REPORT DIGEST

 

CHICAGO READ MENTAL HEALTH CENTER

COMPLIANCE AUDIT

For the Two Years Ended:
June 30, 2001

Summary of Findings:

Total this audit 3
Total last audit 1
Repeated from last audit 0

Release Date:
April 30, 2002

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State of Illinois
Office of the Auditor General

WILLIAM G. HOLLAND

AUDITOR GENERAL

To obtain a copy of the Report contact:
Office of the Auditor General
Attn: Records Manager
Iles Park Plaza
740 E. Ash Street
Springfield, IL 62703

(217)782-6046 or TDD (217) 524-4646

This Report Digest is also available on
the worldwide web at
http://www.state.il.us/auditor

 

 

 

 

 

 

 

 

 

 

 

 

SYNOPSIS

 

  • The Center had not implemented procedures to ensure compliance with one of its statutory mandates.
  • The Center had missing and incomplete documentation in patient files.

 

 

 

 

{Expenditures and Activity Measures are summarized on the reverse page.}

 

CHICAGO READ MENTAL HEALTH CENTER
COMPLIANCE AUDIT
For The Two Years Ended June 30, 2001

EXPENDITURE STATISTICS

FY 2001

FY 2000

FY 1999

Total Expenditures (All Appropriated Funds)

$36,067,282

$34,526,610

$34,319,846

OPERATIONS TOTAL
% of Total Expenditures
Personal Services

$35,679,382
98.9%
$26,368,572

$34,139,266
98.9%
$25,556,112

$34,111,946
99.4%
$25,684,544

% of Operations Expenditures
Average No. of Employees
Average Salary Per Employee

73.9%
496
$53,162

74.9%
497
$51,421

75.3%
521
$49,299

Other Payroll Costs (FICA, Retirement)
% of Operations Expenditures

$5,469,108
15.3%

$5,226,728
15.3%

$5,203,967
15.2%

Contractual Services
% of Operations Expenditures

$2,654,641
7.5%

$2,184,778
6.4%

$2,113,815
6.2%

Commodities
% of Operations Expenditures

$822,302
2.3%

$800,941
2.3%

$709,871
2.1%

All Other Items
% of Operations Expenditures

$364,759
1.0%

$370,707
1.1%

$399,749
1.2%

GRANTS TOTAL
% of Total Expenditures

$387,900
1.1%

$387,344
1.1%

$207,900
0.6%

  • Cost of Property and Equipment

$21,610,066

$20,381,282

$19,035,538

SELECTED ACTIVITY MEASURES

FY 2001

FY 2000

FY 1999

Average Number of Residents

200

193

180

Ratio of Employees to Residents

2.48/1

2.58/1

2.89/1

Cost Per Year Per Resident

*

$212,765

$223,801

*The Department had not calculated this cost at the close of audit fieldwork.

     
FACILITY DIRECTOR/HOSPITAL ADMINISTRATOR

During Audit Period: Thomas Simpatico, M.D./James Brunner, M.D.
Currently: Thomas Simpatico, M.D./James Brunner, M.D.

 

 

 

 

 

 

Procedures have not been established to achieve compliance with a recently enacted statute

 

 

 

 

 

 

 

Notice of Denial of Admission forms lacked required information

 

 

 

 

Discharge summaries did contain proper authorization

 

FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS

NONCOMPLIANCE WITH STATUTORY MANDATE

The Center has not implemented procedures to ensure compliance with one of its statutory mandates.

State law requires the Center to advise its recipients (patients) of the circumstances under which the law permits the use of emergency forced medication, restraints or seclusion. At the same time, the facility should inquire of the patients which form of intervention the patient would prefer if any of these circumstances should arise. The preference is to be noted in the record and communicated by the Center to the patient's guardian.

During our review of files and through discussion with Center personnel, we noted that there were no procedures in place to implement this statute. (Finding 2, page 11)

Center personnel accepted our recommendation to implement policies to ensure compliance with this statute.

LACK OF PATIENT FILE DOCUMENTATION

The Center had missing and incomplete documentation in patient files. Below is a summary of the audit exceptions:

  • Of 10 files tested, we noted numerous problems with the Notice of Denial of Admission form. Forms lacked required information and the facility director's signature. Additionally, one form was not located in the patient file.
  • Two of six patients were not notified in writing 7 days prior to the Medication Treatment Review Panel Meeting.
  • Four of 25 patient files did not contain proper authorization by the Center director on discharge summaries.
  • One of three deceased patient files had a missing Notice of Death form and one had an incorrect date of mailing the notice to the Department of Public Health. (Finding 3, pages 13-14)

We recommended that the Center implement internal controls necessary to ensure that accurate and complete information is maintained in patient files. The Center accepted this recommendation, stating management will reinforce internal controls necessary to identify and monitor for accuracy, completeness, timeliness and inclusion of required documentation in patient files.

OTHER FINDING

The remaining finding dealt with untimely annual evaluations. We will review progress toward implementation of all recommendations during the next audit.

AUDITORS' OPINION

We conducted a compliance audit of the Center as required by the Illinois State Auditing Act. We also performed certain agreed upon procedures with respect to the accounting records of the Center to assist our financial audit of the entire Department. Financial statements for the Department will be presented in that report.

 

____________________________________

WILLIAM G. HOLLAND, Auditor General

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SPECIAL ASSISTANT AUDITORS

Our special assistant auditors were McGladrey & Pullen, LLP.