R500-4-4. Conducting an Investigation

(1) The ombudsman shall make an effort to contact the complainant within three business days of receiving a properly filed complaint to confirm receipt of the complaint and gather additional information as needed. (2) If the complainant has not attempted to resolve the complaint with the provider before filing the complaint, the ombudsman may refer the complainant back to the provider to attempt to resolve the complaint before the ombudsman takes further action, except when the complaint alleges: (a) abuse, neglect, sexual misconduct, or trafficking; (b) retaliation or intimidation; (c) risk to a child's health or safety; or (d) any circumstance where referring the complainant back to the provider could reasonably deter reporting or compromise safety. (3) If the complaint remains unresolved after the complainant attempts to resolve the complaint with the provider and the complaint has merit, the ombudsman may initiate a preliminary investigative review and contact the provider to discuss the complaint. (4) If the complaint remains unresolved after the ombudsman's efforts to facilitate resolution during the preliminary investigative review, the ombudsman shall determine whether further investigation is warranted based on the merits of the complaint. (a) If the ombudsman decides to escalate the complaint and conduct a formal investigation, the ombudsman shall provide written notification of that decision to: (i) the provider; (ii) the complainant; and (iii) the parent or guardian of any child mentioned in the complaint, including the complainant if the complainant is a child. (b) If the ombudsman determines that further investigation is not warranted, the ombudsman shall notify the complainant and the provider of the reason for the decision. (5) If the ombudsman determines a formal investigation is warranted, the investigation may include the ombudsman: (a) interviewing the complainant and gathering information necessary to determine the validity of the complaint; (b) interviewing any child admitted to the provider; (c) interviewing a parent or guardian of a child admitted to the provider; (d) interviewing any provider staff member; (e) accessing, copying, or inspecting a provider's records related to the complaint; (f) entering, inspecting, or observing any physical area of a provider's facility. (6) At the end of the formal investigation, the ombudsman shall: (a) document the findings of the investigation; and (b) make recommendations as needed to the provider to address any complaint found to be valid. (7)(a) The ombudsman shall complete any investigation within 90 days from the date the complaint was filed, unless there are extenuating circumstances, such as the complexity of a case or workload. (b) If the ombudsman cannot complete the investigation within 90 days, the ombudsman shall notify the complainant in an accessible format suitable to the complainant, of the reason why the final decision is delayed and the additional time needed to reach a final decision. (8) The ombudsman shall provide written notification of the completion of an investigation and any recommendations to: (a) the provider; (b) the complainant; and (c) the parent or guardian of any child mentioned in the complaint, including the complainant if the complainant is a child.