Section 310.60  Investigations

 

a)         Policy

All investigations instituted by a regional authority shall be conducted in a timely, thorough, and impartial manner to assess the action or omission complained of and, if appropriate, make recommendations based upon that assessment.

 

b)         Jurisdiction

Unless otherwise directed by the Director, a regional authority may conduct an investigation into the violations of an eligible person's rights only if the violation is alleged to have occurred within its regional boundaries.

 

c)         Approved Investigatory Methods

A regional authority may invoke any of the following investigative tools:

 

1)         Site visits;

 

2)         Interviews with any person, including in private;

 

3)         Analysis of pertinent information;

 

4)         Public hearings; and

 

5)         Referral to an appropriate federal, state, or local governmental unit.  Any relevant information obtained through such referral shall be included in the regional authority's final report.

 

d)         Hearings

A regional authority may conduct hearings and compel by subpoena the attendance and testimony of such witnesses and the production of such materials as are necessary or desirable for its investigation.  Advance notice of hearings will be made to the Program Director within 24 hours after the regional authority makes the decision to hold a hearing.

 

1)         Calling a Hearing

A hearing may be called only upon a majority vote of the members in attendance and constituting a quorum at a regularly scheduled or special meeting.

 

2)         Notice of Hearing

Notice shall be given of the date, time, location, and subject of the hearing in the same manner provided in Section 310.40(f).

 

3)         Witnesses

A regional authority may request any person with relevant information testify at a hearing.

 

A)        Requesting or Requiring Witnesses to Appear

Witnesses shall be invited to attend.  If the regional authority deems it appropriate, then a witness may be subpoenaed pursuant to Section 310.60(f) of this Part.

 

B)        Documents

A witness may be requested to bring any relevant documents that a regional authority would be entitled to inspect and copy.

 

4)         Conduct of Hearings

 

A)        All hearings conducted by a regional authority shall be open to the public except those parts of hearings at which the disclosure of information is contrary to Section 310.80 of this Part;

 

B)        The hearing shall be conducted by such persons as the regional authority may designate;

 

C)        The hearing shall be conducted as an objective and informal fact-finding process;

 

D)        Any questioning of witnesses shall be conducted by the persons designated by the regional authority;

 

E)        Each witness shall have the right to be accompanied by a family member, friend, or other representative, including counsel if desired, who shall be permitted to advise and counsel the witness at any time;

 

F)         Each witness shall be permitted to make an oral statement  at the conclusion of the witness'  testimony within reasonable time limitations;

 

G)        Each witness shall be permitted to submit any type of written statement or document for the regional authority's consideration;

 

H)        Prior to a hearing, any person may request to be considered by the regional authority as a possible witness, or submit the names of other persons having information relevant to the investigation to the regional authority for consideration as possible witnesses; however, the persons designated to conduct the hearing shall have sole discretion to decide who will be called as witnesses;

 

I)         An accurate record, which may be taken by recording or other appropriate means, may be kept of the proceedings of any hearing. In any event, a summary or minutes of the proceedings shall be prepared and kept by the regional authority.  Witnesses shall be provided transcripts of their testimony, if available, upon  written request to the chairperson of the regional authority at a reasonable charge. The record need not be transcribed or printed, except as provided herein, unless the regional authority shall so determine;

 

J)         A witness may listen to any recording made of their testimony at the regional authority's offices or purchase a duplicate recording at cost;

 

K)        Any decisions as to the mode of proceeding not covered by this Part  shall be in the discretion of the persons designated by the regional authority to preside over the hearing; and

 

L)        All hearings shall be held in facilities accessible to persons with disabilities.

 

e)         Obtaining records

 

1)         When conducting an investigation or monitoring issues concerning the rights of an eligible person, a regional authority will first attempt to obtain records containing data that identifies an eligible person with the written authorization of a person entitled to inspect and copy the eligible person's record.

 

2)         If written authorizations are not secured, circumstances make obtaining timely authorization impractical, or an insufficient number of records are obtainable with written authorizations, then a regional authority shall request the production of masked records as provided under Section 18 of the Act and Section 8 of the Mental Health and Developmental Disability Confidentiality Act unless personally identifiable information cannot be removed without imposing an unreasonable burden.

 

3)         If removing personally identifiable information from records in a manner that permits the collection of facts relevant to an investigation would impose an unreasonable burden, a regional authority may inspect and copy records containing data that identifies an eligible person without written authorization, so long as the regional authority has notified, in writing, a person entitled to inspect and copy the records:

 

A)        that the regional authority is conducting an investigation or monitoring an issue;

 

B)        of the nature and purpose of the investigation or monitoring;

 

C)        of the need to inspect and copy the records; and

 

D)        the person notified has not objected after notice has been sent.

 

4)         If a service provider contends that removing personally identifiable information from records would be unreasonably burdensome, then the service provider shall provide to a regional authority the name, address, and any other contact information it possesses for any person entitled to this notice.

 

f)         Subpoenas

A regional authority may compel by subpoena a witness' attendance when informal attempts to obtain such attendance are unsuccessful or impractical as set forth in Section 310.60(d)(3)(A) of this Part.  All subpoenas shall be prepared by the Commission's General Counsel or their designee to ensure proper legal form.

 

1)         Subpoena Duces Tecum

Any subpoena requiring the attendance and testimony of a witness may also require that documents within the possession or control of that person be produced at the hearing.

 

2)         Time of Service

Subpoenas shall be served upon a person personally or by certified mail.  Unless the regional authority makes a finding that a witness may leave the jurisdiction or be unavailable in the future requiring the immediate testimony of a witness, then a subpoena personally served shall be served no less than seven days prior to the date for appearance or, if served by mail, postmarked no later than ten days prior to the date for appearance.

 

3)         Enforcement

Whenever any person knowingly fails or refuses to comply with a subpoena issued in accordance with these rules, a regional authority may request the Director to take such action or institute judicial proceedings to enforce the subpoena as necessary to secure compliance with the terms of the subpoena.

 

g)         Notification of Status of Investigation

 

1)         Acceptance

If the regional authority decides to investigate a complaint, it shall notify the service provider of its intention to investigate the complaint unless it believes that the advance notice will unduly hinder the investigation or make it ineffectual. When a regional authority notifies the service provider of its intention to investigate, it shall send the service provider a written notice which states a brief summary of the complaint and the number assigned to it.

 

2)         The service provider shall be given at least ten days' prior written notice of each public meeting at which the service provider's complaint is on the agenda. Such notification shall also state that the service provider will be given an opportunity to comment.

 

3)         Confidentiality

 

Whenever a complaint is reviewed at a regular or special meeting, the name of the service provider shall not be made public until

 

A)        the complaint has been officially accepted; and

 

B)        the facility has been notified of the investigation.

 

4)         Status

Upon the request of the complainant, the provider, or any eligible person, the regional authority or regional coordinator shall inform them of actions taken in the course of the investigation. Such status may be discussed at any regular or special meetings of the regional authority subject to Sections 310.70(c) and (d) of this Part.  Any matter so discussed shall be considered discussion only and shall not be binding or regarded as a finding or recommendation of the regional authority.

 

5)         Program Director

The regional authority or regional coordinator shall inform the Program Director monthly of the status of an ongoing investigation.

 

(Source:  Amended at 50 Ill. Reg. 717, effective January 1, 2026)