Ill. Admin. Code tit. 77, § 300.200 - Inspections, Surveys, Evaluations and Consultation
The terms survey, inspection and evaluation are synonymous. These terms refer to the overall examination of compliance with the Act and this Part.
a) All facilities to which
this Part applies shall be subject to and shall be deemed to have given consent
to annual inspections, surveys or evaluations by properly identified personnel
of the Department, or by other properly identified persons, including local
health department staff, as the Department may designate. An
inspection, survey or evaluation, other than an inspection of financial
records, shall be conducted without prior notice to the facility. A visit for
the sole purpose of consultation may be announced. (Section 3-212(a)
of the Act) The licensee, or person representing the licensee in the facility,
shall provide to the representative of the Department access and entry to the
premises or facility for obtaining information required to carry out the Act
and this Part. In addition, representatives of the Department shall
have access to and may reproduce or photocopy at its cost any books, records,
and other documents maintained by the facility, the licensee or their
representatives to the extent necessary to carry out the Act
and this Part. (Section 3-213 of the Act) A facility may charge the Department
for photocopying at a rate determined by the facility not to exceed the rate in
the Freedom of Information Act.
b)
No person shall:
1)
Intentionally prevent, interfere with, or attempt to impede in any way
any duly authorized investigation and enforcement of the
Act or this Part;
2)
Intentionally prevent or attempt
to prevent any examination of any relevant books or records pertinent to
investigations and enforcement of the Act or this
Part;
3)
Intentionally
prevent or interfere with the preservation of evidence pertaining to any
violation of the Act or this Part;
4)
Intentionally retaliate or
discriminate against any resident or employee for contacting or providing
information to any state official, or for initiating, participating in, or
testifying in an action for any remedy authorized under the
Act or this Part (Section 3-318(a) of the Act);
c)
A violation of
subsection (b) is a business offense, punishable by a fine not to
exceed $10,000, except as otherwise provided in subsection (2) of Section
3-103 of the Act and Section
300.120(e)
as to submission of false or misleading information in a license
application. (Section 3-318(b) of the Act)
d)
In determining whether to make
more than the required number of unannounced inspections, surveys and
evaluations of a facility, the Department will consider one or
more of the following:
1)
previous inspection reports;
2)
the facility's history of
compliance with the Act and this Part:
A)
correction of
violations;
B)
penalties or other enforcement actions;
3)
the number and severity of
complaints received about the facility;
4)
any allegations of resident abuse
or neglect;
5)
weather conditions;
6)
health
emergencies;
7)
other reasonable belief that deficiencies exist (Section
3-212(b) of the Act); or
8) requirements pursuant to the "1864
Agreement" (42 U.S.C.A.
1395aa) between the Department and U.S.
Health and Human Services (HHS) (e.g., annual and follow-up certification
inspections, life safety code inspections and any inspections requested by the
secretary of HHS).
e)
The Department shall not be required to determine whether a facility
certified to participate in the Medicare program under Title XVIII of the
Social Security Act, or the Medicaid Program under Title XIX of the Social
Security Act, and which the Department determines by inspection to be in
compliance with the certification requirements of Title XVIII or XIX, is in
compliance with any requirement of the Act that is less
stringent than or duplicates a federal certification requirement.
(Section 3-212(b-1) of the Act)
f)
The Department shall, in accordance with Section 3-212(a) of
the Act, determine whether a certified facility is in compliance with
requirements of the Act that exceed federal certification
requirements. (Section 3-212(b-1) of the Act)
g)
If a certified facility is found
to be out of compliance with federal certification requirements, the results of
the inspection conducted pursuant to Title XVIII or XIX of the Social Security
Act (Section 3-212(b-1) of the Act) shall be reviewed to determined
which, if any, of the results shall be considered licensure findings, as
follows:
1) The result identifies potential
violations of the Act and this Part; and
h) All results of an inspection conducted
pursuant to Title XVIII or XIX of the Social Security Act that the Department
considers licensure findings shall be provided to the facility at the time of
exit or by mail in accordance with subsection (i) of this Section.
i)
Upon the completion of each
inspection, survey and evaluation, the appropriate Department personnel who
conducted the inspection, survey or evaluation shall submit a copy of their
report to the licensee or their representative upon exiting
the facility or upon considering results of an inspection conducted
pursuant to Title XVIII or XIX of the Social Security Act as licensure
findings. A copy of the information gathered during a complaint investigation
will not be provided upon exiting the facility. Comments or
documentation provided by the licensee which may refute findings in the report,
which explain extenuating circumstances that the facility could not reasonably
have prevented, or which indicate methods and timetables for correction of
deficiencies described in the report shall be provided to the
Department within ten days after receipt of the copy
of the report. (Section 3-212(c) of the Act)
j) Consultation consists of providing advice
or suggestions to the staff of a facility at their request relative to specific
matters of the scope of regulation, methods of compliance with the Act or this
Part, or general matters of resident care.
Notes
Amended at 19 Ill. Reg. 11600, effective July 29, 1995
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