Section 17b-411-12 - Investigation of Complaints(a)Initial Evaluation of Complaints.(1) Upon receipt of a complaint by a representative of the Long-Term Care Ombudsman's Office, the complaint shall be evaluated within two working days by either the VRA or a Regional Ombudsman to determine whether there are reasonable grounds for an investigation. If there is reason to believe, based on the information contained in the complaint received, that the resident is potentially at risk for immediate physical or emotional harm the evaluation shall be done immediately. Examples of immediate risk of physical or emotional harm include, but are not limited to, allegations of physical endangerment or withholding of medication, nutrition or hydration. In cases where the complaint is received directly by the State Ombudsman or there is a question regarding whether the resident is potentially at risk for immediate physical or emotional harm, the evaluation may be done by the State Ombudsman.(2) If such reasonable grounds are found, a representative of the Long-Term Care Ombudsman's Office shall initiate a full investigation of the complaint within ten business days after the determination is made that an investigation is warranted. A copy of the investigation report shall be sent to the State Ombudsman who shall maintain a registry of investigation reports. A copy of the investigation report may be sent to the resident or the resident's legal representative upon request. The State Ombudsman shall not disclose the identity or identifying information regarding another resident or the complainant if the complainant is someone other than the resident.(3) If it is determined that reasonable grounds do not exist for an investigation, the complainant shall be notified of this determination within five business days after receipt of the complaint. The notification shall include a brief explanation of the reasons upon which the Long-Term Care Ombudsman's representative concluded that an investigation was not warranted.(4) If it is determined that reasonable grounds do exist, and an investigation is completed and the Long-Term Care Ombudsman's Office has taken actions to attempt to resolve the complaint, but the complaint is not resolved to the satisfaction of the resident, the State Ombudsman may, with the authorization of the resident, request the advice or recommendations of the Executive Board. The State Ombudsman may, considering the advice or recommendations of the Executive Board, take any recommended actions or close the case. The State Ombudsman shall provide, upon request, a written explanation to the individual regarding the decision to close a case.(b)Investigation of Complaint. Access to Facility and Records.(1) The appropriate representative of the Long-Term Care Ombudsman's Office shall conduct an impartial investigation of the complaint. The representative may, with the permission of the resident or the resident's legal representative, speak with the administrator of the facility and any other persons who may be a source of information. Other persons may include, but are not limited to, the friends and family of the resident involved, and if there is a specific resident involved, the staff of the facility, representatives from involved or relevant public and private agencies or the legal representative of the resident. The representatives of the Long-Term Care Ombudsman's Office shall make written recordings of all statements by all persons being interviewed.(2) In the course of an investigation any representative of the Long-Term Care Ombudsman's Office may observe the functioning of the entire facility and may interview residents at random. Except when the facts warrant immediate action, investigations shall be carried out at reasonable times and without interference with resident care.(3) Nothing in these regulations shall be construed as permitting a long-term care facility, a representative of the Long-Term Care Ombudsman's Office or any other person to interfere with the proper medical treatment of any resident.(c)Confidentiality of Complaints(1) Complaints filed pursuant to section 17b-407 of the Connecticut General Statutes are not deemed public record and are not subject to the provisions of section 1-210 of the Connecticut General Statutes. Information derived from complaints may be disclosed by the State Ombudsman, however, in no case shall the name of the resident or the complainant be disclosed except as provided in section 17b-411-10(e) of the Regulations of Connecticut State Agencies.(2) A report of the findings of the investigation may be available for review by the parties involved in the complaint with the written authorization of the resident or the resident's legal representative. However, the actual complaint filed by the complainant shall not be available for review.(3) The name of the complainant or any person or any identifying information mentioned in the complaint or in the investigation report shall not be disclosed except in accordance with section 17b-411-10(e) of the Regulations of Connecticut State Agencies.Conn. Agencies Regs. § 17b-411-12