N.Y. Comp. Codes R. & Regs. tit. 9, § 6660.2 – Office of the State long-term care ombudsman established.

(1) There is hereby established within the State Office for the Aging an office of the State long-term care ombudsman which shall be headed by the State long-term care ombudsman, who shall carry out, directly and/or through local ombudsman entities, the duties set forth in this section.
(2) The office of the State long-term care ombudsman is a distinct entity, separately identifiable, and located within the State Office for the Aging.
(3) The State Office for the Aging shall provide the ombudsman program with legal counsel that is adequate, available, has competencies relevant to the legal needs of the program, and is without conflict of interest as determined by the State Office for the Aging in consultation with the State long-term care ombudsman.
(4) The State Office for the Aging shall not establish personnel policies or practices which prohibit the ombudsman from performing the functions and responsibilities of the ombudsman, as set forth in this section.
(5) Nothing in this provision shall prohibit the State Office for the Aging from requiring that the State ombudsman, or other employees of the office of the State long-term care ombudsman, adhere to the personnel policies and procedures of the State Office for the Aging.
(b) State long-term care ombudsman.
(1) The Director of the State Office for the Aging shall appoint a full-time State long-term care ombudsman to administer and supervise the office of the State long-term care ombudsman.
(2) The State ombudsman shall be selected from among individuals with expertise and experience in long-term care and advocacy, long-term services and supports or other direct services for older persons or individuals with disabilities, consumer-oriented public policy advocacy, leadership and program, management skills, negotiation and problem resolution skills, and with other qualifications determined by the Director of the State Office for the Aging to be appropriate for the position. The State ombudsman must be verified as having completed a certification training program developed by the State long-term care ombudsman program within six months of his/her appointment as State ombudsman.
(3) In no circumstance shall the State Office for the Aging appoint as State ombudsman an individual who:
1. (i) has a direct involvement in the licensing or certification of a long-term care facility or of a provider of a long-term care service;
2. (ii) has 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. Divestment within a reasonable period of time may be considered an adequate remedy to this conflict;
3. (iii) has been employed by, or participated in the management of, a long-term care facility within the previous 12 months; and
4. (iv) receives or has 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.
(4) The State ombudsman personally or through authorized representatives shall:
1. (i) identify, investigate, and resolve complaints that are made by, or on behalf of, long-term care residents in this State and that relate to actions, inactions, or decisions that may adversely affect the health, safety, and welfare or rights of such residents; the State ombudsman may refer to the appropriate investigatory agency information obtained during the investigation of a complaint which suggests the possible occurrence of physical abuse, mistreatment or neglect or Medicaid fraud, in accordance with the Older Americans Act of 1965, as amended and the regulations promulgated there under as well as rules and regulations promulgated by the State Office for the Aging. Nothing in this section shall be construed as authorizing the State ombudsman to assume powers delegated to the Commissioner of Health or the Department of Health pursuant to article (28) of the Public Health Law or to the Commissioner of the Office of Children and Family Services or the Office of Children and Family Services pursuant to the Social Services Law; nor does it authorize the State ombudsman to investigate final administrative determinations made pursuant to law by such commissioners if such decisions become the subject of complaints to the State ombudsman;
2. (ii) provide services to assist residents in protecting their health, safety, welfare and rights, including but not limited to representing the interests of residents before governmental agencies and seeking appropriate administrative, legal and other remedies to protect their welfare, safety, health and rights;
3. (iii) inform the residents about means of obtaining services provided by the long-term care ombudsman program and other public agencies;
4. (iv) analyze, comment on, and monitor the development and implementation of Federal, State and local laws, regulations, policies, and actions that pertain to the health, safety, welfare, and rights of the residents of long-term care facilities and services in the State;
5. (v) ensure that residents have regular and timely access to the services provided through the long-term care ombudsman program and that residents and complainants receive timely responses to requests for information and complaints;
6. (vi) recommend changes in Federal, State and local laws, regulations, policies, and actions pertaining to the health, safety, welfare, and rights of residents;
7. (vii) develop a certification training program and continuing education program for ombudsmen which, at a minimum, shall specify the minimum hours of training, annual number of hours of in-service training, and the content of the training, including, but not limited to, training relating to Federal, State and local laws, regulations and policies with respect to long-term care facilities in the State; investigative and resolution techniques; and such other training-related matters as the State ombudsman determines to be appropriate;
8. (viii) provide administrative and technical assistance to ombudsmen and local ombudsman entities;
9. (ix) make determinations and establish positions of the office of the State long-term care ombudsman, without necessarily representing the determinations or positions of the State Office for the Aging;
10. (x) recommend to the Director of the State Office for the Aging policies and procedures for the State long-term care ombudsman program;
11. (xi) coordinate with and promote the development of citizen organizations consistent with the interests of residents;
12. (xii) promote, provide technical support for the development of, and provide ongoing support as requested by resident and family councils to protect the well-being and rights of residents;
13. (xiii) provide leadership to statewide systems advocacy efforts of the office of the State long-term care ombudsman on behalf of long-term care facility residents, including coordination of systems advocacy efforts carried out by representatives of the office of the State long-term care ombudsman;
14. (xiv) in accordance with applicable State contracting procedures, coordinate with the State Office for the Aging in the review and approval of plans or contracts governing local ombudsman entity operations;
15. (xv) carry out such other activities as the Director of the State Office for the Aging determines to be appropriate pursuant to the Federal Older Americans Act 1965¹ and other applicable Federal and State Laws and related regulations as may, from time to time, be amended; and
16. (xvi) provide the Director of the State Office for the Aging with notice consisting of two business days prior to performing the activities identified in subparagraphs (iv), (vi), and (ix) of this paragraph. Such notice shall not give the Director of the State Office for the Aging or any other State official the right to pre-approve positions or communications of the State ombudsman.
(5) The State ombudsman, with the approval of the Director of the State Office for the Aging, may appoint one or more assistant State long-term care ombudsman to assist the State ombudsman in the performance of his or her duties under this section. Such assistant State ombudsmen must be verified as having completed a certification training program developed by the State ombudsman program within six months of their appointment as assistant State ombudsmen.
(6) The State ombudsman may appoint as ombudsmen individuals who have been screened for conflicts of interest and verified as completing the certification training program developed by the State ombudsman. In addition, the State long-term care ombudsman may refuse, suspend, or remove such appointments of ombudsmen.
(7) All files, records, and other information of the long-term care ombudsman program, including information maintained by local ombudsman entities pertaining to the cases and activities of the program are the property of the office of the State long-term care ombudsman. Such files, records, and information may be disclosed only at the discretion of the State ombudsman or designee of the State ombudsman for such purpose and in accordance with the criteria developed by the State ombudsman.
(c) Grievance process.
The State ombudsman shall recommend policies and procedures for the receipt and review of grievances regarding determinations or actions of the State ombudsman or ombudsmen to the Director of the State Office for the Aging.
(d) Annual report.
On or before March 31, 2005, and annually thereafter, the State ombudsman shall submit to the governor, commissioner of the administration on aging, speaker of the assembly, temporary president of the senate, Director of the State Office for the Aging, Commissioner of the Department of Health, and the Commissioner of Children and Family Services a report and make such report available to the public:
(1) describing the activities carried out by the office of the State long-term care ombudsman during the prior calendar year;
(2) containing and analyzing data relating to complaints and conditions in long-term care facilities and to residents for the purpose of identifying and resolving significant problems;
(3) evaluating the problems experienced by, and the complaints made by or on behalf of, residents;
(4) containing recommendations for appropriate State legislation, rules and regulations, policy, and other action to improve the quality of the care and life of the residents; protecting the health, safety, welfare, and rights of the residents; and resolving resident complaints and identified problems or barriers;
(5) containing an analysis of the success of the ombudsman program, including success in providing services to residents;
(6) describing barriers that prevent the optimal operation of the ombudsman program;
(7) describing any organizational conflicts of interest in the ombudsman program that have been identified and the steps taken to remove or remedy such conflicts;
(8) any other matters as the State ombudsman, in consultation with the Director of the State Office for the Aging, determines to be appropriate.

(a) Office of the State long-term care ombudsman established.