Part 3 - Violations and Penalties - Illinois Statutes

 
    (210 ILCS 47/Art. III Part 3)
    (This Part may contain text from a Public Act with a delayed effective date)PART 3. VIOLATIONS AND PENALTIES (Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑301)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑301. Notice of violation of Act or rules. If after receiving the report specified in subsection (c) of Section 3‑212 the Director or his or her designee determines that a facility is in violation of this Act or of any rule promulgated thereunder, the Director or his or her designee shall serve a notice of violation upon the licensee within 10 days thereafter. Each notice of violation shall be prepared in writing and shall specify the nature of the violation, and the statutory provision or rule alleged to have been violated. The notice shall inform the licensee of any action the Department may take under the Act, including the requirement of a facility plan of correction under Section 3‑303; placement of the facility on a list prepared under Section 3‑304; assessment of a penalty under Section 3‑305; a conditional license under Sections 3‑311 through 3‑317; or license suspension or revocation under Section 3‑119. The Director or his or her designee shall also inform the licensee of rights to a hearing under Section 3‑703.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑302)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑302. Each day a separate violation. Each day the violation exists after the date upon which a notice of violation is served under Section 3‑301 shall constitute a separate violation for purposes of assessing penalties or fines under Section 3‑305. The submission of a plan of correction pursuant to subsection (b) of Section 3‑303 does not prohibit or preclude the Department from assessing penalties or fines pursuant to Section 3‑305 for those violations found to be valid except as provided under Section 3‑308 in relation to Type "B" violations. No penalty or fine may be assessed for a condition for which the facility has received a variance or waiver of a standard.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑303)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑303. Correction of violations; hearing.
    (a) The situation, condition or practice constituting a Type "A" violation shall be abated or eliminated immediately unless a fixed period of time, not exceeding 15 days, as determined by the Department and specified in the notice of violation, is required for correction.
    (b) At the time of issuance of a notice of a Type "B" violation, the Department shall request a plan of correction which is subject to the Department's approval. The facility shall have 10 days after receipt of notice of violation in which to prepare and submit a plan of correction. The Department may extend this period up to 30 days where correction involves substantial capital improvement. The plan shall include a fixed time period not in excess of 90 days within which violations are to be corrected. If the Department rejects a plan of correction, it shall send notice of the rejection and the reason for the rejection to the facility. The facility shall have 10 days after receipt of the notice of rejection in which to submit a modified plan. If the modified plan is not timely submitted, or if the modified plan is rejected, the facility shall follow an approved plan of correction imposed by the Department.
    (c) If the violation has been corrected prior to submission and approval of a plan of correction, the facility may submit a report of correction in place of a plan of correction. Such report shall be signed by the administrator under oath.
    (d) Upon a licensee's petition, the Department shall determine whether to grant a licensee's request for an extended correction time. Such petition shall be served on the Department prior to expiration of the correction time originally approved. The burden of proof is on the petitioning facility to show good cause for not being able to comply with the original correction time approved.
    (e) If a facility desires to contest any Department action under this Section it shall send a written request for a hearing under Section 3‑703 to the Department within 10 days of receipt of notice of the contested action. The Department shall commence the hearing as provided under Section 3‑703. Whenever possible, all action of the Department under this Section arising out of a violation shall be contested and determined at a single hearing. Issues decided after a hearing may not be reheard at subsequent hearings under this Section.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑303.1)
    Sec. 3‑303.1. Waiver of facility's compliance with rule or standard. Upon application by a facility, the Director may grant or renew the waiver of the facility's compliance with a rule or standard for a period not to exceed the duration of the current license or, in the case of an application for license renewal, the duration of the renewal period. The waiver may be conditioned upon the facility taking action prescribed by the Director as a measure equivalent to compliance. In determining whether to grant or renew a waiver, the Director shall consider the duration and basis for any current waiver with respect to the same rule or standard and the validity and effect upon patient health and safety of extending it on the same basis, the effect upon the health and safety of residents, the quality of resident care, the facility's history of compliance with the rules and standards of this Act and the facility's attempts to comply with the particular rule or standard in question. The Department may provide, by rule, for the automatic renewal of waivers concerning physical plant requirements upon the renewal of a license. The Department shall renew waivers relating to physical plant standards issued pursuant to this Section at the time of the indicated reviews, unless it can show why such waivers should not be extended for the following reasons:
    (a) the condition of the physical plant has deteriorated or its use substantially changed so that the basis upon which the waiver was issued is materially different; or
    (b) the facility is renovated or substantially remodeled in such a way as to permit compliance with the applicable rules and standards without substantial increase in cost. A copy of each waiver application and each waiver granted or renewed shall be on file with the Department and available for public inspection. The Director shall annually review such file and recommend to the DD Facility Advisory Board established under Section 2‑204 of this Act any modification in rules or standards suggested by the number and nature of waivers requested and granted and the difficulties faced in compliance by similarly situated facilities.
(Source: P.A. 96‑339, eff. 7‑1‑10; 96‑1146, eff. 7‑21‑10.)

    (210 ILCS 47/3‑303.2)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑303.2. Administrative warning.
    (a) If the Department finds a situation, condition or practice which violates this Act or any rule promulgated thereunder which does not directly threaten the health, safety or welfare of a resident, the Department shall issue an administrative warning. Any administrative warning shall be served upon the facility in the same manner as the notice of violation under Section 3‑301. The facility shall be responsible for correcting the situation, condition or practice; however, no written plan of correction need be submitted for an administrative warning, except for violations of Sections 3‑401 through 3‑413 or the rules promulgated thereunder. A written plan of correction is required to be filed for an administrative warning issued for violations of Sections 3‑401 through 3‑413 or the rules promulgated thereunder.
    (b) If, however, the situation, condition or practice which resulted in the issuance of an administrative warning, with the exception of administrative warnings issued pursuant to Sections 3‑401 through 3‑413 or the rules promulgated thereunder, is not corrected by the next on site inspection by the Department which occurs no earlier than 90 days from the issuance of the administrative warning, a written plan of correction must be submitted in the same manner as provided in subsection (b) of Section 3‑303.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑304)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑304. Quarterly list of facilities against which Department has taken action.
    (a) The Department shall prepare on a quarterly basis a list containing the names and addresses of all facilities against which the Department during the previous quarter has:
        (1) sent a notice under Section 3‑307 regarding a

penalty assessment under subsection (1) of Section 3‑305;

(2) sent a notice of license revocation under Section

3‑119;

(3) sent a notice refusing renewal of a license under

Section 3‑119;

(4) sent a notice to suspend a license under Section

3‑119;

(5) issued a conditional license for violations that

have not been corrected under Section 3‑303 or penalties or fines described under Section 3‑305 have been assessed under Section 3‑307 or 3‑308;

(6) placed a monitor under subsections (a), (b) and

(c) of Section 3‑501 and under subsection (d) of such Section where license revocation or nonrenewal notices have also been issued;

(7) initiated an action to appoint a receiver;         (8) recommended to the Director of Healthcare and

Family Services, or the Secretary of the United States Department of Health and Human Services, the decertification for violations in relation to patient care of a facility pursuant to Titles XVIII and XIX of the federal Social Security Act.

(b) In addition to the name and address of the facility, the list shall include the name and address of the person or licensee against whom the action has been initiated, a self explanatory summary of the facts which warranted the initiation of each action, the type of action initiated, the date of the initiation of the action, the amount of the penalty sought to be assessed, if any, and the final disposition of the action, if completed.     (c) The list shall be available to any member of the public upon oral or written request without charge. (Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑304.1)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑304.1. Public computer access to information.
    (a) The Department must make information regarding nursing homes in the State available to the public in electronic form on the World Wide Web, including all of the following information:
        (1) who regulates facilities licensed under this Act;
        (2) information in the possession of the Department

that is listed in Sections 3‑210 and 3‑304;

(3) deficiencies and plans of correction;         (4) enforcement remedies;         (5) penalty letters;         (6) designation of penalty monies;         (7) the U.S. Department of Health and Human

Services' Health Care Financing Administration special projects or federally required inspections;

(8) advisory standards;         (9) deficiency free surveys; and         (10) enforcement actions and enforcement summaries.     (b) No fee or other charge may be imposed by the

Department as a condition of accessing the information.

(c) The electronic public access provided through the

World Wide Web shall be in addition to any other electronic or print distribution of the information.

(d) The information shall be made available as provided

in this Section in the shortest practicable time after it is publicly available in any other form.

(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑305)
    Sec. 3‑305. Penalties or fines. The license of a facility which is in violation of this Act or any rule adopted thereunder may be subject to the penalties or fines levied by the Department as specified in this Section.
        (1) Unless a greater penalty or fine is allowed under

subsection (3), a licensee who commits a Type "A" violation as defined in Section 1‑129 is automatically issued a conditional license for a period of 6 months to coincide with an acceptable plan of correction and assessed a fine computed at a rate of $5.00 per resident in the facility plus 20 cents per resident for each day of the violation, commencing on the date a notice of the violation is served under Section 3‑301 and ending on the date the violation is corrected, or a fine of not less than $5,000, or when death, serious mental or physical harm, permanent disability, or disfigurement results, a fine of not less than $10,000, whichever is greater.

(2) A licensee who commits a Type "B" violation or

who is issued an administrative warning for a violation of Sections 3‑401 through 3‑413 or the rules promulgated thereunder is subject to a penalty computed at a rate of $3 per resident in the facility, plus 15 cents per resident for each day of the violation, commencing on the date a notice of the violation is served under Section 3‑301 and ending on the date the violation is corrected, or a fine not less than $500, whichever is greater. Such fine shall be assessed on the date of notice of the violation and shall be suspended for violations that continue after such date upon completion of a plan of correction in accordance with Section 3‑308 in relation to the assessment of fines and correction. Failure to correct such violation within the time period approved under a plan of correction shall result in a fine and conditional license as provided under subsection (5).

(3) A licensee who commits a Type "A" violation as

defined in Section 1‑129 which continues beyond the time specified in paragraph (a) of Section 3‑303 which is cited as a repeat violation shall have its license revoked and shall be assessed a fine of 3 times the fine computed per resident per day under subsection (1).

(4) A licensee who fails to satisfactorily comply

with an accepted plan of correction for a Type "B" violation or an administrative warning issued pursuant to Sections 3‑401 through 3‑413 or the rules promulgated thereunder shall be automatically issued a conditional license for a period of not less than 6 months. A second or subsequent acceptable plan of correction shall be filed. A fine shall be assessed in accordance with subsection (2) when cited for the repeat violation. This fine shall be computed for all days of the violation, including the duration of the first plan of correction compliance time.

(5) For the purpose of computing a penalty under

subsections (2) through (4), the number of residents per day shall be based on the average number of residents in the facility during the 30 days preceding the discovery of the violation.

(6) When the Department finds that a provision of

Article II has been violated with regard to a particular resident, the Department shall issue an order requiring the facility to reimburse the resident for injuries incurred, or $100, whichever is greater. In the case of a violation involving any action other than theft of money belonging to a resident, reimbursement shall be ordered only if a provision of Article II has been violated with regard to that or any other resident of the facility within the 2 years immediately preceding the violation in question.

(7) For purposes of assessing fines under this

Section, a repeat violation shall be a violation which has been cited during one inspection of the facility for which an accepted plan of correction was not complied with. A repeat violation shall not be a new citation of the same rule, unless the licensee is not substantially addressing the issue routinely throughout the facility.

(Source: P.A. 96‑339, eff. 7‑1‑10; 96‑1000, eff. 7‑2‑10.)

    (210 ILCS 47/3‑306)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑306. Factors to be considered in determining penalty. In determining whether a penalty is to be imposed and in fixing the amount of the penalty to be imposed, if any, for a violation, the Director shall consider the following factors:
        (1) The gravity of the violation, including the

probability that death or serious physical or mental harm to a resident will result or has resulted; the severity of the actual or potential harm, and the extent to which the provisions of the applicable statutes or regulations were violated;

(2) The reasonable diligence exercised by the

licensee and efforts to correct violations;

(3) Any previous violations committed by the

licensee; and

(4) The financial benefit to the facility of

committing or continuing the violation.

(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑307)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑307. Assessment of penalties; notice. The Director may directly assess penalties provided for under Section 3‑305 of this Act. If the Director determines that a penalty should be assessed for a particular violation or for failure to correct it, the Director shall send a notice to the facility. The notice shall specify the amount of the penalty assessed, the violation, the statute or rule alleged to have been violated, and shall inform the licensee of the right to hearing under Section 3‑703 of this Act. If the violation is continuing, the notice shall specify the amount of additional assessment per day for the continuing violation.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑308)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑308. Time of assessment; plan of correction. In the case of a Type "A" violation, a penalty may be assessed from the date on which the violation is discovered. In the case of a Type "B" or Type "C" violation or an administrative warning issued pursuant to Sections 3‑401 through 3‑413 or the rules promulgated thereunder, the facility shall submit a plan of correction as provided in Section 3‑303. In the case of a Type "B" violation or an administrative warning issued pursuant to Sections 3‑401 through 3‑413 or the rules promulgated thereunder, a penalty shall be assessed on the date of notice of the violation, but the Director may reduce the amount or waive such payment for any of the following reasons:
    (a) The facility submits a true report of correction within 10 days;
    (b) The facility submits a plan of correction within 10 days and subsequently submits a true report of correction within 15 days thereafter;
    (c) The facility submits a plan of correction within 10 days which provides for a correction time that is less than or equal to 30 days and the Department approves such plan; or
    (d) The facility submits a plan of correction for violations involving substantial capital improvements which provides for correction within the initial 90 day limit provided under Section 3‑303. The Director shall consider the following factors in determinations to reduce or waive such penalties:
        (1) The violation has not caused actual harm to a

resident;

(2) The facility has made a diligent effort to

correct the violation and to prevent its recurrence;

(3) The facility has no record of a pervasive

pattern of the same or similar violations; and

(4) The facility has a record of substantial

compliance with this Act and the regulations promulgated hereunder.

If a plan of correction is approved and carried out for a

Type "C" violation, the fine provided under Section 3‑305 shall be suspended for the time period specified in the approved plan of correction. If a plan of correction is approved and carried out for a Type "B" violation or an administrative warning issued pursuant to Sections 3‑401 through 3‑413 or the rules promulgated thereunder, with respect to a violation that continues after the date of notice of violation, the fine provided under Section 3‑305 shall be suspended for the time period specified in the approved plan of correction.

If a good faith plan of correction is not received within

the time provided by Section 3‑303, a penalty may be assessed from the date of the notice of the Type "B" or "C" violation or an administrative warning issued pursuant to Sections 3‑401 through 3‑413 or the rules promulgated thereunder served under Section 3‑301 until the date of the receipt of a good faith plan of correction, or until the date the violation is corrected, whichever is earlier. If a violation is not corrected within the time specified by an approved plan of correction or any lawful extension thereof, a penalty may be assessed from the date of notice of the violation, until the date the violation is corrected.

(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑309)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑309. Contesting assessment of penalty. A facility may contest an assessment of a penalty by sending a written request to the Department for hearing under Section 3‑703. Upon receipt of the request the Department shall hold a hearing as provided under Section 3‑703.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑310)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑310. Collection of penalties. All penalties shall be paid to the Department within 10 days of receipt of notice of assessment or, if the penalty is contested under Section 3‑309, within 10 days of receipt of the final decision, unless the decision is appealed and the order is stayed by court order under Section 3‑713. A penalty assessed under this Act shall be collected by the Department and shall be deposited with the State Treasurer into the Long Term Care Monitor/Receiver Fund. If the person or facility against whom a penalty has been assessed does not comply with a written demand for payment within 30 days, the Director shall issue an order to do any of the following:
        (1) Direct the State Treasurer to deduct the amount

of the fine from amounts otherwise due from the State for the penalty and remit that amount to the Department;

(2) Add the amount of the penalty to the facility's

licensing fee; if the licensee refuses to make the payment at the time of application for renewal of its license, the license shall not be renewed; or

(3) Bring an action in circuit court to recover the

amount of the penalty.

With the approval of the federal centers for Medicaid and

Medicare services, the Director of Public Health shall set aside 50% of the federal civil monetary penalties collected each year to be used to award grants under the Innovations in Long‑term Care Quality Grants Act.

(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑311)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑311. Issuance of conditional license in addition to penalties. In addition to the right to assess penalties under this Act, the Director may issue a conditional license under Section 3‑305 to any facility if the Director finds that either a Type "A" or Type "B" violation exists in such facility. The issuance of a conditional license shall revoke any license held by the facility.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑312)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑312. Plan of correction required before issuance of conditional license. Prior to the issuance of a conditional license, the Department shall review and approve a written plan of correction. The Department shall specify the violations which prevent full licensure and shall establish a time schedule for correction of the deficiencies. Retention of the license shall be conditional on the timely correction of the deficiencies in accordance with the plan of correction.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑313)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑313. Notice of issuance of conditional license. Written notice of the decision to issue a conditional license shall be sent to the applicant or licensee together with the specification of all violations of this Act and the rules promulgated thereunder which prevent full licensure and which form the basis for the Department's decision to issue a conditional license and the required plan of correction. The notice shall inform the applicant or licensee of its right to a full hearing under Section 3‑315 to contest the issuance of the conditional license.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑315)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑315. Hearing on conditional license or plan of correction. If the applicant or licensee desires to contest the basis for issuance of a conditional license, or the terms of the plan of correction, the applicant or licensee shall send a written request for hearing to the Department within 10 days after receipt by the applicant or licensee of the Department's notice and decision to issue a conditional license. The Department shall hold the hearing as provided under Section 3‑703.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑316)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑316. Period of conditional license. A conditional license shall be issued for a period specified by the Department, but in no event for more than one year. The Department shall periodically inspect any facility operating under a conditional license. If the Department finds substantial failure by the facility to timely correct the violations which prevented full licensure and formed the basis for the Department's decision to issue a conditional license in accordance with the required plan of correction, the conditional license may be revoked as provided under Section 3‑119.
(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑318)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑318. Business offenses.
    (a) No person shall:
        (1) Intentionally fail to correct or interfere with

the correction of a Type "A" or Type "B" violation within the time specified on the notice or approved plan of correction under this Act as the maximum period given for correction, unless an extension is granted and the corrections are made before expiration of extension;

(2) Intentionally prevent, interfere with, or attempt

to impede in any way any duly authorized investigation and enforcement of this Act;

(3) Intentionally prevent or attempt to prevent any

examination of any relevant books or records pertinent to investigations and enforcement of this Act;

(4) Intentionally prevent or interfere with the

preservation of evidence pertaining to any violation of this Act or the rules promulgated under this Act;

(5) 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 this Act;

(6) Wilfully file any false, incomplete or

intentionally misleading information required to be filed under this Act, or wilfully fail or refuse to file any required information; or

(7) Open or operate a facility without a license.     (b) A violation of this Section is a business offense,

punishable by a fine not to exceed $10,000, except as otherwise provided in subsection (2) of Section 3‑103 as to submission of false or misleading information in a license application.

(c) The State's Attorney of the county in which the

facility is located, or the Attorney General, shall be notified by the Director of any violations of this Section.

(Source: P.A. 96‑339, eff. 7‑1‑10.)

    (210 ILCS 47/3‑320)
    (This Section may contain text from a Public Act with a delayed effective date)
    Sec. 3‑320. Review under Administrative Review Law. All final administrative decisions of the Department under this Act are subject to judicial review under the Administrative Review Law, as now or hereafter amended, and the rules adopted pursuant thereto. The term "administrative decision" is defined as in Section 3‑101 of the Code of Civil Procedure.
(Source: P.A. 96‑339, eff. 7‑1‑10.)