Administration for Community Living/Administration on Aging- Office of Long-Term Care Ombudsman Programs 

National Ombudsman Reporting System (NORS) OMB Control Number 0985-0005 

Table 1: NORS Parts A, B and C - Case and complaint codes, values and definitions Expiration Date: 04/30/2021 

Table 1: Part A-Case Data Components 

Each case must contain a complainant, complaint code (s), a setting, verification, resolution, and information regarding whether a complaint 

was referred to another agency or if no referral was made. Case and complaint data reported is only for those cases and complaints that were 

closed within the fiscal year. 

Element 

Number 

Data 

Element 

Definition Quantifier Type Codes and Values Examples and Reporting Tips 

CA-01 Case 

Number 

The unique 

identifier used for 

each case. 

Single Alphanumeric Not Applicable (NA ) 

(not a coded element) 

This is auto-created by the state software 

program. 

CA-02 Date Case 

Opened 

Month, day, and 

year that the case 

was opened. 

Single Date NA (not a coded element) Each case must have a minimum of one 

complaint. 

Each case must have only one case open 

date. 

The case opened date must be on or before 

the case closed date. 

CA-03 Date Case Month, day, and Single Date NA (not a coded element) The year of case closure must be in the 

Closed year that the case associated reporting period. 

was closed. Each case must have only one case closed 

date. 

The case closed date must be on or after 

the case open date. 
 

Element 

Number 

Data 

Element 

Definition Quantifier Type Codes and Values Examples and Reporting Tips 

CA-04 Facility or 

Setting 

Type of facility or 

setting for the 

case. 

Single Alphanumeric 

Code 

01-Nursing Facility

02-Residential Care

Community

99-Other setting

Only one setting is allowed for each case. 

See Part C definitions (Element Number CA04, Data Elements 01, 02 & 99). 

CA-05 Complainant Complainant: an 

individual (i.e., 

resident, resident 

representative, 

family) who 

requests 

Ombudsman 

program 

complaint 

investigation 

services regarding 

one or more 

complaints made 

by, or on behalf 

of, residents. 

Single Alphanumeric 

Code 

01. Resident

02. Resident

representative,

friend, family

03. Ombudsman

program

04. Facility staff

05. Representative of

other agency or

program

06. Concerned person

07. Resident or family

council

08. Unknown

See Part C definitions (Element Number CA05, Data Elements 01-08). 

Only one complainant per case is allowed. 

Select the complainant type that best 

represents the complainant(s) for the case. 

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Table 1: Part B - Complaint Data Components 

Element 

Number 

Data 

Element 

Definition Quantifier Type Codes and Values Examples and Reporting Tips 

CD-01 Complaint 

number 

The unique 

identifier used for 

each complaint. 

Single Alphanumeric 

Not Applicable (NA ) 

(not a coded element) 

This is auto-created by the state software 

program. 

CD-02 Date Month, day and Single Date NA (not a coded element) Each complaint must have only one complaint 

Complaint year the opened date. 

Opened complaint was 

opened. The complaint opened date must be on or 

after the case opened date and on or before 

the case closed date. 

CD-03 Date Month, day and Single Date NA (not a coded element) Each complaint must have only one complaint 

Complaint year the closed date. 

Closed complaint was 

closed. The complaint closed date must be on or after 

the case opened date and on or before the 

case closed date. 

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Element 

Number 

Data 

Element 

Definition Quantifier Type Codes and Values Examples and Reporting Tips 

CD-04 Complaint An expression of 

dissatisfaction or 

concern brought 

to, or initiated by, 

the Ombudsman 

program which 

requires 

Ombudsman 

program 

investigation and 

resolution on 

behalf of one or 

more residents of 

a long-term care 

facility. 

Single A. Abuse, Gross

Neglect,

Exploitation

B. Access to

Information

C. Admission,

Transfer, Eviction

D. Autonomy, Choice

E. Financial, Property

F. Care

G. Activities and

Social Services

H. Dietary

I. Environment

J. Policies,

Procedures

K. Complaints about

an Outside Agency

L. System/Others

(non-facility)

For the full list of codes and values, see 

Table 2. 

CD-05 Perpetrator Person(s) who 

appears to have 

caused the abuse 

or neglect or 

exploitation. 

Multiple 01-Facility Staff,

02-Another Resident

03-Family, Resident

Representative, Friend

99-Other

Only used for Abuse, Gross Neglect, and 

Exploitation complaints A01 to A05. 

There can be multiple perpetrators for each 

complaint. 

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Element 

Number 

Data 

Element 

Definition Quantifier Type Codes and Values Examples and Reporting Tips 

CD-06 Referral The agency or Multiple 01-Licensing, regulatory, See definitions in Part C. 

Agency agencies to which 

a complaint was 

referred to as part 

of the 

or certification agency

02-Adult protective

services

There can be multiple referrals to agencies in 

one complaint. 

A code of 06 (None) cannot be combined with 

Ombudsman 03-Law enforcement or other codes for a complaint. 

program’s plan of prosecutor

action for 04-Protection and 

complaint 

resolution. 

advocacy 

05-Legal services

06-No referral was made

99-Other

CD-07 Complaint 

Verification 

A confirmation 

that most or all 

facts alleged by 

the complainant 

are likely to be 

Single 01-Verified

02-Not verified

Each complaint must have a verification status 

(verified or not verified.) 

true. 

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Element 

Number 

Data 

Element 

Definition Quantifier Type Codes and Values Examples and Reporting Tips 

CD-08 Complaint 

disposition 

Final resolution or 

outcome of the 

complaint. 

Single Alphanumeric 

code 

01-Partially or fully 

resolved to the 

satisfaction of the 

resident, resident 

Each complaint can have only one disposition 

code. 

representative or 

complainant. 

2- No action needed 

or withdrawn by the

resident, resident

representative or

complainant.

3- Not resolved to the

satisfaction of the

resident, resident

representative or

complainant.

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Table 1: Part C - Case and Complaint Definitions 

Element 

Number 

Data Element Definition Examples and Reporting Tips 

CA-04 Facility or Setting Description of where Ombudsman services are provided. 

CA-04 01-Nursing Facility (A) Any skilled nursing facility, as defined in section 1819(a) of the

Social Security Act (42 U.S.C. 1395i–3(a)); (B) any nursing facility,

as defined in section 1919(a) of the Social Security Act (42 U.S.C.

1396r(a)).

CA-04 02-Residential Care

Community

A type of long-term care facility as described in the Older 

Americans Act that, regardless of setting, provides at a minimum, 

room and board, around-the-clock on-site supervision, and help 

with personal care such as bathing and dressing or health-related 

services such as medication management. 

Facility types include but are not limited to: assisted living; board 

and care home; congregate care; enriched housing programs; 

homes for the aged; personal care homes; adult foster/ family 

homes and shared housing establishments that are licensed, 

registered, listed, certified, or otherwise regulated by a state. 

CA-04 99-Other setting A code for Ombudsman services offered as a state option, in 

settings beyond those defined as long-term care facilities in the 

Older Americans Act. 

This code is used by Ombudsman 

programs that provide in-home care 

ombudsman services, managed care 

ombudsman and similar ombudsman 

services. 

CA-05 Complainant An individual who requests Ombudsman program complaint 

investigation services regarding one or more complaints made by, 

or on behalf of, residents. 

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Element 

Number 

Data Element Definition Examples and Reporting Tips 

CA-05 01-Resident An individual who resides in a long-term care facility. 

CA-05 02-Resident

representative,

friend, family

Resident Representative, Friend, & Family: Resident 

Representative as defined in 45 CFR 1324.1 (1) An individual 

chosen by the resident to act on behalf of the resident in order to 

support the resident in decision-making; access medical, social or 

other personal information of the resident; manage financial 

matters; or receive notifications; (2) A person authorized by State 

or Federal law (including but not limited to agents under power of 

attorney, representative payees, and other fiduciaries) to act on 

behalf of the resident in order to support the resident in decisionmaking; access medical, social or other personal information of 

the resident; manage financial matters; or receive notifications; 

(3) Legal representative, as used in section 712 of the Act; or (4)

The court-appointed guardian or conservator of a resident.

Friend is a non-relative with a personal relationship with the

resident as identified by the resident or complainant; family is

spouse, sibling, other relative or as identified by the resident or

complainant.

CA-05 03-Ombudsman 

program 

Ombudsman program: the program through which the functions 

and duties of the Office are carried out, consisting of the 

Ombudsman, the Office headed by the Ombudsman, and the 

representatives of the Office. 

CA-05 04-Facility staff Any employee or contractor of a long-term care facility who brings 

a complaint to the Ombudsman program regarding one or more 

residents. 

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Element 

Number 

Data Element Definition Examples and Reporting Tips 

CA-05 05-Representative 

of other agency or 

program 

Any representative of an agency, program or organization that 

refers a complaint to the Ombudsman program regarding one or 

more residents. 

Includes medical personnel not associated 

with the facility, adult protective services, 

licensing and certification, law 

enforcement, other social services 

agencies, faith based communities, and 

bank employees. 

CA-05 06-Concerned

person

Any person not closely associated to a resident that refers a 

complaint to the Ombudsman program regarding one or more 

residents. 

Includes neighbor to the facility, family 

member of another resident, person 

delivering supplies, barista, etc. 

CA-05 07-Resident or

family council

Organized, self-governing, decision-making groups of long-term 

care residents (resident council) or families (family council) who 

meet regularly to voice their needs and concerns and to have 

input into the activities, policies, and issues affecting the facility. 

CA-05 08-Unknown The source of the complaint or the type of complainant is not 

known to the Ombudsman program. 

Do not report complainants that wish to be 

anonymous as “unknown,” unless the 

source is not known to the Ombudsman 

program. 

CD-06 Referral Agency The agency or agencies to which a complaint was referred to as 

part of the Ombudsman program’s plan of action for complaint 

resolution. 

CD-06

01-Licensing,

regulatory or

certification agency

Licensing or Regulatory or Certification Agency: Government units 

responsible for the licensing of facilities and agencies serving older 

adults and adults with disabilities. 

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Element 

Number 

Data Element Definition Examples and Reporting Tips 

CD-06 02-Adult Protective

Services

Adult Protective Services: A social services program provided by 

state and/or local governments serving older adults and adults 

with disabilities who are in need of assistance because of abuse, 

neglect, self-neglect, or financial exploitation. 

CD-06 03-Law

enforcement or

prosecutor

Law Enforcement or Prosecutor: People employed by a local, 

state, tribal, or federal justice agency. This includes police, courts, 

district attorney's office, probation or other community 

corrections agency, and correctional facilities; including the State 

Medicaid Fraud Control Unit, as defined in section 1903(q) of the 

Social Security Act (42 U.S.C. 1396b(q)) 

CD-06 04-Protection & 

Advocacy 

Protection & Advocacy Systems: A system to protect and advocate 

the rights of individuals with developmental disabilities; as 

designated by the State, and as established under the 

Developmental Disabilities Assistance and Bill of Rights Act of 

2000 (42 U.S.C. 15001 et seq.) 

CD-06 05-Legal services Legal services: Entity or individual attorney providing legal 

representation and/or consultation to residents including but not 

limited to legal services funded through Older Americans Act or 

Legal Services Corporation funds, Ombudsman legal counsel or 

any other attorney. 

CD-06 06-None No referral was made. 

CD-06.1 99-Other Other: Any other entity to which a referral is made. 

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