Sec. 17b-407. (Formerly Sec. 17a-412). Report of suspected abuse, neglect, exploitation or abandonment. Penalty for failure to report. Confidentiality. Immunity and protection from retaliation. Notice to complainant. Registry. (a) Any physician or surgeon licensed under the provisions of chapter 370, any resident physician or
intern in any hospital in this state, whether or not so licensed, and any registered nurse,
licensed practical nurse, medical examiner, dentist, optometrist, chiropractor, podiatrist,
social worker, clergyman, police officer, pharmacist, physical therapist, long-term care
facility administrator, nurse's aide or orderly in a long-term care facility, any person
paid for caring for a patient in a long-term care facility, any staff person employed by
a long-term care facility and any person who is a sexual assault counselor or a battered
women's counselor as defined in section 52-146k who has reasonable cause to suspect
or believe that a resident in a long-term care facility has been abused, neglected, exploited
or abandoned, or is in a condition that is the result of such abuse, neglect, exploitation
or abandonment, shall, not later than seventy-two hours after such suspicion or belief
arose, report such information or cause a report to be made in any reasonable manner
to the Commissioner of Social Services pursuant to chapter 319dd. Any person required
to report under the provision of this section who fails to make such report within the
prescribed time period shall be fined not more than five hundred dollars, except that, if
such person intentionally fails to make such report within the prescribed time period,
such person shall be guilty of a class C misdemeanor for the first offense and a class A
misdemeanor for any subsequent offense.
(b) Such report shall contain the name and address of the long-term care facility,
the name of the involved resident, information regarding the nature and extent of the
abuse, neglect, exploitation or abandonment and any other information which the reporter believes might be helpful in an investigation of the case and for the protection
of the resident.
(c) Any other person having reasonable cause to believe that a resident in a long-term care facility is being, or has been, abused, neglected, exploited or abandoned, or
any person who wishes to file any other complaint regarding a long-term care facility,
shall report such information in accordance with subsection (b) of this section in any
reasonable manner to the Commissioner of Social Services who shall inform the resident
of the services of the Office of the Long-Term Care Ombudsman.
(d) Such report or complaint shall not be deemed a public record, and shall not be
subject to the provisions of section 1-210. Information derived from such reports or
complaints for which reasonable grounds are determined to exist after investigation as
provided for in section 17b-408, including the identity of the long-term care facility,
the number of complaints received, the number of complaints substantiated and the
types of complaints, may be disclosed by the Commissioner of Social Services, except
that in no case shall the name of the resident or the complainant be revealed, unless such
person specifically requests such disclosure or unless a judicial proceeding results from
such report or complaint.
(e) Any person who makes a report or complaint pursuant to this section or who
testifies in any administrative or judicial proceeding arising from the report shall be
immune from any civil or criminal liability on account of such report or complaint or
testimony, except for liability for perjury, unless such person acted in bad faith or with
malicious purpose.
(f) Any person who is discharged or in any manner discriminated or retaliated
against for making, in good faith, a report or complaint pursuant to this section shall
be entitled to all remedies available under law including, but not limited to, remedies
available under sections 19a-532 and 31-51m, as applicable.
(g) The person filing a report or complaint pursuant to the provisions of this section
shall be notified of the findings of any investigation conducted by the Commissioner
of Social Services, upon request.
(h) The Commissioner of Social Services shall maintain a registry of the reports
received, the investigations made, the findings and the actions recommended and taken.
(P.A. 77-575, S. 7, 23; P.A. 80-190, S. 5; 80-433; P.A. 84-546, S. 156, 173; P.A. 93-340, S. 5, 19; P.A. 99-102, S. 14;
99-176, S. 8, 24; P.A. 03-267, S. 1.)
History: P.A. 80-190 deleted reference to coroners in Subsec. (a); P.A. 80-433 expanded disclosure provisions in Subsec.
(d); P.A. 84-546 made technical changes in Subsec. (a), substituting "licensed" for "registered" where appearing; Sec. 17-135h transferred to Sec. 17a-412 in 1991; P.A. 93-340 amended Subsec. (a) to add sexual assault counselors and battered
women's counselors to list of persons required to report suspected patient abuse, effective July 1, 1993; Sec. 17a-412
transferred to Sec. 17b-407 in 1995; P.A. 99-102 amended Subsec. (a) by deleting obsolete reference to chapter 371 and
osteopaths and made technical changes; P.A. 99-176 substituted "long-term care facility" for "nursing home facility",
amended Subsec. (a) to delete reporting requirement for regional ombudsmen and patients' advocates, and required reports
to be made to the commissioner pursuant to chapter 319dd rather than the Nursing Home Ombudsmen Office, amended
Subsec. (c) to require reports to be made to the commissioner rather than the Nursing Home Ombudsmen Office, and to
require the commissioner to inform the resident of the services of the Office of the Long-Term Care Ombudsman, amended
Subsec. (d) to substitute the commissioner for the State Ombudsman re disclosure, amended Subsec. (f) to substitute
the commissioner for Nursing Home Ombudsmen Office re investigations, and amended Subsec. (g) to substitute the
commissioner for the State Ombudsman re maintenance of a registry of reports, effective July 1, 1999; P.A. 03-267 amended
Subsec. (a) to require the report be made "not later than seventy-two hours after such suspicion or belief arose" rather than
"within five calendar days" and to make the penalty for intentionally failing to report within the prescribed time period a
class C misdemeanor for the first offense and a class A misdemeanor for any subsequent offense, added new Subsec. (f)
re remedies available to person who is discharged or in any manner discriminated or retaliated against for making a good
faith report or complaint, redesignated existing Subsecs. (f) and (g) as Subsecs. (g) and (h), and made technical changes.
See Sec. 17a-451 re required reporting of suspected abuse, neglect, exploitation or abandonment of, or need for protective
services for, the elderly.
Cited. 242 C. 1.
Sec. 17b-408. (Formerly Sec. 17a-413). Review of report or complaint. Investigation. Report of findings. Referral of report, complaint or information for further
action. Upon receipt of a report or complaint as provided in section 17b-407, the commissioner shall determine immediately whether there are reasonable grounds for an
investigation. If it is determined that reasonable grounds do not exist for an investigation,
the complainant or the person making the report shall be notified of this determination
not later than five working days after the receipt of such complaint or report. If such
reasonable grounds are found, the commissioner shall investigate such report or complaint not later than ten working days thereafter. The commissioner shall complete an
investigation and make a report of the findings not later than fifteen working days after
the receipt of the complaint or report. If the investigation indicates that there is a possible
violation of section 19a-533, 19a-535 or 19a-537, the commissioner shall refer the report
or complaint together with a report of any investigation the commissioner has undertaken
to the Department of Public Health for action as appropriate. If the investigation indicates
that there is a possible violation of the provisions of the Public Health Code with respect
to licensing requirements, the commissioner shall refer the report or complaint, together
with a report of the commissioner's investigation, to the Commissioner of Public Health
for appropriate action. If no violation of the Public Health Code is indicated, the commissioner shall take whatever action the commissioner deems necessary, and shall notify
the complainant or the person making the report, of the action taken not later than fifteen
working days after receipt of the complaint or report. If the investigation indicates that
a person has abused, neglected, exploited or abandoned a resident in a long-term care
facility, the commissioner shall refer such information in writing to the Chief State's
Attorney or the Chief State's Attorney's designee who shall conduct such further investigation, if any, as deemed necessary and shall determine whether criminal proceedings
should be initiated against such person in accordance with applicable state law.
(P.A. 77-575, S. 8, 23; 77-614, S. 323, 587, 610; P.A. 78-303, S. 85, 136; P.A. 93-381, S. 9, 39; P.A. 95-257, S. 12,
21, 58; June 18 Sp. Sess. P.A. 97-2, S. 130, 165; P.A. 99-176, S. 9, 24; P.A. 03-267, S. 2.)
History: P.A. 77-614 and P.A. 78-303 replaced commissioner of health with commissioner of health services, effective
January 1, 1979; Sec. 17-135i transferred to Sec. 17a-413 in 1991; P.A. 93-381 replaced commissioner of health services
with commissioner of public health and addiction services, effective July 1, 1993; Sec. 17a-413 transferred to Sec. 17b-408 in 1995; P.A. 95-257 replaced Commissioner and Department of Public Health and Addiction Services with Commissioner and Department of Public Health, effective July 1, 1995; June 18 Sp. Sess. P.A. 97-2 added provision requiring the
regional ombudsman to refer a report or complaint together with a report of any investigation undertaken to the Department
of Social Services or Public Health, as appropriate, if such investigation indicates a possible violation of Secs. 19a-533,
19a-535 or 19a-537, and eliminated obsolete references, effective July 1, 1997; P.A. 99-176 substituted "commissioner" for
"ombudsman" or "regional ombudsman" re various stages of investigations, findings and reporting, deleted "Department of
Social Services" re who the completed report or complaint is referred to, and made provisions gender neutral, effective
July 1, 1999; P.A. 03-267 added provision that if investigation indicates that a long-term facility resident has been abused,
neglected, exploited or abandoned, the commissioner shall refer such information to the Chief State's Attorney for further
investigation if necessary and a determination whether criminal proceedings should be initiated, replaced "within" with
"not later than" where appearing and made a technical change.
Sec. 17b-409. (Formerly Sec. 17a-414). Legal counsel for residents and applicants and to assist the ombudsman and representatives of the office in performance
of their official duties. Regional ombudsmen and residents' advocates considered
state employees for purposes of certain civil actions. (a) The state agency shall ensure that:
(1) Adequate legal counsel is available and is able, without conflict of interest, to:
(A) Provide advice and consultation needed to protect the health, safety, welfare and
rights of residents and applicants in relation to their applications to long-term care facilities; and (B) assist the ombudsman and representatives of the office in the performance
of the official duties of the ombudsman and representatives; and
(2) Administrative, legal and other appropriate remedies are pursued on behalf of
residents and applicants in relation to their applications to long-term care facilities.
(b) The regional ombudsmen and residents' advocates shall be considered state
employees under section 4-141 for the purposes of any civil action for damages on
account of any act or omission that is not wanton, wilful or malicious and that is within
the scope of employment or duties under sections 17b-400 to 17b-412, inclusive, 19a-531 and 19a-532.
(P.A. 77-575, S. 16, 23; P.A. 99-176, S. 10, 24; P.A. 03-278, S. 65.)
History: Sec. 17-135j transferred to Sec. 17a-414 in 1991; Sec. 17a-414 transferred to Sec. 17b-409 in 1995; P.A. 99-176 deleted existing provisions and substituted Subsec. (a) re availability of legal counsel and pursuit of legal and other
remedies, and added Subsec. (b) re status of regional ombudsmen and residents' advocates as state employees for purposes
of certain civil actions, effective July 1, 1999; P.A. 03-278 made technical changes in Subsec. (a), effective July 9, 2003.
Sec. 17b-410. (Formerly Sec. 17a-415). Powers of ombudsman and representatives. Access to records, facilities and residents. Penalty for wilful interference
with representatives of office. Confidentiality. Assistance from outside persons or
entities. (a) The ombudsman and representatives of the office shall have:
(1) Access to long-term care facilities and residents;
(2) Appropriate access to review the medical and social records of a resident, if (A)
the representative has the permission of the resident, or the legal representative of the
resident, (B) the resident is unable to consent to the review and has no legal representative, or (C) access to the records is necessary to investigate a complaint and a legal
guardian of the resident refuses to give permission, a representative of the office has
reasonable cause to believe that the guardian is not acting in the best interests of the
resident, and the representative obtains the approval of the ombudsman;
(3) Access to the administrative records, policies and documents, to which the residents have, or the general public has access, of long-term care facilities; and
(4) Access to and, on request, copies of all licensing and certification records maintained by the state with respect to long-term care facilities.
(b) Any person or entity who wilfully interferes with representatives of the office
in the performance of the official duties of the representatives, or any long-term care
facility or other entity which retaliates or exacts reprisals with respect to any resident,
employee or other person for filing a complaint with, providing information to, or otherwise cooperating with any representative of the office, or long-term care facility which
refuses to permit the State Ombudsman or any regional ombudsman or any residents'
advocate entry into such facility or refuses to cooperate with the State Ombudsman, or
any regional ombudsman or any residents' advocate in the carrying out of their mandated
duties and responsibilities enumerated under sections 17b-400 to 17b-412, inclusive,
19a-531 and 19a-532 or refuses to permit residents or staff to communicate freely with
the State Ombudsman or any regional ombudsman or any residents' advocate shall be
subject to the penalty prescribed for a class B violation under section 19a-527.
(c) In carrying out the duties enumerated in sections 17b-400 to 17b-412, inclusive,
19a-531 and 19a-532, the State Ombudsman, the regional ombudsmen and the residents'
advocates shall have access to all relevant public records, except that records which are
confidential to a resident shall only be divulged with the written consent of the resident.
(d) In the performance of the duties and responsibilities enumerated under sections
17b-400 to 17b-412, inclusive, 19a-531 and 19a-532, the State Ombudsman, the regional
ombudsmen and the residents' advocates may utilize any other state department, agency
or commission, or any other public or private agencies, groups or individuals who are
appropriate and who may be available.
(P.A. 77-575, S. 17, 23; P.A. 87-166, S. 4; P.A. 99-176, S. 11, 24.)
History: P.A. 87-166 made violations under Subsec. (a) subject to penalty prescribed for class B, rather than class D
violations under Sec. 19a-527; Sec. 17-135k transferred to Sec. 17a-415 in 1991; Sec. 17a-415 transferred to Sec. 17b-410 in 1995; P.A. 99-176 substituted "resident" for "patient", deleted reference to sections 19a-523, 19a-524, 19a-530 and
19a-554, inserted new Subsec. (a) re ombudsman and representatives' access to records, facilities and residents, redesignated former Subsec. (a) as Subsec. (b) and added provision re any person or entity who wilfully interferes with representatives of the office in the performance of official duties, or retaliations or reprisals by long-term care facilities, and redesignated former Subsecs. (b) and (c) as (c) and (d), respectively, effective July 1, 1999.
Sec. 17b-411. (Formerly Sec. 17a-416). Regulations. The Commissioner of Social Services, after consultation with the State Ombudsman, shall adopt regulations in
accordance with the provisions of chapter 54, to carry out the provisions of sections
17b-400 to 17b-412, inclusive, 19a-531 and 19a-532.
(P.A. 77-575, S. 19, 23; P.A. 93-262, S. 1, 87; P.A. 99-176, S. 12, 24.)
History: Sec. 17-135l transferred to Sec. 17a-416 in 1991; P.A. 93-262 authorized substitution of commissioner and
department of social services for commissioner and department on aging, effective July 1, 1993; Sec. 17a-416 transferred
to Sec. 17b-411 in 1995; P.A. 99-176 amended section to require the regulations to be adopted after consultation with the
State Ombudsman, and to delete reference to sections 19a-523, 19a-524, 19a-530 and 19a-554, effective July 1, 1999.
Sec. 17b-412. (Formerly Sec. 17a-417). State ombudsman to: Prepare annual
report; analyze, comment on and monitor law, regulations, policies and actions;
provide information. The director shall require the State Ombudsman to:
(1) Prepare an annual report:
(A) Describing the activities carried out by the office in the year for which the report
is prepared;
(B) Containing and analyzing the data collected under section 17b-413;
(C) Evaluating the problems experienced by and the complaints made by or on
behalf of residents;
(D) Containing recommendations for (i) improving the quality of the care and life
of the residents, and (ii) protecting the health, safety, welfare and rights of the residents;
(E) (i) Analyzing the success of the program including success in providing services to residents of long-term care facilities; and (ii) identifying barriers that prevent
the optimal operation of the program; and
(F) Providing policy, regulatory and legislative recommendations to solve identified problems, to resolve the complaints, to improve the quality of the care and life of
residents, to protect the health, safety, welfare and rights of residents and to remove the
barriers that prevent the optimal operation of the program.
(2) Analyze, comment on and monitor the development and implementation of federal, state and local laws, regulations and other government policies and actions that
pertain to long-term care facilities and services, and to the health, safety, welfare and
rights of residents in the state, and recommend any changes in such laws, regulations
and policies as the office determines to be appropriate.
(3) (A) Provide such information as the office determines to be necessary to public
and private agencies, legislators and other persons, regarding (i) the problems and concerns of older individuals residing in long-term care facilities; and (ii) recommendations
related to the problems and concerns; and (B) make available to the public and submit
to the federal assistant secretary for aging, the Governor, the General Assembly, the
Department of Public Health and other appropriate governmental entities, each report
prepared under subdivision (1) of this section.
(P.A. 77-575, S. 18, 23; P.A. 78-331, S. 31, 58; P.A. 93-262, S. 1, 87; P.A. 99-176, S. 13, 24.)
History: P.A. 78-331 required that report state nature of administrative acts investigated in addition to the number of
acts investigated; Sec. 17-135m transferred to Sec. 17a-417 in 1991; P.A. 93-262 authorized substitution of commissioner
and department of social services for commissioner and department on aging, effective July 1, 1993; Sec. 17a-417 transferred to Sec. 17b-412 in 1995; P.A. 99-176 deleted existing provisions and replaced with requirement that the director
require the ombudsman to (1) prepare an annual report containing enumerated information, (2) analyze, comment on and
monitor relevant developments and implementation of laws, regulations and other government policies and actions, and
(3) provide information as the office determines necessary and submit the annual report to enumerated entities, effective
July 1, 1999.
Sec. 17b-413. State-wide uniform data system. The state agency shall establish
a state-wide uniform system to: (1) Collect and analyze data relating to complaints and
conditions in long-term care facilities and to residents for the purpose of identifying
and resolving significant problems; and (2) submit the data, on a regular basis to: (A)
The Department of Public Health; (B) other state and federal entities that the State
Ombudsman determines to be appropriate; and (C) the National Ombudsman Resource
Center, established in Section 202(a)(21) of the federal Older Americans Act of 1965,
as amended from time to time.
(P.A. 99-176, S. 14, 24.)
History: P.A. 99-176 effective July 1, 1999.
Sec. 17b-414. Duties of state agency re disclosure. The state agency shall:
(1) Provide that the files and records maintained by the program may be disclosed
only at the discretion of the State Ombudsman or the person designated by the ombudsman to disclose the files and records; and
(2) Prohibit the disclosure of the identity of any complainant or resident with respect
to whom the office maintains such files or records unless (A) the complainant or resident,
or the legal representative of the complainant or resident, consents to the disclosure and
the consent is given in writing; (B) (i) the complainant or resident gives consent orally;
and (ii) the consent is documented contemporaneously in a writing made by a representative of the office in accordance with such requirements as the state agency shall establish;
or (iii) the disclosure is required by court order.
(P.A. 99-176, S. 15, 24.)
History: P.A. 99-176 effective July 1, 1999.
Sec. 17b-415. Consideration of outside views re planning and operating the
program. In planning and operating the program, the state agency, in consultation with
the ombudsman, shall consider the views of area agencies on aging, older individuals
and providers of long-term care.
(P.A. 99-176, S. 16, 24.)
History: P.A. 99-176 effective July 1, 1999.
Sec. 17b-416. Duties of state agency. The state agency shall:
(1) Ensure that no individual, or member of the immediate family of an individual,
involved in the designation of the State Ombudsman, whether by appointment or otherwise, or the designation of representatives is subject to a conflict of interest;
(2) Ensure that no officer or employee of the office, representative, or member of
the immediate family of the officer, employee or representative, is subject to a conflict
of interest;
(3) Ensure that the State Ombudsman: (A) Does not have a direct involvement in
the licensing or certification of a long-term care facility or of a provider of a long-term
care service; (B) does not have an ownership or investment interest, represented by
equity, debt or other financial relationship, in a long-term care facility or a long-term
care service; (C) is not employed by, or participating in the management of, a long-term
care facility; and (D) does not receive, or have the right to receive, directly or indirectly,
remuneration, in cash or in kind, under a compensation arrangement with an owner or
operator of a long-term care facility; and
(4) Establish and specify, in writing, mechanisms to identify and remove conflicts
of interest described in subdivisions (1) and (2) of this section, and to identify and
eliminate the relationships described in subdivision (3) of this section, including such
mechanisms as: (A) The methods by which the state agency will examine individuals
and immediate family members to identify the conflicts; and (B) the actions that the
state agency will require the individuals and such family members to take to remove
such conflicts.
(P.A. 99-176, S. 17, 24.)
History: P.A. 99-176 effective July 1, 1999.
Sec. 17b-417. State ombudsman duties re pilot program in managed residential communities. Report. (a) The Office of the Long-Term Care Ombudsman shall
develop and implement a pilot program, within available appropriations, to provide
assistance and education to residents of managed residential communities, as defined
in section 19-13-D105 of the regulations of Connecticut state agencies, who receive
assisted living services from an assisted living services agency licensed by the Department of Public Health in accordance with chapter 368v. The assistance and education
provided under such pilot program shall include, but not be limited to: (1) Assistance
and education for residents who are temporarily discharged to a hospital or long-term
care facility and return to a managed residential community; (2) assistance and education
for residents with issues relating to an admissions contract for a managed residential
community; and (3) assistance and education for residents to assure adequate and appropriate services are being provided including, but not limited to, adequate and appropriate
services for individuals with cognitive impairments.
(b) The Office of the Long-Term Care Ombudsman shall develop and implement
the pilot program in cooperation with managed residential communities and assisted
living services agencies. Priority of assistance and education shall be given to residents
of managed residential communities who participate in subsidized assisted living programs authorized under sections 8-206e, 17b-347e, 17b-365, 17b-366 and 19a-6c. To
the extent allowed by available appropriations, the Long-Term Care Ombudsman shall
also provide assistance and education under the pilot program to residents in managed
residential communities who do not participate in said subsidized assisted living programs.
(c) Not later than June 30, 2005, the Long-Term Care Ombudsman shall submit a
report on the pilot program to the Commissioners of Social Services and Public Health,
to the joint standing committees of the General Assembly having cognizance of matters
relating to human services, public health and appropriations, and to the select committee
of the General Assembly having cognizance of matters relating to aging. The report
shall be submitted in accordance with section 11-4a.
(P.A. 04-158, S. 2.)
History: P.A. 04-158 effective June 1, 2004.