized Representative
or, if the Authorized Representative is named in the investigation, the
President of the Board of Directors.
3) The written response shall be submitted to
the respective Department program division within 30 calendar days after
receiving the investigative report.
4) If a reconsideration request is received
by OIG, the written response is due within 15 calendar days after the
following:
A) The date the Community Agency or
facility is notified that the reconsideration is denied;
B) The date the Community Agency or facility
receives a revised cover letter based on a granted reconsideration indicating
the finding remains substantiated, or there are
recommendations.
5) If a
reconsideration request is granted and the revised cover letter indicates the
finding is unsubstantiated or unfounded and there are no recommendations, a
written response is no longer required.
b) With respect to allegations within OIG's
jurisdiction that OIG refers to a Community Agency or facility, the Community
Agency or facility shall submit a written response on a prescribed form to OIG
and the respective DHS program division within 45 calendar days after the
Community Agency or facility has completed its inquiry. The prescribed form
will be sent to the Community Agency or facility. The written response shall
address any action that the Community Agency or facility took or will take to
protect individuals from abuse, neglect, or Financial Exploitation.
c) Division Responsibilities
1) The respective DHS program division shall
promptly review the submitted written response and may require the Community
Agency or facility to plan or take additional Administrative Actions in
response to the findings and/or recommendations.
2) When the division agrees with the written
response, the division's director, or designee, shall approve the written
response by signing and dating the form. The actions listed on the written
response do not need to be completed for the division to approve it.
3) To ensure timely implementation of
identified actions, the division shall promptly do the following:
A) Notify the Community Agency, facility, and
OIG of the approval; and
B) Send to
OIG the approved written response and any documentation received that confirms
implementation of the designated actions.
d) Implementation Status Reports
1) Community Agency or Facility
A) If the actions listed in a written
response to an OIG investigative report have not been completed by the time the
division notifies the Community Agency or facility that the written response is
approved, the Authorized Representative shall send OIG an implementation status
report within 30 calendar days of the date the written response was
approved.
B) The implementation
status report shall detail the status of each Administrative Action taken or
planned, including the actual or anticipated completion date.
C) An updated implementation status report
must be sent to OIG every 60 calendar days thereafter until all Administrative
Actions have been completed.
D)
Upon completion of actions for which at least one implementation status report
was submitted, the Community Agency or facility shall promptly do the
following:
i) Notify OIG in writing of the
completion date and the names of any persons who were the subject of the
action; and
ii) Submit to OIG
documentation confirming implementation of each of those
actions.
2) OIG
may review approved written responses and notify any Community Agency or
facility when an implementation status report is overdue. Failure of the
Community Agency or facility to comply with implementation status reports is a
violation of the statute. [20 ILCS
1305/1-17(i) ]
e) Compliance Reviews
1) OIG shall conduct a review of the
following:
A) Any written response in which an
action takes more than 120 calendar days after approval to complete;
B) A random sample of written responses to
OIG investigative reports that have been approved by the division. The sample
shall be chosen at least quarterly, shall be at least 10% of all written
responses approved during that time period, and shall be proportionate by
Community Agency and facility cases among the approved written responses;
and
C) A random sample of written
responses to OIG referrals that have been approved by the division. The sample
shall be chosen at least quarterly, shall be at least 10% of all written
responses approved during that time period, and shall be proportionate to the
respective number of Community Agency and facility cases among the approved
written responses.
2) OIG
shall determine compliance with the completed action as approved, which may
include, but not be limited to, written and verbal requests for documentation,
phone contacts or site visits.
3)
Community Agencies and facilities shall fully cooperate with OIG during these
compliance reviews, including providing access as defined in Section
50.10. Cooperation with
compliance reviews additionally includes the following:
A) Arranging for interviews as requested and
providing copies of any personnel action taken as a result of the findings or
recommendations; and
B) Responding
promptly to OIG requests for documentation and related
information.