Ill. Admin. Code tit. 89, § 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.
Notes
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