**Long-Term Care Ombudsman Program**

**Complaint Codes**

***A complaint is about a problem of commission or omission.***

Each case may have more than one complaint. However each problem will
have only one code. Use only one category for each type of problem
(i.e., do not check both A.3 and D.26 for the same staff behavior -
determine which category is most appropriate to the particular problem).

**Residents' Rights**

A.  **Abuse, Gross Neglect, Exploitation**

> Use categories in this section only for serious complaints of
> *willful* mistreatment of residents by facility staff, management,
> other residents (use category 6) or unknown or outside individuals who
> have gained access to the resident through negligence or lax security
> on the part of the facility or for neglect which is so severe that it
> constitutes abuse. Use P.117 and P.121 for complaints of abuse,
> neglect, exploitation by family members, friends and others whose
> actions the facility could not reasonably be expected to oversee or
> regulate.
>
> For **all** categories in this part, use the broad definitions of
> abuse, neglect and exploitation in the Older Americans Act, which is
> almost identical to that in regulations for nursing homes
> participating in the Medicare and Medicaid programs (42 CFR 488.301):
>
> The term *abuse* means the willful (A) infliction of injury,
> unreasonable confinement, intimidation, or cruel punishment with
> resulting physical harm, pain or mental anguish; or
>
> \(B\) deprivation by a person, including a caregiver, of goods or
> services that are necessary to avoid physical harm, mental anguish, or
> mental illness. (Older Americans Act, Section 102 \[13\])
>
> The term *(financial) exploitation* means the illegal or improper act
> or process of an individual, including a caregiver, using the
> resources of an older individual for monetary or personal benefit,
> profit or gain. (Older Americans Act, Section 102\[24\])
>
> In addition to the above broad definitions, use the definitions for
> specific categories below from the Centers for Medicare and Medicaid
> Services (CMS) *Interpretive Guidelines, section 483.13(b) and (c*The
> guidelines are available at
> <https://www.cms.hhs.gov/manuals/Downloads/som107ap_pp_guidelines_ltcf.pdf>
> See page 61 and surveyor guidance at deficiency tags F223 to F226. 
>
> Use resident-to-resident physical or sexual abuse (A.6) only for
> *willful* abuse of one resident by another resident, not for
> unintentional harm or altercations between residents who require staff
> supervision, which should be coded in category I-66, "Resident
> conflict, including roommates." (For example, a confused resident who
> strikes out is categorized at I.66 and an alert resident who strikes
> out is A.6.)

1.  **Abuse, physical (including corporal punishment)**

> Includes hitting, slapping, pinching, kicking, etc. It also includes
> controlling behavior through corporal punishment.

**2. Abuse, sexual**

> Includes, but is not limited to, sexual harassment, sexual coercion,
> or sexual assault.

**3. Abuse, verbal/psychological (including punishment, seclusion)**

> Use of oral, written, or gestured language that includes disparaging
> and derogatory terms to residents or to their families, or within
> their hearing distance, to describe residents, regardless of their
> age, ability to comprehend, or disability. (Use D.26 for less severe
> forms of staff rudeness or insensitivity; use M.100 if staff is
> unavailable, unresponsive to residents.) Psychological or mental abuse
> includes, but is not limited to, humiliation, harassment, threats of
> punishment or deprivation. Involuntary seclusion means the separation
> of a resident from other residents or from his/her room against the
> resident's will or the will of the resident's legal representative.
> Emergency or short term monitored separation is not considered
> involuntary seclusion if used for a limited period of time as a
> therapeutic intervention to reduce agitation.

4.  **Financial exploitation (use categories in Section** **E for less
    severe** **financial** **complaints)**

> The illegal or improper act or process of an individual, including a
> caregiver, using the resources of an older individual for monetary or
> personal benefit, profit or gain.

**5. Gross neglect (use categories under Care, Sections F** **&** **G**
**for** **non-willful** **forms of** **neglect)**

> The willful deprivation by a person, including a caregiver, of goods
> or services that are necessary to avoid physical harm, mental anguish,
> or mental illness. (Use only for the most extreme forms of willful
> neglect. Use the appropriate categories under Resident Care, Quality
> of Life or, in some cases, Administration for less severe forms or
> manifestations of resident neglect.)

**6. Resident-to-resident physical or sexual abuse**

> Use only for complaints of abuse by a resident against one or more
> other residents which meet the definitions of abuse provided above.
> (For unintentional harm or altercations between residents who require
> staff supervision, use category I-66, "Resident conflict, including
> roommates.")

**7.** **Not Used**

**B. Access to Information** **by Resident or Resident's
Representative**

> Use categories in this section for complaints involving access to
> information or assistance made by or on behalf of the resident or the
> resident's representative. Use B.9 if the ombudsman is denied access
> in response to a complaint. If there is a general problem with
> ombudsman access to one or more particular facilities or types of
> facilities, but no complaint has been filed, do not use complaint
> categories. Describe the access problem under Part III, B - Statewide
> Coverage. Categories B.14, D.29, and M.96 all involve
> communication/language barriers and yet are different. Use B.14 if
> information regarding rights, medical condition, benefits, services,
> etc. is not communicated in an understandable language.

**8. Access to own records**

Use if complainant is denied or delayed access to resident's record.

**9. Access by or** **to ombudsman/visitors**

> Use if access to the facility or certain parts of the facility is
> denied to the ombudsman. Use also if ombudsman or visitors are denied
> access to a resident.

**10. Access to facility survey/staffing reports/license**

> Use if the licensing and certification agency's survey is not posted
> in a prominent place or not provided when requested. Use also when the
> facility's license is not posted or available. Use if the facility
> daily staffing report is not posted.

**11. Information regarding advance directive**

Use related to advance health care directive, living will, do not
resuscitate (DNR) order, and similar problems.

.

**12. Information regarding medical condition, treatment and any
changes**

> Use if information is denied, delayed.

**13. Information regarding rights,** **benefits,** **services, the
resident's right to complain**

> Use related to resident rights (including the right to complain),
> Medicaid information/process, social services, staff not wearing name
> badges, and similar problems.

14. **Information communicated in understandable language**

> Use if information is not provided in a language which the resident or
> her representative can understand or the staff speaks in a confusing
> manner.

**15.** **Not Used**

**C. Admission, Transfer, Discharge, Eviction**

> Use the appropriate category for complaints involving placement,
> whether into, within or outside of the facility. If resident requests
> assistance in transferring to another facility and there is no stated
> problem (complaint), record as information and assistance to
> individuals in Part III, Other Ombudsman Activities. If a resident
> requests assistance in moving out of the facility but there are no
> feasible alternative options, record as P.128 "Request for less
> restrictive placement," since the problem is a lack of care
> alternatives within the long-term care system.

**16. Admission contract and/or procedure**

Use if no contract; contract contains illegal wording requiring waiver
of rights or guarantee of payment; admission procedure not followed;
admission procedure does not contain required elements, and similar
problems.

**17. Appeal process - absent, not followed**

> Use if resident/representative not given required number of days to
> appeal a discharge; facility failed to follow appeal ruling; no appeal
> process in place; and similar problems.

**18. Bed hold - written notice, refusal to readmit**

> Use if bed not held required number of days; resident/representative
> not advised of bed hold policy; incorrect bed hold procedure; bed held
> but resident not readmitted, and similar problems.

**19. Discharge/eviction- planning, notice, procedure, implementation,
including abandonment**

> Use if no discharge notice; required notice not given to
> resident/representative; required notice not given to the ombudsman
> program in required time frame; required notice lacks documentation,
> is incomplete, incorrect; discharge is for inappropriate reasons;
> discharge planned or implemented to inappropriate environment; level
> of care is changed against resident's will, and similar problems.

**20. Discrimination in admission due to condition, disability**

Use for refusal to admit resident due to medical condition, disability.

**21. Discrimination in admission due to Medicaid status**

Use if resident not admitted due to Medicaid status or pending Medicaid
status.

**22. Room assignment/room change/intrafacility** **transfer**

> Use if resident wants room change or resident objects to planned room
> change; no notice or inadequate notice of change; excessive room
> changes; or similar problems.

**23.** **Not Used**

**D. Autonomy, Choice, Preference,** **Exercise of Rights, Privacy**

> Use for any complaint involving the resident's right, as stated in the
> category. If it is a related problem, but not one specific to this
> heading, use a category under another heading. For example, if the
> resident is permitted to choose her personal physician but that
> physician is unavailable, use P.125.
>
> Note that D.29, B.14 and M.96 all involve communication/language
> barriers and yet are different. Use D.29 if the resident has a
> communication or language barrier. Use M.96 if staff have the
> communication or language barrier.
>
> Use D.27 for right to smoke. Use K.77 for smoke-polluted air.

**24. Choose personal physician/pharmacy**/hospice, other health care
provider

> Use when the resident is denied the right to choose his own
> physician/pharmacy/hospice.

**25. Confinement of facility against will (illegally)**

> Use when the resident is denied the right to leave the facility or go
> outside of the facility. (Use P.128 "other" for resident requests for
> assistance in moving out of the facility when feasible alternative
> options are not available.)

**26. Dignity, respect - staff attitudes**

> Use when resident is treated with rudeness, indifference or
> insensitivity, including failure to knock before entering room,
> facility posts signs relating to individual's care and similar
> problems.

**27. Exercise preference/choice and/or civil/religious rights,**
**individual's right to smoke**

> Use when the resident is denied choice and exercise of rights; for
> example: voting; speaking freely; access to a smoking area, preference
> in sleeping and rising times, community activities, the outdoors,
> television program of choice and similar problems. (Use D. 31 for
> rights involving privacy.)

**28. Exercise right to refuse care/treatment**

> Use if the resident is denied the right to refuse care/treatment;
> including resident's right to refuse eating, bathing, or taking
> medication.

29. **Language barrier in daily routine**

Use if caregiver does not speak the resident's language, resident cannot
communicate.

**30. Participate in care planning by resident and/or designated
surrogate**

> Use if the resident or the resident's legal representative is denied
> access to or not informed of a care plan/care plan meeting.

**31. Privacy - telephone, visitors, couples, mail**

> Use if the resident is denied access to a telephone, visitors or mail;
> phone calls are monitored; mail is opened by someone other than the
> resident or the resident's legal representative; couples denied
> privacy.

32. **Privacy in treatment, confidentiality**

> Use if the resident is denied privacy in treatment; confidential
> information has been disclosed.

**33. Response to complaints**

> Use if complaints are ignored or trivialized by facility staff:
> administrator, social worker, nurses, and other staff.

**34. Reprisal, retaliation**

> Use if the resident has experienced reprisal/retaliation (threat of
> discharge, lack of care, requests ignored, call lights unanswered,
> rough handling, etc.) as a result of a complaint.

**35. Not Used**

**E. Financial, Property (Except for Financial** **Exploitation)**

> Use the appropriate category for complaints involving non-criminal
> mismanagement or careless with residents' funds and property or
> billing problems. Use A.4 for complaints involving willful financial
> exploitation, including, but not limited to, criminal activity.

36. **Billing/charges - notice, approval, questionable, accounting wrong
    or denied (includes overcharge of private pay residents)**

> Use if complainant alleges resident does not owe the amount billed;
> the resident never received the bill for amount owed; bill in error,
> supplies not provided as part of the daily rate and similar problems.

37. **Personal funds - mismanaged, access/information denied, deposits
    and other money not returned (report criminal-level misuse of
    personal funds under** **A.4)**

> Use for problem with personal funds, for example, staff deny a
> resident use of her personal needs allowance; staff use a nursing home
> resident's trust fund without consent, and similar problems.

**38. Personal property** **lost, stolen, used by others, destroyed,
withheld**

> Use for property (including prostheses, dentures, hearing aid,
> glasses, radio, watch) missing/stolen at the facility. Use K.82 for
> loss of laundry.

**39.** **Not Used**

**Resident Care**

F.  **Care**

> Use the appropriate category for complaints involving negligence, lack
> of attention and poor quality in the care of residents. If the care
> situation is so poor that the resident is in a condition of overall
> neglect which is threatening to health and/or life, use A.5, "gross
> neglect."

**40. Accidental or injury of unknown origin, falls, improper handling**

> Use for unexplained bruises, scratches, cuts, skin tears; falls from
> bed, wheelchair, or when standing; when resident is handled improperly
> or dropped during transfer or other assistance; and similar problems.

**41. Failure to** **respond to requests for assistance**

Use for call lights or requests for assistance not answered, or not
answered in a timely manner. Includes requests for going/returning to
resident's room, transfers to chairs/bed, etc.

**42. Care plan/resident assessment - inadequate, failure to follow plan
or physician** **orders (put** **lack of** **resident/surrogate
involvement** **under D. 30)**

> Use for problem related to care plan: plan is incomplete or not
> reflective of resident's condition; staff has disregarded or is not
> informed of the plan; staff fails to respond, or responds slowly, to
> physician orders and similar problems.

43. **Contracture**

> Use for problem related to resident's hands, arms, feet, or legs being
> drawn up and

contorted.

**44. Medications - administration, organization**

> Use for medications not given on time or not at all, medication
> administration not documented or incorrectly documented, medications
> not secured, incorrect medication or dosage; negligence, lack of
> attention or poor quality in care related to medication that is: run
> out; expired; not filled in a timely manner; incorrectly labeled, and
> similar problems.

**45. Personal hygiene (includes nail care &** **oral hygiene)** **and
adequacy of dressing & grooming**

> Use for resident: not bathed in a timely manner, not clean, not bathed
> at all, allowed to remain in soiled clothing, diaper, bed, chair;
> hands and face not washed after meals; teeth/dentures not cleaned; and
> similar problems.

**46. Physician services, including podiatrist**

> Use for failure of facility to obtain physician services upon a change
> in resident's condition, or if medical attention, including podiatrist
> service, is not obtained in a timely manner or not obtained at all.

**47. Pressure sores, not turned**

> Use for pressure sore(s) that may have occurred at the facility or
> elsewhere. Use when facility fails to treat, document, monitor
> pressure sores. Use if resident is not turned per medical order or
> treatment standard, or when turning is undocumented.

**48. Symptoms unattended, including pain, pain not managed,** **no
notice to others of** **changes in condition**

> Use if facility fails to accommodate, notice or provide services
> related to a change in resident's condition.

**49. Toileting, incontinent care**

> Use when resident is not toileted in a timely manner, as needed or
> requested, or as directed by the care plan; facility is using diapers
> or catheters rather than toileting. Use G.54 for inadequate or
> non-existent bowel and bladder plan/training.

**50. Tubes - neglect of catheter, gastric, NG tube (use D.28 for
inappropriate, forced use)**

> Use if tube is not cleaned, changed, or monitored appropriately.

**51. Wandering, failure to accommodate/monitor** **exit seeking
behavior**

> Use for resident wandering, failure to redirect wanderers.

**52. Not Used**

**G. Rehabilitation or Maintenance of Function**

> Use the appropriate category for complaints involving failure to
> provide needed rehabilitation or services necessary to maintain the
> expected level of function.

**53. Assistive devices or equipment**

> Use if facility lacks, fails to maintain or has problems with: Hoyer
> lift, handrails/grab bars, toilet seat, elevators, ambulation aids,
> wheelchair (no brakes or foot rests, etc.), hearing or visual aids,
> and other assistive devices or equipment.

**54 Bowel and bladder training**

> Use if facility fails to provide training, has no schedule, or
> schedule not maintained. See F.49.

.

**55. Dental services**

> Use if dental services not provided or arranged for resident.

**56. Mental health, psychosocial services**

> Use if these services not provided, arranged for resident.

**57. Range of motion/ambulation**

> Use if services not provided; resident not assisted or encouraged in
> ambulation as appropriate; no appropriate exercise available; exercise
> resident wants is unavailable.

**58. Therapies, physical, occupational, speech**

Use for failure to provide or arrange for therapies with outside agency
or provider.

**59. Vision and hearing**

> Use for failure to provide or arrange for vision and hearing services
> or for problems with services.

60. **Not Used**

**H. Restraints - Chemical and Physical**

> Use the appropriate category for any complaint involving the use of
> physical or chemical restraint.

**61. Physical restraint - assessment, use, monitoring**

> Use for any physical restraint: lap buddy, bed rail(s), bindings,
> placement of furniture, resident not released from restraints for a
> specified time; no order in file; and similar problems including
> locked units.

**62. Psychoactive drugs - assessment, use, evaluation**

> Use for any chemical restraint including excessive or unnecessary
> medication.

**63.** **Not Used**

**Quality of Life**

**I. Activities and Social Services**

**Activities a**

> Use categories under this heading for complaints involving social
> services for residents and social interaction of residents. Note that
> transportation is included in category I.65 because community
> interaction is sometimes (not always) dependent upon transportation.

**64. Activities - choice and appropriateness**

> Use for lack of activities appropriate for each resident; facility
> fails to consider residents ability to perform certain activities/and
> preferences; variety limited; no activities; posted activities not
> conducted.

**65. Community interaction, transportation**

> Use for any complaint involving the resident's need for
> transportation, for whatever reason and/or when facility does not
> assist residents in participating in community services or activities
> or curtails community interaction.

**66. Resident conflict, including roommates**

> Use for any complaint involving conflict between residents, including
> roommate conflict and inappropriate behaviors that impact another
> resident's quality of life.

67. **Social services** **-- availability/appropriateness (use G.56 for
    mental health, psychosocial counseling/service)**

> Use if social services department fails to provide social services or
> encourage social interaction; fails to provide services if resident
> isolates himself or refuses to participate in activities, and similar
> problems.

**68.** **Not Used**

**J. Dietary**

> Use the appropriate category for complaints involving food and fluid
> intake. Use the appropriate category under A (A.1 or A.5) for willful
> cases of food deprivation.

**69. Assistance in eating or assistive devices**

> Use for failure to provide assistance in eating; facility has not
> provided tools to assist resident in self-feeding, meal set-up, i.e.,
> opening milk cartons, tray not within reach.

**70. Fluid availability/hydration**

> Use for complaint that resident is not reminded to drink; bedside
> water is not provided, not fresh or not in reach; fluids are not
> readily available; resident is dehydrated.

**71.** **Food service - quantity, quality, variation, choice,
condiments, utensils, menu**

> Use for posted menu not served; alternate selections not offered;
> servings too small; no variety; quality is poor; food has little
> nutritional value, nutrients out of date, condiments or utensils not
> provided, presentation, timely delivery and/or removal of trays.

**72. Snacks, time span between meals, late/missed meals**

> Use for snacks not readily available or offered between meals;
> excessive time span between dinner and breakfast.

**73. Temperature**

> Use for food or beverage not served at appropriate temperature.

**74. Therapeutic diet**

> Use for complaint resident's therapeutic diet is not served as
> ordered; resident's dietary needs not accommodated.

**75. Weight loss due to inadequate nutrition**

> Use A.1 or A.5 for willful food deprivation.

**76.** **Not Used**

**K. Environment/Safety**

> Use the appropriate category for complaints involving the physical
> environment of the facility and resident's space.

**77. Air/environment: temperature and quality (heating, cooling,
ventilation, water), noise**

> Use for complaints about building, room or water temperature too hot
> or cold; ventilation inadequate; indoor cigarette smoke; noise in the
> facility; and similar problems.

.

**78. Cleanliness, pests, general housekeeping**

> Use for uncleanliness or pests (insects, vermin - live or dead) in
> resident's room or other facility area. Also use for ant, snake, rat
> or mosquito bite.

79. **Equipment/Buildings - disrepair, hazard, poor lighting, fire
    safety,** **not secure**

> Use for elevator malfunctioning/not maintained; paint/wallpaper
> peeling; lights burned out or insufficient lights; exterior not
> maintained, littered; inaccessible entrances/exits or hallways;
> inadequate/non-functioning/expired fire extinguishers; malfunctioning
> automatic doors; fire alarms, smoke detectors, and other emergency
> equipment not present, malfunctioning or inadequate; and any other
> building maintenance problem. Also use for premises not secured;
> lacking or broken window bars; unauthorized person gained entrance to
> facility; unauthorized weapon in facility, and similar problems.

**80. Furnishings, storage for residents**

> Use for furnishing in disrepair; lack of furnishings; inadequate
> storage space for belongings, including valuables

**81. Infection control**

> Use for insufficient measures to prevent infection; spread of
> infection; resident at risk; infection unreported or not treated
> appropriately, and similar problems**.**

**82. Laundry - lost, condition**

> Use for no clean clothes available; clothing lost, damaged**.**

**83. Odors**

> Use for urine, feces, any other offending odor or any odor which is a
> detriment to the health of the resident.

**84. Space for activities, dining**

> Use for: inadequate space for scheduled activity or residents'
> attendance/participation in activity; dining area does not promote
> resident interaction; inadequate space for wheelchair or other
> assistive devices while dining; activity, dining areas converted to
> other uses.

85. **Supplies and linens**

> Use for no clean linens available or in poor condition; shortage of
> supplies, for example, soap, gloves, toilet paper, incontinence pads,
> and nursing supplies.

**86.** **Americans with Disabilities Act (ADA) accessibility**

> Use for complaints regarding the facility's compliance with the ADA;
> for example, no handicapped access.

**Administration**

L.  **Policies, Procedures, Attitudes, Resources**

> Categories under this heading are for acts of commission or omission
> by facility managers, operators or owners in areas other than staffing
> or specific problems included in previous sections.

**87. Abuse investigation/reporting, including failure to report**

> Use for failure of facility to report or investigate suspected
> resident abuse/neglect or exploitation to the specified authority, no
> matter where alleged abuse occurred.

**88. Administrator(s) unresponsive, unavailable**

> Use for failure of administrator or administrative staff to respond to
> or communicate with others.

**89. Grievance procedure (use C** **for transfer, discharge appeals)**

> Use if there is no grievance procedure for handling complaints or if
> the procedure is not made known to residents or not complied with by
> the facility.

**90. Inappropriate or illegal policies, practices,** **record-keeping**

> Use if records are incomplete, missing or falsified, including staff
> references not checked, or when required background screening has not
> been performed. Use also for complaints about health care fraud,
> waste, and abuse.

**91. Insufficient funds to operate**

> Use if there is a substantiated complaint of shortage of staff, lack
> of food, utilities cut off, etc., that could indicate bankruptcy or
> insufficient funds. Also use if a complainant alleges the facility has
> insufficient funds to operate.

**92. Operator inadequately trained**

> Use for complaint that owner/administrator has no documentation of
> administrator's license, training or updates, and other certifications
> required by the state.

93. **Offering inappropriate level of care (for B&C/similar)**

> Use if facility admits or retains resident whose medical and/or care
> needs are greater than the facility can meet or arrange to have met
> and similar problems.

94. **Resident or family council/committee interfered with, not
    supported**

> Use if facility interferes with or fails to support resident or family
> councils, attempts to organize councils and related problems.

95. **Not Used**

**M. Staffing**

> Use appropriate categories under this heading for complaints involving
> staff unavailability, training, turnover, and supervision.

**96. Communication, language barrier**

> Use for staff language or other communication barrier. Use D.29 if
> problem involves resident inability to communicate.

**97. Shortage of staff**

> Use for insufficient staff to meet the needs of the resident(s);
> staffing is below the minimum standard.

**98. Staff training**

> Use when staff has not received training sufficient to meet the needs
> of the resident(s); including basic care and technical training,
> including the use of a Hoyer lift, CPR, first aid, mental health, and
> dementia training.

**99. Staff turn-over, over-use of nursing pools**

> Use when there is no continuity of care for the residents; new staff
> on board and pool/agency staff are regularly used.

**100. Staff unresponsive, unavailable**

> Use if staff is unresponsive or unavailable. Use D.26 if staff is
> available but rude or otherwise disrespectful to resident. Use A.3 or
> other category under A if rudeness or disrespect is so severe that it
> qualifies as abuse.

**101. Supervision**

> Use when the staff duties are not overseen or not reviewed by a
> supervisor. Use when there is no ALF staff monitoring residents.

102. **Feeding Assistants**

> Use for complaints about inappropriate use of and training of feeding
> assistants. Use J. 69 for failure to provide assistance in eating or
> facility has not provided tools to assist resident in self-feeding,
> meal set-up, i.e., opening milk cartons, tray not within reach.

**Problems with Outside Agency, System, or People (Not Against the
Facility**

> Use these categories for all complaints involving decisions, policies,
> actions or inactions by the state agencies which license facilities
> and certify them for participation in Medicaid and Medicare.

N.  **Certification/Licensing Agency**

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103. **Access to information (including survey)**

> Use if licensing agency does not provide facility information to
> ombudsmen, public.

104. **Complaint, response to**

> Use when agency fails to respond adequately to any complaint or
> referral, from the resident, ombudsman or public.

105. **Decertification/closure**

> Use for individual complaints about decertification/closure and if
> agency fails to decertify/close a facility when within residents' best
> interests or with disregard to residents' rights.

**106. Sanction, including Intermediate**

> Use if licensing agency fails to sanction facility appropriately.

**107. Survey process**

> Use if agency fails to survey facility as required by law.

**108. Survey process - Ombudsman participation**

> Use if ombudsmen not notified and/or included in survey process.

109. **Transfer or eviction hearing**

> Use for complaints of decisions, policies, actions or inactions by the
> licensing agency regarding resident discharge hearings.

110. **Not Used**

> Use for any other complaint against the state licensing agency.

**O. State Medicaid Agency**

> Categories in this section are for complaints about Medicaid coverage,
> benefits and services.

111. **Access to information, application**

> Use if information is denied or delayed to resident or legal
> representative; case worker is unavailable, or unresponsive to
> requests for information or application status.

**112. Denial of eligibility**

Use for complaint that resident is denied Medicaid.

**113. Non-covered services**

Use for complaints about services not covered by Medicaid.

**114. Personal** **Needs Allowance**

Use for complaints about the insufficiency of the personal needs
allowance.

**115. Services**

> Use for complaints about the quality or quantity of services covered
> by Medicaid or difficulty in obtaining services. (Use 113 for
> non-covered services.)

**116. Not Used**

**P. System/Others**

> Use appropriate categories in this section to document the range of
> complaints against or involving individuals who are not managers/staff
> of facilities \* or of the State=s licensing and certification or
> Medicaid agency. (\*except for 119, as specified)

117. **Abuse/neglect/abandonment by family member/friend/guardian or,
     while on visit out of facility, any other person**

> Use for abuse/abandonment by individuals other than facility staff,
> when the facility could not reasonably have been expected to observe
> the acts. Use A.1 or other A categories when the facility should have
> overseen and acted.

**118. Bed shortage - placement**

> Use when resident is unable to find a facility placement, or for a bed
> shortage.

**119.** **Facilities operating without a license**

> Use for complaints about facilities providing services to residents
> which should only be offered in a regulated environment.

**120. Family conflict; interference**

> Use when a family conflict interferes with resident's care. Use only
> if the conflict or problem affects the resident's care or well being.

121. **Financial exploitation or** **neglect by family or other not
     affiliated with facility**

> Use for cases of financial exploitation or financial neglect of a
> resident by individuals whose actions the facility could not
> reasonably be expected to oversee or be responsible.

**122. Legal - guardianship, conservatorship, power of attorney, wills**

> Use if the complaint involves any of the above legal issues.

**123. Medicare**

> Use if resident has complaint related to Medicare coverage.

**124. Mental health, developmental disabilities, including** **PASRR**

> Use for problems with access to services for persons with mental
> illness or developmental disabilities or for problems involving
> implementation of the Pre-Admission Screening and Resident Review
> (PASRR) requirements of the Nursing Home Reform Act related to
> individuals with mental illness, mental retardation, or a
> developmental disability living/making application to live in a
> Medicaid-certified nursing home.

**125. Problems with** **resident's** **physician**

> Use if the resident's physician fails to provide information, services
> or is not available. (Use F.46 if facility fails to arrange for
> physician service and P.48 if facility fails to attend to medical
> symptoms or notify family of change in resident's condition.)

**126. Protective Service agency**

> Use for complaints involving the agency in the State charged with
> investigating reports of adult abuse or exploitation and providing
> protective services for victims of abuse and exploitation.

.

**127. SSA, SSI, VA, other benefits/agencies**

> Use for complaints for these non-Medicaid and non-Medicare benefits
> and the agencies which administer them.

**128. Request for less restrictive placement**

> Use for a complaint against any other agency or individual, but not
> facility staff or licensing agency staff. Use for resident requests
> for assistance in moving out of the facility and/or ombudsman
> initiative to help resident find less restrictive placement. Includes
> work to implement the Supreme Court's Olmstead decision.

Q.  **Complaints About Services in Settings Other Than Long-Term Care
    Facilities or By Outside Provider**

> Use categories in this section to document any complaints accepted and
> acted upon by the ombudsman involving individuals living in private
> residences, hospitals or in hospice care, and congregate and/or shared
> housing not providing personal care. Also use for services in a
> facility provided by an outside provider.

129. **Home care**

> Use if complaint is made by or on behalf of an individual living in a
> private residence.

**130. Hospital or hospice**

Use for complaint involving hospital or hospice care, service, or
administration.

**131. Public or other congregate housing not providing personal care**

> Use for complaint made by or on behalf of individual living in public
> or private congregate housing unit where personal care is not included
> in the rental contract.

**132. Services from outside provider**

> Use for services from an outside provider which are not included in
> other categories for which the facility makes arrangements; for
> example, personal and homemaking services in an assisted living
> facility, therapies, non-Medicaid transportation, psychosocial
> service. (Use P.125 for outside physician services.)

**133.** **Not Used**