JANUARY 13, 2011

PRESENTED BY:

NORC at the 

University of Chicago

Point of Contact

Title

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F I N A L R E P O R T

Evaluation Study Design for Long-Term 

Care Ombudsman Programs under the 

Older Americans Act:

Research Design Options 

PRESENTED TO:

Susan Jenkins

Administration for 

Community Living/ 

Administration on Aging

1 Massachusetts Ave NW

Washington, DC 20001

(202) 401-4634

JANUARY 31, 2013

NORC | Evaluation Study Design for Long-Term Care Ombudsman Programs under the OAA

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Acknowledgements

NORC at the University of Chicago presents this report, Evaluation Study Design for Long-Term Care 

Ombudsman Programs under the Older Americans Act, funded by the Administration for Community 

Living/Administration on Aging.

The NORC project team includes Kim Nguyen, Tim Mulcahy, Sarah Downie, Athena Diaconis, Alphonse 

Derus, and senior consultants Helaine Resnick and Lynne Snyder. NORC gratefully acknowledges the 

contributions of Susan Jenkins, the ACL’s Contracting Officer’s Technical Representative, who provided 

thoughtful input and guidance throughout the project. NORC is additionally grateful for the contributions 

made by Louise Ryan, Ombudsman Specialist, and Becky Kurtz, Director of the Office of the Long-Term 

Care Ombudsman Programs, to this effort.

Finally, NORC would like to thank the Technical Advisory Group, whose critical participation and 

contributions made this study possible.
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Table of Contents

1.0 Executive Summary .................................................................................................. 1

2.0 Introduction and Overview......................................................................................... 3

3.0 Evaluation Study Design Goals................................................................................. 4

4.0 Characteristics of the LTCOP & Evaluation Designs................................................. 5

4.1 Complexity of the Program and its Relationship to Measuring Outcomes ............5

4.2 Decentralization and Diversity of Program Implementation ..................................5

4.3 Consistency of Data.............................................................................................6

4.4 Full-coverage and the Problem of Comparison Groups........................................7

4.5 Hybrid Nature of the Program ..............................................................................8

4.6 Reliance on Trained Volunteers...........................................................................8

4.7 Variability in Who is Served .................................................................................9

5.0 Use of CDC Framework .......................................................................................... 10

6.0 Use of Program Logic Models ................................................................................. 11

7.0 Overarching Research Questions ........................................................................... 12

8.0 Evaluation Design Options ...................................................................................... 13

8.1 Process Evaluation: Existing Data .....................................................................14

8.1.1 Detailed Review of Existing Data Sources .............................................................. 14

8.2 Process Evaluation: New Data Collection ..........................................................15

8.2.1 Process Evaluation Core Data................................................................................. 16

8.2.2 Process Evaluation Modular Data............................................................................ 18

8.2.3 Commissioned Papers............................................................................................. 20

8.2.4 Case Studies............................................................................................................ 20

8.3 Outcomes Evaluation: Existing Data ..................................................................26

8.3.1. Analysis of Ombudsman and Nursing Home Complaint Data, Comparing LTCOP 

and non-LTCOP Users ..................................................................................................... 26

8.3.2 Ecological Study ...................................................................................................... 27

8.4 Outcomes Evaluation: New Data Collection.......................................................31

8.4.1 Outcomes Evaluation Core Data ............................................................................. 31

8.4.2 Outcomes Evaluation Modular Data ........................................................................ 34

8.4.3 Cost Analyses .......................................................................................................... 35

8.4.4 Cohort Study ............................................................................................................ 35

9.0 Summary................................................................................................................. 48

Appendix A: TAG Members ......................................................................................... 50
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Appendix B: Glossary................................................................................................... 51

Appendix C: Older Americans Act................................................................................ 56

Appendix D: Logic Models............................................................................................ 58

Appendix E: Cross Walk Matrix.................................................................................... 64

Appendix F: Data Elements ......................................................................................... 67

Appendix G: Micromaps ............................................................................................... 75

Appendix H: Annotated Bibliography on Data Collection Tools & Data Sources.......... 87

Appendix I: Data Collection Tools & Sources Chart.................................................... 94

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1.0 Executive Summary

In September 2011, the Administration for Community Living (ACL) awarded a contract to NORC at the 

University of Chicago (NORC) to develop an evaluation study design to better understand and assess the 

effectiveness of Long-Term Care Ombudsman Programs (LTCOPs). NORC was tasked with building the 

evidence base on LTCOPs in order to develop recommendations for a rigorous and comprehensive study 

design that investigates program efficiency and program effectiveness at multiple levels, including the 

resident/family, facility, local/state/program, and federal levels. The effort was led by NORC with 

extensive input and assistance from the ACL and a Technical Advisory Group (TAG) that was created to 

guide and inform the overall research objectives and design of the project. TAG members reflected a 

broad range of knowledgeable stakeholders, with particular expertise in the areas of ombudsman 

programs; aging program evaluation; elder abuse, neglect and exploitation research; and long-term care 

systems. The 14 TAG members included Rosemary Biggins, James Bulot, PhD, Toby Edelman, EdM, JD, 

Doni Green, Alice Hedt, Brooke Hollister, PhD, Rosalie Kane, PhD, MSW, Debi Lee, Yvette Lugo, 

Jackie Majoros, JD, Ana Potter, JD, William Scanlon, PhD, Lori Smetanka, JD, and Jean Wood. This 

document represents the culmination of that 16 month effort and describes approaches to evaluating the 

LTCOP that incorporates ongoing feedback from the ACL and TAG members. A list of participating 

TAG members and their affiliations can be found in Appendix A.

Key tasks of the design process involved the development of a family of four logic models and a set of 

overarching research questions to guide the evaluation, as well as the identification of data collection 

tools and data sources that inform those questions. The diversity of proposed activities reflects the ACL’s 

goals for this evaluation, the commitment to a population health frame of reference, and seven critical 

LTCOP characteristics that influence design options. In an effort to address both the goals of the 

evaluation as well as uncertainty regarding future evaluation project funding, we have developed a multimodal approach to evaluating the LTCOP that is highly scalable and features sufficient flexibility to 

handle an extensive or modest allocation of resources with a high degree of scientific rigor.

The evaluation study design for the LTCOP consists of two major groups of activities: a process 

evaluation and an outcomes evaluation. Both the process and outcome evaluations contain multiple crosssectional and longitudinal data collection activities that combine existing data sources with new data 

collection that are both quantitative and qualitative. Several core sources of data include interviews (inperson and telephone), surveys, focus groups, case studies, and a cohort study. Collectively, these 

activities gather information from multiple perspectives, including residents, family members, facility 
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staff, ombudsmen (state and local), stakeholders, federal staff, and other individuals with interests in the 

program. Data collected as part of these evaluation activities can be used to support a number of analyses 

regarding the processes and outcomes of the program as well as cost analyses. It should be noted that 

while the process and outcomes evaluation activities are integrated and complementary (and sometimes 

combined), the components are separate and any one component can be pursued independently of the 

others. In the following report, we present greater detail on each LTCOP evaluation activity. 
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2.0 Introduction and Overview

In response to widely reported problems involving poor quality of care in nursing homes, the ombudsman 

program began in 1972 as a Public Health Service demonstration project in five states. The 1978 

amendments to the Older Americans Act (OAA) established the LTCOP nationwide. Administered by the 

Administration on Aging (AoA) through grants to states and territories, LTCOPs currently operate in all 

50 states, the District of Columbia, Puerto Rico, and Guam. 

As mandated by the OAA, the LTCOP’s main responsibilities are threefold (see Appendix C for Section 

712 of the OAA). First and foremost, the LTCOP advocates on behalf of residents of long-term care 

facilities, including nursing homes, board and care homes, and similar adult care facilities. In this 

capacity, ombudsmen identify, investigate and resolve complaints about the care residents receive with 

respect to their health, safety, welfare and rights. Second, the program advocates for systems change by 

representing residents’ interests before government agencies and analyzing, commenting on, and 

monitoring federal, state and local regulations, policies, and actions that potentially affect residents of 

long-term care facilities. Third, the ombudsman program provides information and consultation to 

facilities and residents and their families as well as collaboration with other agencies. Through education 

and outreach, the LTCOP aims to build capacity for advocacy in a number of ways. These include 

supporting family and resident councils, developing citizen organizations, and empowering residents and 

their caregivers to more effectively advocate on their own behalf.

The first national evaluation of the LTCOP was completed in 1995 by the Institute of Medicine (IOM).

Since that time, significant changes have occurred in the long-term care environment, including an 

increase in consumer options in residential care and an increasingly older, frailer, and more diverse 

population of long-term care residents. While the LTCOP has historically filled a vital need for some of 

society’s most vulnerable groups, these changes have placed greater and more complex demands on 

programs. In its fifth decade, the LTCOP operates in a very different socio-demographic, economic and 

political climate than was the case during its last comprehensive evaluation 18 years ago, making this an 

opportune time to re-assess the ability of the program to meet its legislative mandates.
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3.0 Evaluation Study Design Goals

The ACL’s four main goals for the evaluation of the LTCOP are:

1. Documentation of ombudsman practices, approaches, and processes, including analysis of the 

similarities and differences across state programs;

2. Provision of feedback to federal, state, and local program staff about what is working and areas 

for improvements in the LTCOP;

3. Documentation of the outcomes of the LTCOP; and

4. Measurement of program efficiency and the collection of program cost data to support program 

planning, continuation and/or expansions.
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4.0 Characteristics of the LTCOP & Evaluation Designs

In developing an evaluation design for the LTCOP, key attributes of the program that influence potential

study design options were considered. In particular, the following program characteristics and their design 

implications were taken into account:

4.1 Complexity of the Program and its Relationship to Measuring Outcomes

In multifaceted and complex programs such as the LTCOP, it is challenging to establish a clear and causal 

relationship between inputs, outputs, and outcomes while also taking into account contextual factors that 

may influence these relationships. The LTCOP’s outcomes have multiple determinants, are moderated by 

myriad contextual factors, and may take several years or more to become apparent. The program’s goal of 

improving residents’ quality of life and quality of care are outcomes that are difficult to observe and not 

easily attributable to the program. Even absent concerns about demonstrating causality, significant time 

would be required to observe any cause and effect relationships that do exist. The inter-relationships of 

cause and effect, the strength of these associations, and follow-up time required to observe them must be 

understood when considering evaluation design options for the LTCOP.

Implications for the evaluation design: A realistic and relevant assessment of the program will focus on 

meaningful measures over which the LTCOP has a reasonable amount of control. These include shortterm and to a limited extent, medium-term outcomes that reflect progress toward reaching the program’s 

overarching, long-term objectives. This involves defining outcomes in a way that limits their scope to 

factors over which the LTCOP has direct influence. Further, these outcomes must be interpreted in the 

context of the LTCOP’s resources and other contextual factors, which vary considerably.

4.2 Decentralization and Diversity of Program Implementation

Although states are tasked with ensuring that state-level programs meet specific requirements that flow 

down from the OAA, they also exercise considerable discretion in fulfilling program functions in a 

manner that best serves their elderly populations. States’ ability to expand program responsibilities and 

their broad flexibility in administering the program (e.g., organizational location at both the state and 

local levels, sources of funding) means that great variations exist in the structure, operation, and 

effectiveness of ombudsman programs across states. Although the resulting diversity of program 

characteristics tailored to local contexts is a strength of the program, the same heterogeneity poses 

challenges for developing sound research and evaluation designs. Against this backdrop, however, there 

appears to be sufficient uniformity in goals and programs across states to be able to talk meaningfully 

about a set of common programmatic elements that define a single LTCOP. 
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Implications for the evaluation design: The proposed approach will include a set of core variables that 

addresses program elements that are common across all states, as well as a series of customized modules 

that will focus on specific topics which apply only to selected states, such as home-based care. This 

approach permits us to gather standardized information on fundamental LTCOP program features while 

also collecting information on important characteristics that are not uniform across states.

4.3 Consistency of Data 

Although the National Ombudsman Reporting System (NORS) currently collects information on a 

common set of variables for the LTCOP nationwide, its ability to consistently and reliably describe 

ombudsmen activities has raised concerns. Given the decentralized implementation of the program, the 

collection of high quality data can be challenging. Further, variability in interpretation of data items and 

the diversity of data collectors across sites (threats to inter-rater reliability) introduce additional concerns 

regarding the utility of this data set as a viable source of program information that can inform effectively 

on programmatic outcomes. For example, the large number of complaint codes (133) makes consistency 

in interpretation difficult across and within programs. Data provided by NORS on the extent of long-term 

care ombudsman (LTCO) activities, moreover, are likely to be incomplete. For example, the informal 

work performed by ombudsmen that does not rise to the level of being classified as “complaints” or 

“consultations” (as judged by ombudsmen themselves), may go undocumented. As a result of these 

examples, any use of NORS quantitative data must be used with caution.

Since the inception of NORS, the extent to which the data are employed as the AoA intended and the 

degree to which they meet federal, state, and local needs, remains unknown. The Office of the Assistant 

Secretary for Planning and Evaluation (ASPE) recently assessed the reliability of NORS based on a 

review of 2008 NORS instructions and data. ASPE identified several concerns with respect to 

inconsistencies in reporting, concluding that the “NORS data fails to meet the need of the Administration 

on Aging to understand and describe the activities of ombudsmen across the country” (n.d.).

Implications for the evaluation design: Any use of existing NORS data for LTCOP evaluation 

purposes will first require a careful review of data elements. The examination will help to better identify 

ways to fill critical knowledge gaps needed to better understand and/or analyze the issues surrounding 

data collection, use and consistency, as well as inform any potential revisions to NORS in the future. This 

would entail an examination of the data itself as well as interviews with ombudsmen regarding the 

process by which data are collected and quality assurances practiced.

Limitations aside, NORS remains potentially useful for informing proposed evaluation activities that rely 

on aggregate data, such as the ecological study on systems advocacy (described in more detail in Section 
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8.3.2). The narrative sections of NORS can also be valuable for identifying systems advocacy efforts 

across states for the proposed commissioned paper on legislative accomplishments of the LTCOP, as well 

as case studies on systems advocacy. Data collected at the local and state levels can be used for the 

outcomes evaluation where case-level information is needed. For example, the proposed analysis of 

ombudsman and nursing home complaint data (Section 8.3.1) rely on information that is collected at the 

local and state level which is not forwarded to the AoA.

Any new data collection effort, although it would require a significant investment of time and resources, 

must incorporate guidance materials, training, and ongoing technical support to ensure sound quality 

measurement and meaningful collection, reporting, and use of program data.

4.4 Full-coverage and the Problem of Comparison Groups

Programs that are intended to serve all members of a target population present one of the most difficult 

challenges for designing a rigorous evaluation. If a program is fully implemented, by definition there is no 

comparison group. In the case of the LTCOP, consumer advocacy, which is one of the key program 

responsibilities, is intended to benefit all older residents of nursing home facilities and licensed board and 

care homes, including assisted living. In 12 states and the District of Columbia, the LTCOP is also 

responsible for home-based long-term supports and services. Given that the main thrust of the LTCOP is 

targeted to all older residents of long-term care facilities, identifying a comparison group is especially 

challenging. Because the program has been in existence since 1972 serving essentially the same purpose, 

furthermore, there is no opportunity for a pre-post comparison at the program level.

Implications for the evaluation design: One strategy to develop a comparison group of non-LTCOP 

users is to identify residents/consumers who pursue complaint handling with agencies other than the 

LTCOP. Another way to address evaluating outcomes that are intended to benefit an entire population is 

to first identify programs that are "stronger" and "weaker" on certain parameters related to, for example, 

consumer or systems advocacy, and compare outcomes between stronger and weaker programs. Lastly, it 

is possible to employ a pre-post design examining changes in facility and consumer status based on a 

specific LTCOP intervention. The intervention, in this case, would not apply to complaint investigation 

(given that complainants can only be identified after the fact) but to education/outreach or systems 

advocacy activities that ombudsmen initiate. The effort, moreover, would need to be identified prior to 

deployment, reflect federal mandates, and have the potential to have a demonstrable impact at the 

consumer or systems level.
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4.5 Hybrid Nature of the Program

In addition to the hybrid role1that ombudsmen play (resembling the classical ombudsman model but 

without the neutral stance the position has historically assumed), the LTCOP itself can be understood as a 

hybrid program when we view its advocacy activities across different levels. At the individual/consumer 

level, advocacy is provided in the form of direct services that are typical of human service delivery 

programs. These services are offered through consultations, referrals, complaint handling, and via 

education and outreach activities to build the capacity for advocacy among long-term services and 

supports (LTSS) residents and their caregivers. At the systems level, the LTCOP engages in more 

traditional advocacy activities common to advocacy organizations such as monitoring and commenting on 

laws, regulations, government policies and action, and mobilizing stakeholders toward collective action to 

support person-centered care practices and policies. Despite their shared “advocacy” name, consumer 

advocacy (service delivery) and systems advocacy are profoundly different activities in the case of the 

LTCOP. Another related challenge concerns whether the state LTCO, local level entities, or both 

participate in systems advocacy work. Significant variations exist among states related to their practices 

and policies of who is doing the systems level work and the role that the state LTCO plays in leading that 

effort.

Implications for the evaluation design: Given the distinction between consumer and systems advocacy, 

a sound evaluation design requires developing individually tailored evaluation approaches that reflect the 

hybrid nature of these program features. This also points to a need to carefully define terms so that 

disparate activities that fall under the same term (e.g., "advocacy") or activities with different names or 

audiences but which are similar, are not confused by researchers and respondents. The IOM report, for 

example, noted that, as operationalized by some ombudsmen, advocacy can blur roles among 

ombudsmen, regulators, adult protective services, and services. TAG members, furthermore, advised 

prefacing questions to residents regarding advocacy work in accessible language when describing the 

activities performed by ombudsmen.

4.6 Reliance on Trained Volunteers

An important feature of the LTCOP in most states is its heavy reliance on trained volunteers. In 2010, 

8,813 certified volunteer ombudsmen supported the program, a figure representing 88 percent of all 

ombudsmen nationwide. Given the significant role volunteers play in the LTCOP’s operations, design 

options must recognize the tremendous contribution of these individuals and be adaptable to their work 

flow and logistics. In addition, there are differences across states in how they use their volunteers which 

 

1

p.42, Institute of Medicine. (1995). Real people real problems: An evaluation of the long-term care ombudsman programs of the Older 

Americans Act. J. Harris-Wheling, J. Feasley, C. Estes, (Ed.). Washington, DC: National Academy of Sciences.
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may allow for important comparisons across programs in terms of both program efficiency and 

effectiveness.

Implications for the evaluation design: The design will need to account for possible differences 

between volunteers and paid staff such as the responsibilities assigned to each group, their respective 

motivation to perform, and expectations for training and performance. In addition, the use of volunteers is 

a particularly important element in cost analyses. Monetizing the value of volunteer labor (in addition to 

other in-kind resources) can demonstrate the ability of the LTCOP to leverage donated resources for 

implementing the program.

4.7 Variability in Who is Served

The three broad categories of long-term care settings include nursing homes, board and care homes 

(inclusive of assisted living and similar adult care homes), and home-based care. Unlike the other settings, 

nursing homes are heavily regulated by the federal government. The other two settings are either less 

heavily regulated, or are regulated to a greater degree by individual states. This results in a greater relative 

degree of homogeneity among nursing home service provision than among service provision in other 

long-term care settings. Moreover, the OAA authorizes responsibility for ombudsmen to serve residents 

who live in only nursing and board and care facilities while responsibility for individuals receiving inhome services (where ombudsman services to these individuals exist at all) is mandated by states.

Implications for the evaluation design: Ideally, evaluation activities that aim to make inferences about 

programmatic outcomes will involve collection of information from programs that are as homogenous as 

possible with respect to fundamental operational elements. In this way, the impact of contextual factors 

that may inhibit the ability to draw conclusions about LTCOP outcomes will be minimized. Nursing 

homes are considerably more uniform than other long-term care settings for LTCOP evaluation activities.

Further, knowledge about how long-term care is provided in board and care facilities across states is 

limited, and the same holds true for in-home care. Given the variability in settings and populations, any 

analyses that are performed will be specific to the type of facility under investigation (data for all settings 

would not be aggregated). In addition, because the evaluation focuses on mandates outlined in the OAA, 

state mandates – such as for in-home care – will be studied insofar as they affect the ability of programs 

to carry out federal responsibilities.
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5.0 Use of CDC Framework

The proposed design has a population health orientation, following guidance presented in the Centers for 

Disease Control and Prevention’s Framework for Program Evaluation in Public Health2and the W. K. 

Kellogg Foundation Logic Model Development Guide3. For this effort, NORC carried out the three steps 

outlined in the CDC Framework for conducting an evaluation design. These include:

 Engaging stakeholders, through convening of a TAG to offer input and feedback on all aspects of 

evaluation design;

 Describing the program, both through narrative and through logic model(s); and 

 Focusing the evaluation design, through identification of key concerns, research questions, 

prospective data sources, and methods.

For each step in the evaluation, the CDC Framework offers a set of 30 criteria for assessing the quality of 

evaluation activities across the domains of utility (are the information needs of users met?), feasibility 

(are plans realistic, prudent, diplomatic, and frugal?), propriety (are activities both ethical and legal?), and 

accuracy (is technically accurate information revealed and conveyed?).

 

2 Centers for Disease Control and Prevention. Framework for program evaluation in public health. MMWR 1999;48(No. RR11):[inclusive page numbers].

3 W.K.Kellogg Foundation. 2004. W.K. Kellogg Foundation Logic Model Development Guide.
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6.0 Use of Program Logic Models

The foundation for the LTCOP evaluation design is a set of program logic models that were developed in 

consultation with the ACL and the TAG. The logic models are intended to provide a common 

understanding of how the LTCOP operates and to clarify how program elements and their associated 

activities translate to desired short-, medium- and long-term outcomes. The family of logic models is 

presented in Appendix D and includes outcomes that were revised and refined in concert with the ACL 

and TAG.

For the evaluation study design of the LTCOP, we have focused on the short-term outcomes and a select 

number of medium-term outcomes in the logic models. Within this context, we consider outcomes at all 

levels, including consumer4, facility, local/state/program, and federal. While outcomes in the overarching 

logic model are currently described as increasing or decreasing on a given measure, it may be useful to 

provide national benchmarks or state equivalent benchmarks on various indicators as a means to provide 

feedback to states on their performance. Appendix I presents recommendations from the TAG on how to 

potentially measure these outcomes and where to locate available data sources. In addition to this 

feedback, the development of measures for the evaluation would benefit from building on measures used 

in previous studies of the LTCOP, such as those carried out by the IOM, the Helen Bader Report, Carroll 

Estes and her colleagues, as well as other LTCOP researchers. Data-related efforts that would also serve 

as useful references include the work of the National Association of State Long-Term Care Ombudsman 

Programs’ (NASOP) standing data committee that is specifically tasked with examining NORS data.

 

4 Consumers refer to residents, families, and their representatives.
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7.0 Overarching Research Questions

Several sources guided the development of the evaluation’s overarching questions. In addition to the logic 

models, we referred to the ACL’s goals for the evaluation design (outlined above), the OAA’s Section 

206 specifications on evaluations of programs authorized by the Act, the IOM’s 1995 report, and ongoing 

discussions with the ACL.

Using these sources, we propose that the national evaluation of the LTCOP address the following 

overarching questions:

Process Evaluation Questions

1. How is the LTCOP structured and how does it operate at the local, state, and federal levels?

2. How do LTCOPs use existing resources to resolve problems of individual residents and to bring 

about changes at the facility and governmental (local, state and federal) levels that will improve 

the quality of services available/provided?

3. With whom do LTCOPs partner, and how do LTCOPs work with partner programs? 

4. How does the LTCOP provide feedback on successful practices and areas for improvement?

Outcomes Evaluation Questions

1. Are the critical functions, including federally mandated responsibilities, of the LTCOP at the 

local, state, and federal levels carried out effectively and efficiently?

2. How effective is the LTCOP in ensuring services for the full range of residents of LTSS facilities, 

including individuals with the greatest economic and social needs?

3. How cost-effective is the LTCOP at the local and state levels?

4. What impact do LTCOPs have on long-term care practices, programs, and policies?

5. What impact do LTCOPs have on residents’ health, safety, welfare, and rights?
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8.0 Evaluation Design Options

There are a number of options for evaluating the LTCOP, each with varying costs, scope, implementation, 

and complexity. Given the uncertainty with respect to funding for future evaluation activities, we have

developed a scalable, flexible, and multi-modal study design for a comprehensive evaluation of the 

LTCOP that addresses the approved research questions. This design has a number of appealing features.

 The design is scalable because each information gathering activity can involve larger or smaller 

sample sizes (e.g. numbers of people, organizations).

 The design is flexible because we can incorporate larger or smaller numbers of distinct 

information gathering activities (e.g. number of focus groups, number of surveys).

 The design is multi-modal because it involves data collection using both qualitative (e.g. focus 

groups) and quantitative (e.g. surveys, cohort study) methods.

These design features and data collection strategies consider program efficiency, including cost and 

resource utilization, and program effectiveness at multiple levels, including the consumer, facility, 

local/state, and national levels. Collectively, the approach can be expanded or contracted depending on 

available resources and needs, making it adaptable to future resource availability.

As noted above, the evaluation design consists of two major groups of activities: a process evaluation and 

an outcomes evaluation. Both the process and outcome evaluations contain multiple data collection 

activities, some of which are qualitative and some quantitative. All quantitative data collection activities 

are targeted at gathering data that are currently not available or deemed potentially unreliable in existing 

data sources. In contrast, qualitative data can be collected to supplement and provide context for 

quantitative data and can be particularly helpful in addressing research questions involving program 

processes as well as outcomes that are not amenable to quantitative approaches.

Table 1 below summarizes the proposed LTCOP evaluation activities. It should be noted that while the 

process and outcomes evaluation activities are integrated and complementary (and sometimes combined), 

the components are separate and any one component could be pursued independently of the others.

However, we strongly recommend that the Core Process Data Collection and the Modular Process Data 

Collection occur simultaneously. Separating the two data collection activities in time would not only 

decrease scientific rigor (e.g., the same set of respondents may not be able to participate at two distinct 
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time points) but also increase costs (re-fielding surveys, repetition of fixed costs, etc.). Adding modular 

sections to the core data collection, moreover, can be done at marginal cost.

With respect to the order in which the activities are rolled out, we strongly recommend that the Detailed 

Review of Existing Data Sources and the Core and Modular Process Data Collection come first. There is, 

however, some flexibility in sequencing the remaining activities. While process-related data collection 

efforts generally precede the outcomes evaluation, outcomes-related activities that draw on existing data 

sources or are not informed by the Core and Modular Process Data Collection can be pursued earlier in 

time.

Table 1

Process or 

Outcomes 

Evaluation (or 

both)? Activity Qual Quant

New Data? 

Yes/No/Maybe

Evaluation 

Goal

Process Detailed Review of Existing Data 

Sources X X No 1

Both Core Data X X Yes 1,2, 3, 4

Both Modular Data X X Yes 1,2, 3

Both Commissioned Papers X X Yes 1,3

Both Case Studies X X Yes 1,2, 3

Outcomes Analysis of Ombudsman and 

Nursing Home Complaint Data X No 3

Outcomes Ecological Study X No 3

Outcomes Cost Analyses X Yes 2, 4

Outcomes Cohort Study X X Yes 3

Three appendices have been included to assist the reader in understanding how the proposed evaluation 

activities can be carried out. Appendix E is a matrix of the evaluation’s goals, its associated evaluation 

questions, data sources, data collection methods, and logic model outputs/outcomes. Appendix F and to a 

limited extent Appendix I (which are confined to outcomes) outline various data elements (not an 

exhaustive list) that would be collected from respondent classes (discussed further in Sections 8.1 through 

8.4.3) and the multiple approaches that will be used to collect those data.

8.1 Process Evaluation: Existing Data

8.1.1 Detailed Review of Existing Data Sources 

The process evaluation will address program implementation and context, i.e. the fidelity with which 

states implement their LTCOPs, given the program’s federal legislative, and grant requirements.

Activities would encompass a review of existing program data sources that can be used to provide context 
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for the program, including local and state ombudsman complaint data, NORS, Minimum Data Set (MDS), 

Certification and Survey Provider Enhanced Reporting system and the Quality Improvement Evaluation 

System (CASPER/QIES) – previously Online Survey and Certification and Reporting (OSCAR), and 

state level data (such as the LTSS Scorecard, etc.). The review will be conducted with an eye toward 

linking existing data to new data collection efforts that are described below. Appendix H presents an 

annotated bibliography of existing data collection tools and data sources that can potentially support the 

LTCOP evaluation.

8.2 Process Evaluation: New Data Collection

To supplement the process evaluation activities described above, we propose collection of new data using 

a tailored approach that involves "core" data that will be collected from all states as well as "modular" 

data that will collect additional information on specific strata (defined below) of interest in subsets of 

states. Core data will focus on variables that apply to all states, regardless of organizational structure, use 

of volunteers, and so forth. These data will describe the breadth of variables of central interest for the 

ACL as they apply across the board in all states. In contrast, modular data will be collected based on 

identification of key characteristics or "strata" that differ across states and that are hypothesized to impact 

programmatic effectiveness. These strata, for example, may include whether programs are responsible for 

home-based care or dedicate a significant amount of time to systems advocacy. Multiple modules can be 

developed, each with its own set of questions aimed at understanding key practices that vary by key 

strata. 

Ideally, the evaluation design will include core data for each state as well as modular data for all modules 

that apply to that state. Thus, it is anticipated that some states would have a great deal of modular data 

while others would have little. Resources may dictate that core data elements and both the number of 

modules and modular data elements will need to be prioritized, thus resulting in less-than-comprehensive 

data collection on variables of interest for this objective. This approach recognizes programmatic 

heterogeneity and is both scalable and amenable to both small and large budgets.

Importantly, the process evaluation core data collection serves four key purposes. The activities (1) 

describe the structure and operations of the program, (2) inform subsequent evaluation activities 

including the commissioned papers, case studies, and cohort study, (3) identify relevant sites for case 

study selection and (4) serve as "predictor variables" for the outcomes evaluation.
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8.2.1 Process Evaluation Core Data

Core process-related data will likely be cross-sectional, involve both qualitative and quantitative 

information, and will constitute the backbone of this part of the LTCOP evaluation. Core data will reflect 

both the breadth and depth of characteristics that are shared by all LTCOPs. It is possible that resource 

constraints will require prioritizing of core data topics or the number of elements within each topic. If this 

is the case, it should be expected that some universally-applicable topics will receive limited or no 

attention at all. Once again, this approach permits flexibility and scalability without compromising rigor.

Process evaluation core data will address evaluation goals 1 and 4, and relate to understanding the 

structure and operations of the LTCOP; determining the resources necessary to carry out responsibilities; 

assessing the ability of the program to meet mandated responsibilities; identifying how states carry out the 

program relative to the logic model that was developed; and determining how core activities of the 

program can be improved, among other areas of investigation. In terms of the logic model, the process 

evaluation will collect information regarding the programs’ inputs, activities, outputs and to a limited 

extent, outcomes (in the case of ombudsmen respondents). Respondents for the process evaluation focus 

on program staff at the local, state, and federal levels as well as local and state ombudsmen associations. 

Additional respondent classes that need to be considered are State Units on Aging and other host agencies 

at the state and local levels (such as Area Agencies on Aging) that play a role in the how programs are 

structured and operate. These stakeholders have been identified for the outcomes evaluation but there 

may be a need to seek their input earlier as part of the process evaluation, especially if cost data are to be 

collected (Section 8.3.2). 

8.2.1.a Sampling

Process evaluation core data will be collected in a standardized manner at the state level from all states 

and from a random sample of local programs (i.e., census).

8.2.1.b Respondent classes

At least four respondent classes (e.g. groups) will participate in the process evaluation core data 

collection; different data elements will be collected across classes, but in all states, identical data will be 

collected within each class

Class 1: Federal ACL staff, Centers for Medicare and Medicaid (CMS), National Ombudsman 

Resource Center, National Association for States United on Aging and Disability (NASUAD), 

NASOP, National Association for Local Long Term Care Ombudsman (NALLTCO) (data collected 

from all)
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Class 2: State ombudsmen (data collected from all)

Class 3: Local, paid staff (random sample from each state based on size of program/number of paid 

staff)

Class 4: Volunteers (random sample based on size of program or number of staff; sampling can be 

done on state level by identifying a list of all volunteers, or within local programs according to local 

program size; other options are available and depend on securing comprehensive, accurate volunteer 

lists.)

8.2.1.c. Topics to be Covered

Core process data collection will solicit information on resources/inputs (including costs) as well as 

activities and outputs identified in the logic models. It is anticipated that these core data will cover a 

variety of topics. Our approach, which utilizes respondent classes, permits collection of data on the same 

or similar topics from diverse perspectives, and also accommodates collection of information that applies 

to only one class of respondents.

While not an exhaustive list, the following are examples of critical information that we propose for 

inclusion in the process evaluation core data set, sorted by respondent class:

Class 1: Federal staff and national associations– program operations, feedback to and monitoring of 

state programs, adequacy of resources, barriers to effective operation, interactions with state 

programs, inter-organizational relationships, use of program data for strategic planning.

Class 2: State ombudsmen – program operations, organizational placement, interactions with local 

programs, state mandates, program autonomy, adequacy of resources, inter-organizational 

relationships, political context, main activities, successful programmatic approaches, barriers to 

effective operation, ombudsmen characteristics, program size, data management systems, budget 

information, funding sources, disclosure confidentiality, legal counsel, resident transitions to less 

restrictive settings, designation of local programs, access to client records, feedback to and 

monitoring of local programs, leadership.

Class 3: Local, paid staff – program operations, organizational placement, interactions with state 

program, adequacy of resources, inter-organizational relationships, main activities, ombudsmen 

characteristics, training, skills and qualifications, clarity of roles, data management systems, budget 

information, rural vs. urban placement, lines of authority. 
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Class 4: Volunteers – ombudsmen characteristics, training, clarity of roles, skills and qualifications, 

level of support from both local and state office, knowledge of office of state LTCOP.

8.2.1.d Data Collection

Ideally, data will be collected via in-person and telephone interviewing as well as computer-assisted 

surveys. Records review will also be incorporated into the data collection. Of particular interest in the 

program records review is the availability of information in the following areas: characteristics of paid 

and volunteer staff (including demographics, skills, qualifications, level of effort/FTE and tenure), 

training and management of staff, cost data, funding sources, and organizational placement at the state 

and local levels.

8.2.1.e Analysis Overview

In addition to qualitative data, process evaluation core data will yield four "rectangular" data sets. That is, 

all elements should apply to, and be collected from each of the four respondent classes. It is anticipated 

that state will be the first "clustering" variable because Class 3 and 4 will be related to one another (i.e., 

not independent) because they are grouped within states and local programs. We expect that most 

analyses will be conducted within each respondent class. However, if there are programmatic features for 

which data are collected for more than one respondent class, comparisons across these groups will be 

possible. It is anticipated that the smallest number of respondents will be in Class 1, followed by Classes 

2, 3, and 4. It should be emphasized that because Classes 3 and 4 are clustered within state, the clustering 

of these data will need to be taken into account in the analysis. In addition, it is anticipated that the 

number of respondents for Classes 3 and 4 will differ across states depending on size, whether local 

programs exist, and possibly according to how sampling is conducted for these classes.

On the basis of data collection focusing on the structure and operations of the program (in addition to 

existing data sources at the state- levels), we expect to identify key issues affecting program effectiveness.

In addition to providing descriptive statistics on the LTCOP, the process evaluation will also facilitate the 

analysis of similarities and differences between state programs.

8.2.2 Process Evaluation Modular Data

Program evaluation modular data will likely be cross-sectional, involve both qualitative and quantitative 

information, and act as a targeted, tailored supplement to process evaluation core data for topics and 

programmatic features that are heterogeneous within and between states. Ideally, modules will be 

developed for all LTCOP strata that differ across states and that can reasonably be expected to impact 

program effectiveness. When possible, program evaluation modular data should be collected at the same 

time as program evaluation core data. 
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8.2.2.a Sampling

Ideally, strata-specific modules will be administered in all states to which the module applies. For 

instance, a module targeting issues associated with LTCOP complaint handling in home-based care will 

be administered in all states where the LTCOP supports in-home care. It is possible that resource 

constraints will require either prioritizing the number of modules that are developed and deployed and/or 

the need to deploy modules in less than the complete set of states in which they apply. 

8.2.2.b Respondent Classes

The large number of potential strata upon which modules will be developed will require different 

respondent classes. Even in cases where modular data can be collected effectively from one respondent 

class, it will be useful to collect parallel data in multiple classes if different perspectives are desired.

Ideally, program evaluation modular data will be collected from the same classes and the same 

individuals as those that participate in the program evaluation core data collection. 

8.2.2.c Topics to be Covered

Modules can be developed for any LTCOP stratum that (1) differs by state and (2) is hypothesized to 

impact program effectiveness. Through the modular data collection, we will obtain information on 

mandates that vary across states. It should be noted however, that state mandates will be studied only to 

the extent that they support or detract from federal responsibilities. Potential strata include:

 Home care responsibility

 HCBS affecting both home care and board and care homes

 Levels of time devotion to systems advocacy work

 Nursing home closures 

 Natural disasters (Hurricane Katrina, wild fires, earthquakes, etc.) 

 Consumer financial protection

 Efforts at culture change

 Responsibility for serving as a primary finder of fact for abuse, neglect and exploitation reports in 

long-term care facilities

 Absence of volunteers, and

 Senior Medicare Patrol (SMP) collaboration
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8.2.2.d Data Collection

While data collection methods will vary somewhat based on the topic and classes of respondents, in 

general, it is recommended that data be collected via in-person and telephone interviewing as well as 

computer-assisted surveys. This approach assumes that respondents have Internet access and that email 

addresses or other means of delivering the URL can be identified. Ideally, process evaluation modular 

data collection will occur concurrently with the process evaluation core data collection, and will utilize 

the same individual respondents within each respondent class. 

8.2.2.e Analysis Overview

Process evaluation modular data will be cross-sectional, and will supplement core data in a number of 

ways. Data will be pooled with core data and examined to understand LTCOP operations in states that 

share a key characteristic of interest. These states can also be compared to "control" sites that do not share 

the variable of interest or analysts can statistically adjust the data from states that do not share the 

characteristic, or to a variety of control groups that can be constructed from the core data set. In addition, 

modular data may also be used to inform and develop case studies around certain topics.

8.2.3 Commissioned Papers

Commissioning formal background papers offers an opportunity to provide in-depth understanding and 

analysis on specific issues. Two potential topics for commissioned papers include a review of the 

legislative accomplishments of the LTCOP since the last IOM study 18 years ago and an examination of 

barriers to full inclusion of board and care facilities under the ombudsmen umbrella. Additional topics for 

commissioned papers may pertain to use of, and adequate access to, legal counsel. Given the flexibility of 

this design element, other subject areas may be suggested by the ACL as study resources permit. 

8.2.3.a Commissioned Paper: Legislative Accomplishments

The time horizon to realize successful systems advocacy efforts is often several years if not decades and 

the process is frequently indirect, complex, and non-linear. Any meaningful evaluation of systems 

advocacy needs to focus on proximate and traceable results of progress. For these reasons, the new data 

collection we propose on systems advocacy (see Section 8.2) is limited to a focus on immediate and 

intermediate outcomes.

In order to take a much longer view of the program’s systems advocacy efforts, we recommend 

undertaking a commissioned paper on the federal-, state-, and local-level legislative and policy 

achievements to which the LTCOP contributed. Because the time period against which advocacy 

accomplishments can be measured is often shorter than ideal, pairing new data collection with a longer, 

retrospective examination of the program through a structured paper can be a fruitful way to capture both 
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the requisite characteristics for successful advocacy (including strategic capacity and adaptability to 

changing, unpredictable circumstances) and the full potential of the program’s systems advocacy 

activities.

Possible questions to be answered include:

1. How do LTCOPs approach legislative and policy change efforts?

2. What supports and barriers are in place related to the achievement of legislative or policy change?

3. What topics are most commonly the subject of legislative and policy change efforts?

4. Are there common catalysts that prompt legislative or policy change efforts?

5. What outcomes have been achieved through these efforts?

6. What level of effort is required of LTCOPs to achieve specific legislative or policy changes and 

over what period?

To date, the extent to which successful advocacy efforts have been systematically recorded is not clear.

The Nursing Home Reform Law which passed as part of the Omnibus Budget Reconciliation Act of 1987 

is often cited as an accomplishment to which the LTCOP contributed5 but there are likely other policies 

and practices in which the LTCOP played a role since the last IOM study. For the commissioned paper, a 

document review can be conducted, and include newspapers, annual reports, the NORS narrative section 

on systems advocacy, and the Ombudsmen Resource Center’s publications. Data can also be drawn from 

interviews and surveys with ombudsmen (independently or within the process evaluation) and staff at the 

National Ombudsman Resource Center who are an important resource of the program’s history.

8.2.3.b Commissioned Paper: Barriers to Advocacy for Residents Living in Board and Care and 

Similar Adult Care Homes

Under the OAA, LTCOPs are responsible for serving residents in skilled nursing facilities, nursing 

facilities, board and care facilities, and any other similar adult care homes, including assisted living 

facilities. In the OAA, a “board and care home” is defined as an institution regulated by a state pursuant 

to section 1616(e) of the Social Security Act, which requires states to enforce standards for any category 

of institutions, foster homes, or group living arrangements in which a significant number of supplemental 

security income benefit recipients reside. These regulations vary by state as does the use of the term 

 

5 National Long Term Care Ombudsman Resource Center, Hunt, S. June 2002. “Ombudsman Best Practices: Using Systems Advocacy 

to Improve Life for Residents.” Retrieved from http://www.ltcombudsman.org/sites/default/files/norc/systems-advocacy-paper.pdf
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“board and care home,” which could be used interchangeably or separately from “residential care homes” 

or “assisted living facilities,” depending on the state.

Although many states have begun covering assisted living services costs through Medicaid waivers, most 

residents pay privately or through long-term care insurance policy. Board and care facilities vary greatly 

in terms of size and the services they provide. On average, these facilities are larger in number than 

nursing homes but house fewer residents. As a consequence of this geographic spread and volume of 

facilities, the capacity of ombudsmen to provide a regular presence in board and care facilities can be

more challenging than in nursing homes. Despite the fact that the OAA expanded ombudsman coverage 

to include board and care homes in 1981 (and “assisted living facility” was added to the definition of 

“long-term care facility” in 2006), NORS data suggest that LTCOPs do not visit board and care homes as 

regularly as they visit nursing homes. At the same time, the ACL has never defined full implementation 

of the mandate to provide “regular access”.6

A commissioned paper could examine barriers to and opportunities for effective service for individuals 

who live in board and care and similar adult care homes. Compared to nursing homes, we know less about 

the extent to which the LTCOP is involved in board and care facilities, how ombudsmen address the 

needs of board and care consumers, and whether serving residents of these facilities pose different 

challenges than serving nursing home residents. Potential topics for further investigation include 

Medicaid-funded home and community based services (HCBS) consumers who reside in board and care 

facilities, the ability of LTCO programs to influence state laws and policies related to these settings, the 

physical and social environment of board and care homes that may not be conducive to protecting 

complainants’ privacy or other barriers to making complaints, and the potential lack of guidance on 

advocating for special populations (such as those with developmental disabilities or mental illness). The 

data collection effort would draw on state laws and regulations, LTCOP policies and procedures, and 

surveys and interviews of state and local ombudsmen.

8.2.4 Case Studies

Whereas modular data will be collected from all states that share a key characteristic (home care 

responsibility, etc.), case studies will enable us to examine certain issues requiring more focused, in-depth 

study. We propose two possible topics: best practices and systems advocacy. Other areas for study may be 

identified from the process evaluation. Regardless of the topics that are pursued, this general approach 

allows great flexibility and scalability. It should be underscored that careful identification of appropriate 

 

6 According to NORS Instructions, the ACL defines facility coverage as “the number of facilities (unduplicated count) covered on a 

regular basis, not in response to a complaint, by paid and volunteer Ombudsmen. Regular basis means no less frequently than 

quarterly. Note that the information requested is the unduplicated number of facilities visited, not the number of visits.” (pp. 11-12)
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sites around the given topic areas is critical to the success of case studies. In what follows, we offer a 

starting point for considering the criteria upon which states can be selected. Input from the ACL will help 

inform the validity and relevance of the data sources and help determine their utility or whether other 

sources of information (existing or new) would be more applicable. 

8.2.4.a Case Study: Best Practices

One potential topic for case study is an examination of best practices of successful ombudsman programs.

For this effort, the IOM’s identification of “exemplary practices” with respect to elements of program 

infrastructure and functions serves as useful starting point for selecting states. The remaining two ideal 

types of practices include “essential practices” and “unacceptable practices.” Although 18 years have 

passed since they were first developed, the standards still serve as an important guide to ombudsman 

work today. For many ombudsmen, these model practices offer a basis for both measuring compliance 

with legislative mandates and a standard to which ombudsmen programs aspire.

In the 1995 report, the IOM developed the following prerequisites for effective ombudsman program 

performance: location of the office that maximizes the program’s strengths (taking structure into 

account); qualifications of representatives; legal authority; resources (financial, information management, 

legal, and human – FTE : bed ratio, FTE : volunteer ratio); unified, integrated, and cohesive program 

operations; individual resident advocacy services; systemic advocacy work; and educational services.

Exemplary practices in these areas are a composite of the most successful elements that existed in state 

and local programs. In order to achieve the status of exemplary practices, all essential practices need to be 

in place and be reflected in the states’ activity and performance. At the time the IOM study was carried 

out, the committee did not seek nor did it locate, a program that adopted all elements of exemplary 

practice. If the IOM standards are employed, data on each element of exemplary practices may be 

collected from the process evaluation to identify sites for selection.

An alternative for selecting programs for case study may be to draw on input from ombudsmen and 

experts in the field. The Office of Inspector General’s (OIG)7report, “Effective Ombudsman Programs: 

Six Case Studies,” for example, selected states (CA, MA, MI, and OH) based recommendations from 

ombudsmen regarding the best overall programs and frequent citation by experts in the field and in the 

review of the literature. Two additional highly regarded states (DC and NJ) were selected because of their 

unique and outstanding features with respect to a strong enforcement focus and extensive legal support.

An earlier OIG study found that successful ombudsman programs were characterized by high visibility 

 

7 Office of Inspector General. (1991). Effective ombudsman programs: Six case studies. (Report No. OEI-02-90-02122). Washington, 

DC: U.S. Department of Health and Human Services. 
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through the use of both paid and volunteer staff. Programs handled complaints expeditiously, were highly 

publicized, secured adequate financial resources, and effectively recruited, managed, and retained 

volunteers. 

Other possibilities for selection include states’ ability to regularly visit both nursing facilities and board 

and care homes and/or states with high percentages of consumer satisfaction with respect to complaint 

resolution. To begin considering states for case studies, we present in Appendix G a ranking of states 

based on various indicators, using data from the 2010 NORS. Other criteria for successful practices or 

outcomes can be applied and discussed with the ACL.

8.2.4.b Case Study: Systems Advocacy

A second proposed topic for case study is an in-depth exploration of systems advocacy, a core function of 

LTCOPs specified by multiple legislative mandates under the OAA. In this role, ombudsmen “must 

address and attempt to rectify the broader or underlying causes of problems for residents of LTC 

facilities. When working on the systems level, ombudsmen advocate for policy change by evaluating laws 

and regulations, providing education to the public and facility staff, disseminating program data, and 

promoting the development of citizen organizations and resident and family councils.”8 Ombudsmen 

typically fulfill this responsibility through legislative, judicial, or administrative advocacy. Limited 

resources, however, often prevent systems advocacy work to be fully implemented across programs, 

resulting in significant variation in systems advocacy activity from state to state and locality to locality. 

According to 2010 NORS data, the time devoted to monitoring/working on laws, etc. (distinct from 

education and outreach) among state ombudsmen ranged from 0 percent to 65 percent.

A focused investigation of this critical aspect of ombudsmen’s work is essential to understanding the 

LTCOP’s overall functioning and effectiveness and the heterogeneous nature of systems advocacy make 

it well-suited for a case study approach. Unlike the ombudsman complaint handling function which is 

universal, the agenda for systems advocacy changes from jurisdiction to jurisdiction, and derives from 

complaint handling trends and particular circumstances related to the provision of long-term care in a 

given area. The window or opportunity for systems change is also unpredictable and the time course or 

arc of action from agenda setting through realization of systems advocacy objectives can span multiple 

years. A case study of systems advocacy efforts can tell us what, in addition to more funding and 

resources, can improve the efficiency and effectiveness of the LTCOP in fulfilling its responsibilities. The

 

8

p.72, Institute of Medicine. (1995). Real people real problems: An evaluation of the long-term care ombudsman programs of the Older 

Americans Act. J. Harris-Wheling, J. Feasley, C. Estes, (Ed.). Washington, DC: National Academy of Sciences.
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approach offers a process-oriented focus on how selected state and local LTCOs engage in practices 

identified in the 1995 IOM report (pp.180-183) as exemplary in the area of systems advocacy, related to

 Agenda development and modification, and communication on agenda development between 

state and local LTCOs 

 Capacity building among residents and their caregivers, through participation in and leadership of 

stakeholder coalitions, 

 Regular, meaningful, and pro-active collaboration with regulatory agencies, legislators and 

stakeholders to leverage an agenda that supports resident rights and consumer protections through 

regulatory, legislative and legal actions, and

 Recognition of role of the Office of LTCO and authority to represent.

A case study’s more fine-grained, narrative analysis of systems advocacy will rely on constructs and tools 

developed in the advocacy evaluation literature. Raynor et al.

9

, for example, provides a construct for 

assessing critical organizational capacities for advocacy that includes domains to measure multiple 

characteristics of LTCO leadership, internal management of LTCO programs, adaptation of state and 

local LTCOs to changing needs and partnerships, and the skill set of LTCO staff. Coffman10 offers a set 

of interim outcomes related to policy (e.g., awareness, salience, attitudes/beliefs, public will, political 

will, constituency or support base growth, media coverage, issue reframing) and to advocacy capacity 

(organizational capacity, partnerships/alliances, collaboration and alignment, including messaging; new 

advocates, new champions, organizational visibility/recognition, new donors, more or diversified 

funding). Policy goals are differentiated to enable measurement of interim steps in the systems change 

process, from development of a proposed change and success in placing the change on the policy agenda, 

through adoption or blocking of the proposed change, and on to implementation, monitoring, and 

maintenance of a change.

Using these constructs and measures in a case study of systems advocacy in selected states and localities 

would require additional data gathering, involving: 

 Additional respondent classes, such as state legislators, nursing home and board and care/assisted 

living associations, and judges involved in elder justice or bankruptcy cases. These respondents 

would vary depending on the specific topic or topics chosen for the case study.

 

9 Raynor J, York P, Shao-Chee S (TCG Group). 2009. What Makes An Effective Advocacy Organization? A Framework for Determining 

Advocacy Capacity. Los Angeles, CA: The California Endowment.

10 Coffman, J. 2009. A User’s Guide to Advocacy Evaluation Planning. Cambridge, MA: Harvard Family Research Project.
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 Additional data instruments such as media tracking (to identify trends in coverage and content in 

print or social media over the course of an advocacy campaign), policy tracking (in addition to 

legislative history, monitoring of trends in regulatory and administrative decision making by 

public agencies and courts, as well as decision making and implementation at the level of 

residential care facilities) and structured interviews with policy or thought leaders (to gauge the 

influence of LTCO priority issues among the range of LTC issues in a jurisdiction or to query for 

a ranking of issues).

 Additional analytic tools, such as network mapping or social network analysis (to characterize the 

extent and strength of coalitions in which LTCOs participate or take a leading role). This 

approach to analysis would identify active participants in systems advocacy in addition to the

LTCO, counting the frequency of task force participation (to give one example), the quality of 

participation as measured in provision of information, staff or financial support for task force 

activities, or dissemination of task force findings through communications, testimony, and other 

advocacy tasks. 

Case studies can provide thoughtful snapshots of current activities at the time of data collection, along 

with a retrospective look-back at factors contributing to the current status of systems advocacy.

Selection of states that would be examined in various case studies will require discussions with the ACL 

to identify states that are employing successful systems advocacy strategies while balancing other 

responsibilities. For example, states may be selected based on a significant amount of time dedicated to 

systems advocacy work (expressed, for example, by the ability to meet a minimum 50% threshold as

indicated in NORS). Employing this approach, however, would first require determining the meaning 

behind the NORS numbers to ensure that selected cut points (sensitivity analyses) are both valid and 

programmatically meaningful.

8.3 Outcomes Evaluation: Existing Data

The second major set of activities in the evaluation design involves collecting and analyzing program 

outcomes using both existing as well as new data collection tools and sources.

8.3.1. Analysis of Ombudsman and Nursing Home Complaint Data, Comparing 

LTCOP and non-LTCOP Users

Given that the LTCOP is targeted to all nursing home and board and care facilities, identifying a 

comparison group for a rigorous study design is challenging. Nonetheless, we have identified approaches 

that take this challenge into consideration.
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Although the LTCOP is available to residential consumers, not all elect to utilize this resource when an 

issue arises. An alternative is to file a complaint with the state certification agency or other mechanism 

that regulates and enforces grievances, including those provided by facilities11. One approach to assessing 

the LTCOP is to compare consumer complaint outcomes between LTCOP users and state certification 

agency (non-LTCOP) users. An advantage of this evaluation activity is the use of existing data sources, 

including ombudsman and nursing home complaint data. However, it should be noted that it will be 

difficult to find comparable complaints or complaint situations, especially since the role of the LTCO is 

distinct from those of regularly agencies.

A recent study by Troyer and Sause12 illustrates this approach and may serve as a guide for an evaluation 

design that pursues this line of investigation. Drawing on complaint data from the North Carolina 

Division of Health Service Regulation (the state certification agency) and the LTCOP from 2002 to 2006, 

as well as facility measures from CASPER/QIES (then OSCAR), the authors found significant 

differences in substantiation rates between the two agencies. Whereas 91 percent of ombudsmen 

complaints were verified, less than half (48 percent) of the state certification agency’s complaints were 

substantiated. In addition, the study revealed that the two agencies were not duplicating efforts when 

examining matched categories of complaints.

Among other methodological issues that needed to be considered with this design are selection biases. At 

the same time, the selection biases themselves (while an issue for ensuring rigorous, meaningful

comparisons) can provide information on differential use patterns in the ombudsman program, relative to 

other complaint resolution strategies. For example, it is possible that younger, more able bodied, residents 

pursue alternative, formal channels of reporting complaints while older, relatively more vulnerable 

residents may find the LTCOP to be more accessible and culturally appropriate because of its less formal

approach.

8.3.2 Ecological Study

In an ecological study, the unit of analysis is a population or other aggregate measure of individuals. This 

is in contrast to other designs such as a cohort study where the individual is the unit of analysis. Because 

ecological studies require the availability of aggregate data describing both exposures and outcomes, 

NORS data may be potentially useful in this setting. An ecological study on systems advocacy (or other 

activity or event with potential outcomes at the aggregate level) offers the possibility to leverage over 15 

 

11 In some states, programs do not serve residents under 60 years of age. These younger residents may register complaints with facilities, 

regulatory agencies, or other grievance mechanism.

12 Troyer, J. L., & Sause, W. L. (2011). Complaints against nursing homes: Comparing two sources of complaint formation and 

predictors of complaints. Gerontologist, 51(4), 516-529.
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years of aggregated NORS data as a research resource. In this context, we propose conducting one or 

more ecological studies in which information relevant to systems advocacy can be used as "predictor" 

variables and NORS data used as outcomes.

As with all designs, ecological studies have strengths and weaknesses. The hypothetical example that 

follows is intended to illustrate the strengths and weakness of one potential application of the ecological 

study design in evaluating the impact of systems advocacy carried out by the LTCOP. This scenario 

involves a successful statewide initiative targeting the increase in problems related to theft and loss in 

long-term care facilities. Based on unfavorable trends in theft and loss complaints observed in the 

program’s NORS data, State A requests facilities to submit copies of their policies on theft and loss. State 

A compares these policies to requirements in state law to determine how many facilities are meeting these 

requirements. In collaboration with facilities, a Theft and Loss Prevention Tip Sheet is developed and 

distributed to residents and families in all facilities in State A. Distribution of the Tip Sheet to residents 

and families is also incorporated into admission procedures in State A.

In this example, the unit of analysis is the state. NORS data can be used to describe the outcome (number 

of complaints regarding financial property, aggregated by state), and the predictor variable (distribution of 

tip sheet or some related effort targeting the prevention of theft/loss) is a simple yes/no variable. In order 

to demonstrate how the initiative impacted financial property complaints on the aggregate level, NORS 

data are examined over a period of 10 years in several states that did and did not undertake the initiative. 

Figure 1 shows 10 years of aggregate data on financial property complaints in four hypothetical states. In 

2006, State A (described above) undertook an initiative to reduce theft and loss in long-term care 

facilities. The three other states in Figure 1 did not initiate such a program. Aggregated NORS data on 

financial property complaints indicate that complaints for theft and loss decreased dramatically in 2006 

shortly after the Tip Sheet began to be distributed in State A. Reductions in theft and loss continued to 

remain low several years after. In the three states that did not undertake the initiative, the total number of 

financial property complaints stayed relatively steady from 2000 to 2010, suggesting that the change in 

frequency of complaints could be related to advocacy efforts that resulted in the development and 

distribution of the Tip Sheet.
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Figure 1: Total number of financial property complaints between 2001 and 2010 in four states

At the same time, it must be stressed that we cannot conclude that fewer reports of theft and loss 

decreased on the individual level or that any reductions in theft or loss were caused by the initiative. In an 

ecological study, we can only say that there is a strong suggestion that problems with theft and loss 

decreased on the aggregate level in a manner that appears to involve the facility-based prevention 

initiative. This is because ecological studies do not "connect" exposures and outcomes on the individual 

level or in a causative manner; they can only provide insight into relationships that occur at the population 

level. In fact, it is possible that other, unrelated issues were occurring in State A at the same time as Tip

Sheets were distributed to residents and families. For example, it is possible that in 2006, there was a 

high-profile case involving theft or loss in State A that heightened awareness of this problem in a manner 

that increased vigilance among residents and families in State A. It is possible that other such factors, and 

not the Tip Sheet, were actually responsible for reductions in theft and loss in State A. These factors are 

called "secular trends" and they represent an important methodological issue that must be considered 

when drawing conclusions from an ecological study. This is especially true in situations where aggregate 

data on secular trends are absent or where identification of potentially troublesome secular trends is 

difficult. Nevertheless, ecological studies are a relatively inexpensive strategy that could be utilized to 

examine the impact of LTCOP systems advocacy on the population level.

An additional limitation of using ecological studies concerns the availability of data that are relevant to 

systems advocacy work. The potential outcomes of certain successful advocacy efforts may not be 

collected in NORS or other established data sources. For instance, initiatives related to increasing 

0

50

100

150

200

250

300

2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

State A

State B

State C

State D
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personal care needs allowances or improving nursing home complaint handling by licensing and 

certification do not have relevant outcomes captured in NORS. Any assessment of the effects of these 

policies would require new, tailored data collection efforts examining outcomes before and after 

implementation of the policy. Another challenge pertains to the level of aggregation in NORS. In the 

example provided above, tracking the complaint code “financial, property” across states was relevant for 

examining the impact of the Tip Sheet intervention. While a complaint code exists for problems regarding 

theft and loss, the broad category of “financial, property” also contains other types of complaints that are 

not directly relevant to the intervention. Examples include billing/charges and personal funds that are not 

disaggregated. These data, however, may be available at the state and local levels.

Where data are available and relevant, however, NORS has the potential to complement other proposed 

evaluation activities such as the commissioned paper on systems advocacy (Section 8.2.3.a) and offer a

more comprehensive understanding of systems advocacy efforts by employing different approaches and 

sources of data. Implementation of an ecological study in tandem with a commissioned paper can tell us 

not only whether a piece of legislation was successfully passed (while an achievement in and of itself), 

but whether that legislation had a positive impact on the residents it was intended to help. LTCOPs have 

collected NORS data for over 15 years and these data, when used in an ecological study, may potentially 

address the role that programs play in preventing problems in long-term care facilities. While the number 

of complaint investigations is often used to demonstrate the effectiveness of ombudsman programs, 

ombudsmen also play a critical role in preventing problems from occurring and prevention of these 

problems is difficult to measure and therefore goes unrecognized. The prevention of problems, however, 

is likely to be realized through broad systems advocacy efforts whose impact could be explored using one 

or more ecological studies. In the Tip Sheet example above, we see that in State A, there was a clear trend 

of increasing complaints for theft and loss, and the frequency of these complaints decreased dramatically 

following deployment of the Tip Sheet. It can be argued that the data in the figure can be used to estimate 

the number of prevented theft and loss complaints, thereby providing an opportunity to "measure" 

problem prevention. Ecological studies that utilize aggregate data from NORS or another source such as 

nursing home deficiency data could examine a variety of questions related to the impact of systems 

advocacy, assuming that the appropriate exposure and outcome data were available at the aggregate level 

for relevant periods of time.

Using this approach, we may identify variables in the NORS data that are suitable for use as outcomes in 

an ecological study. If this is the case, we can examine these outcomes in one or more states, either in a 

single year or over time. Likewise, we can think about aggregated data that are potentially related to 

systems advocacy such as funding levels, and use that information as the "exposure" or predictor variable 
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in this type of study. In this way, we can identify shifts or drifts in advocacy-related variables and relate 

them to relevant outcomes in NORS. For example, if there was a sudden change in a federal or state 

policy that might impact outcomes of the LTCOP, we could use NORS data to examine if there were any 

meaningful changes in key outcomes after this policy change. 

8.4 Outcomes Evaluation: New Data Collection

A key series of activities in the outcomes evaluation design involves leveraging data collected in the 

process evaluation and using them as "predictor" variables. These predictor variables will then be used in 

the outcomes evaluation, which will focus on collection of impact or "outcome" data. For the outcomes 

evaluation, our approach once again involves collection of "core" and "modular" data, but this stage of the 

design focuses on outcomes, rather than program characteristics and processes. Core outcome data apply 

to all LTCOPs regardless of state, program structure, etc., and to parallel classes of stakeholders in each 

state. In contrast, modular outcome data involve endpoints that pertain to a subset of states as a result of 

heterogeneity in strata, as described above. Core data will be collected in all states from several classes of 

respondents as resources permit. These respondents should ideally be the same as those described in the 

process evaluation activities, with the addition of complainants, LTSS residents and representatives, 

facilities, and stakeholders. In addition to core data, multiple, tailored modules will be developed that aim 

to assess heterogeneous outcomes that are linked to key strata. Respondents for these modules may also 

vary, but within a module, respondents will be uniform across states. As with the process evaluation, not 

all modules will apply to each state, and for modules that do apply, multiple classes of respondents can be 

engaged to provide a fuller understanding of each topic.

Whereas the process evaluation will collect information from program staff (discussed in Section 8.2), the 

outcomes evaluation will focus on program recipients (residents, facilities) and others who collaborate 

with or have an interest in the program, including stakeholders. With respect to the logic model, the 

outcome evaluation will collect information regarding the program’s outcomes at the consumer, facility, 

state/local, and federal level. As noted earlier, outcomes related to ombudsmen themselves, however, will 

be collected as part of the process evaluation. Rather than conducting interviews or fielding surveys with 

ombudsmen at two points in time, carrying out these efforts simultaneously will result in not only costeffectiveness but methodological rigor.

8.4.1 Outcomes Evaluation Core Data

Core outcome data can be cross-sectional or longitudinal, depending on resources and timelines. While 

cross-sectional outcome data can provide a "snapshot" of key outcomes at one point in time, longitudinal 

data are superior for a number of reasons, including the ability to capture trajectories and the ability to 
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collect data on diverse programmatic outcomes that may not all "appear" at one point in time. Thus, 

longitudinal data collection can not only allow for more complex, sophisticated descriptions of outcomes, 

they can also reduce the risk of failing to identify programmatic benefits that may occur at later points in 

time. Core outcome data will involve both qualitative and quantitative information, and they will 

constitute the backbone of the LTCOP outcome evaluation. Ideally, outcome evaluation core data will 

reflect both the breadth and depth of impacts that the LTCOP can reasonably be held accountable for, and 

for which rigorous measures can be identified and deployed. It is possible that resource constraints will 

require prioritizing of core outcomes that will be examined, or of the number of specific data elements 

that will be collected for each topic. If this is the case, it should be expected that some universallyapplicable outcomes will receive limited or no attention at all. 

8.4.1.a Sampling

Data will be collected in a standardized manner from all states (i.e., census). 

8.4.1.b Respondent Classes

At least 5 respondent classes can be identified/recruited for outcome evaluation core data collection;

different data elements will be collected across classes, but identical data will be collected within each 

class. Obtaining multiple perspectives on LTCOP processes and outcomes is critical for providing context 

to data collected as well as ensuring a variety of vantage points. For example, several TAG members 

expressed reservations about the accuracy of facility-based surveys. There was concern over whether 

responses on certain outcomes, particularly the management and allocation of LTCO resources, would be 

skewed because of facilities’ self-interest. With the many misunderstandings related to LTCOPs, 

furthermore, TAG members advised that questions are prefaced with definitions of terms or descriptions 

of LTCO responsibilities and are expressed in accessible language. These issues are important not only 

for residents who may not be familiar with the term “ombudsman”, for example, but also facility 

administrators who do not fully understand the LTCO’s role.

Class 1: LTCOP complainants 

Class 2: LTSS residents and their representatives

Class 3: Former residents of long-term care facilities 

Class 4: Facilities – staff and administrators at the facility itself as well as the corporate level where 

there are nursing home chains, trade associations
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Class 5: Stakeholders (SUA directors, AAA directors, surveys and certification, APS, consumer 

groups, etc.)

Ideally, respondents will come from areas/live in facilities that were surveyed in the process evaluation to 

allow for matching between the process and outcome data.

8.4.1.c Topics to be Covered

It is anticipated that outcome evaluation core data will cover a diversity of topics. Our approach permits 

collection of data on the same or similar topics from diverse perspectives, and also accommodates 

collection of information that applies to only one class of respondents.

Class 1: LTCOP complainants – complaint handling, consumer satisfaction with LTCOP, etc.

Class 2: LTSS residents and representatives – awareness of resident rights, LTCOP, and LTCOP 

advocacy, accessibility and availability of services (consultations, complaint handling), council 

participation and support, consumer confidence in raising issues.

Class 3: Former residents of long-term care facilities – prevention of problems, LTCO role in 

transitions out of facilities 

Class 4: Facilities – administrators/staff interactions with ombudsmen programs, complaint resolution 

process, visiting and consultation process, educational activities, role of ombudsmen, facility size, 

type of facility, awareness of resident rights, ombudsman functions and program goals, awareness of 

prevention of problems due to LTCO intervention, perceived professionalism and helpfulness of 

ombudsmen to residents and families, ombudsmen provision of information and resources to support 

person-centered care, coalition/stakeholder engagement.

Class 5: Stakeholder knowledge of resident rights and LTCOP, inter-organizational relationships, 

collaboration.

8.4.1.d Data Collection

Ideally, outcome evaluation core data will be collected via in-person and telephone interviewing as well 

as computer-assisted surveys. However, the latter approach is often not realistic for many older adults, 

particularly those in skilled nursing. Thus, in-person interviews or focus groups may be necessary in order 

to capture consumer-level information. Online data collection may be more feasible for facility staff, and 

perhaps also for family members of consumers.
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8.4.1.e Analysis Overview

In addition to the availability of extensive qualitative information, outcome evaluation core data can 

generate a number of rectangular data sets representing diverse information from a variety of respondents.

It is anticipated that state will be the first "clustering" variable because all classes of respondents will 

share programmatic characteristics that are defined to a large extent by the states in which they live or 

operate. We therefore expect that most analyses will be conducted within each respondent class.

However, if there are programmatic features for which data are collected for more than one respondent 

class, comparisons across these groups will certainly be possible. 

8.4.2 Outcomes Evaluation Modular Data

Modular outcomes evaluation data can be cross-sectional or longitudinal. This information will involve 

both qualitative and quantitative information, and act as targeted, tailored supplements to outcome 

evaluation core data for topics and programmatic features that are heterogeneous across states. Ideally, 

modules will be developed for all LTCOP strata that differ across states and that can reasonably be 

expected to impact program effectiveness. Identification of modules will be conducted with the assistance 

of the ACL.

8.4.2.a Sampling

Ideally, strata-specific outcome evaluation modules will be administered in all states to which the module 

applies. For instance, a module targeting outcomes associated with LTCOP operations in home-based 

care will be administered in all states where offering in-home ombudsman services. It is possible that 

resource constraints will require either prioritizing of the number of outcome modules that are developed 

and deployed and/or the need to deploy outcome modules in less than the complete set of states in which 

they apply. 

8.4.2.b Respondents

The large number of potential strata upon which outcome evaluation modules can be developed will 

require a corresponding variety of respondents. Even in cases where modular outcome evaluation data can 

be collected effectively from one respondent class, it may be useful to collect parallel data in multiple 

classes if different perspectives are desired. Ideally, modular outcome evaluation data will be collected 

from the same classes and the same individuals as those that participate in the core outcome evaluation 

data collection activities.

8.4.2.c Topics to be Covered

Outcome evaluation modules can be developed for any LTCOP stratum that: (1) differs by state and (2) is 

hypothesized to impact program effectiveness. A preliminary list of these strata was presented above in 
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the process evaluation section of this document. Topics related to any of those strata can be developed 

and deployed in states to which they apply, and be administered to one or more respondents, depending 

on applicability.

8.4.2.d Data Collection

Ideally, outcome evaluation data will be via a secure, web-based data entry application. This approach

assumes that respondents have Internet access and that email addresses or other means of delivering the 

URL can be identified. As noted above, this is unlikely to be the case in most resident-level data 

collection, but is likely to be more feasible with facility staff. In-person interviewing, whether computerassisted or with paper, is possible, but will be costly, especially if repeated (longitudinal) outcome 

measures are desired. Ideally, modular outcome data collection will occur concurrently with core outcome 

evaluation data collection, and will utilize the same individual respondents within each respondent class.

8.4.2.e Analysis Overview

Modular outcome evaluation data can be cross-sectional and/or longitudinal, and will supplement 

universal outcome data in a number of ways. For instance, modular outcome data for a given stratum or 

strata can be pooled and examined to understand LTCOP operations in states that share a key 

characteristic of interest. These states can also be compared to states that do not share the characteristic, 

or to a variety of control groups that can be constructed from other strata. 

8.4.3 Cost Analyses

8.4.3.a Measuring and Valuing the Full Costs of the LTCOP

A critical component of demonstrating the value of the LTCOP rests on economic analysis. An economic 

evaluation or cost analysis of the LTCOP can assess whether the services delivered by the program offer a 

good return on investment. These analyses also can provide a means to compare the program’s benefits 

relative to alternatives.

In a cost analysis, we begin by estimating the full economic costs of operating the LTCOP. Three steps 

are involved in deriving this estimate. These include identifying resources (both explicit and implicit 

costs), measuring their use, and monetizing the value of those resources. While expenditure data are 

available on the program (in FY2010 total program expenditures from all sources were $87,677,01313), 

this figure does not capture implicit costs, particularly the use of volunteer time. A key strength and 

defining characteristic of the LTCOP, however, is its base of trained and dedicated volunteers. Of the 

total number of ombudsmen who carried out the responsibilities of the program in 2010, 88 percent were 

 

13 http://www.aoa.gov/aoa_programs/elder_rights/Ombudsman/index.aspx
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unpaid. As a result of this basic programmatic feature in most states/territories, neglecting to include this 

unique segment of the LTCOP workforce obscures the full costs involved in operating the program. Other 

implicit costs that need to be considered include transportation used for facility visits, as well as shared or 

donated resources such as space, and potentially, equipment. These costs may be particularly relevant for 

programs located within State Units on Aging (and local/regional entities located within area agencies on 

aging or other multi-service agencies) where personnel, office space, and equipment may be shared, 

donated, or borrowed.

While assigning a dollar value to each program’s explicit costs is relatively straightforward, calculating 

the implicit costs of established federal programs such as the LTCOP poses unique challenges. Since its 

inception, states have been accorded broad latitude in implementing their respective programs, a 

consideration that results in great diversity in program structure, approach, and operations, including 

utilization of human resources. The consequence of this variation for valuing resources in dollar terms for 

implicit costs is considerably more complex.

In the case of explicit costs, resources are easily monetized. The challenge is to allocate costs 

appropriately between the LTCOP and other personnel, space, or equipment that are potentially shared at 

agencies where programs are located. After determining the division of resources, if any, on a state-bystate basis, labor, fixed, and variable costs can be calculated by using budget and expenditure data that are 

available from each program. Using standard accounting principles, costs for equipment, such as 

computers, can be amortized over time. 

Time and space are the primary types of implicit costs that need to be valued. Given the underlying 

variation in program components and structure across state and local programs, the calculation of some 

costs is subtle while others have an uncertain dollar value. This is especially true for monetizing volunteer 

services because of the wide variation in roles that volunteers play. Whereas some programs use 

volunteers largely as friendly visitors, others task volunteers with the same work that paid ombudsmen 

perform, including complaint investigation and systems advocacy. Other programs may have volunteers 

play an ever larger variety of roles. Further, LTCOPs in four states serve as the primary finder of fact for 

of abuse, neglect and exploitation reports in long-term care facilities. This may be a time-consuming 

responsibility which is outside the scope of the OAA functions.

14 Each of these roles demands a different 

level of skill and responsibility and valuing these roles must reflect those clear and sometimes subtle 

 

14 In some states, other responsibilities that go beyond OAA-described functions include witnessing advance directives and convening 

ethics panels. Some states have additionally provided authority to LTCO programs to serve populations beyond those identified by the 

OAA. Examples include services to individuals receiving in-home services, transition or follow-up services to Money Follows the 

Person demonstration projects, services to residents of ICF/MRs or other settings primarily serving younger individuals with disabilities.
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differences. As a result, assigning a dollar value to the contribution of volunteers will likely be neither 

uniform across or even within states, nor will it be the same for all types of volunteers. In some instances, 

the equivalent salaried job category of paid staff (factoring in experience) may be used for this purpose. 15

Where no comparable substitute exists and the dollar value is unknown, other strategies have been 

employed to quantify volunteer services, including assigning market rate salaries or average state hourly 

rates. A sufficiently wide scope of salary comparisons, however, should be employed, given the diverse 

roles the ombudsmen play. Whatever methods are ultimately used, state and local variations in factors 

such as how volunteers are used and cost of living must also be considered. These issues apply, moreover, 

to staff as well as volunteers. 

Another category of implicit costs to be valued include space or other equipment donated to the LTCOP.

The extent to which LTCOPs rely on in-kind contributions varies by program and is expected to be partly 

determined by program structure. For example, the location of a program within SUAs presents potential

benefits to programs. These include administrative support, ongoing professional training, use of shared 

facilities as well as supplies and clerical support. We anticipate that much of the calculation of implicit 

costs will require securing tailored information on each program that will facilitate valuation of in-kind

resources in dollar terms. In addition to records review, this information can be collected as part of the 

process evaluation from state ombudsmen, as described in Section 8.2 in this report.

Once all explicit and implicit costs have been identified and calculated, the cost analysis for the LTCOP 

will not yield a single figure, but a range of figures. Several key decisions involving plausible alternatives 

for measuring and valuing resources must be made at various points in the analysis. These decisions will 

relate in large part to estimating the value of volunteer time. As a result, calculating a figure for each of 

the competing assumptions and presenting a range of estimates is recommended. Estimates on the total 

costs of the LTCOP can then be compared to existing calculations of total program expenditures that do 

not consider implicit costs. The resulting difference between the two figures represents the ability of the 

LTCOP to leverage donated resources for implementing the program. In the absence of volunteers and 

other implicit costs, programs would likely incur greater costs in order to provide the same level of 

service. By calculating the total costs of the LTCOP, cost analyses can effectively demonstrate the value 

of volunteers and other donated resources to the program.

 

15 A consideration using this approach is that paid ombudsmen may not be funded fully. Existing wages may be low despite the complex 

work that is involved. 
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8.4.3.b Measuring and Valuing Cost Effectiveness

Having calculated the LTCOP’s total costs, the range of cost estimates can serve as a foundation for 

additional cost analyses. To address how the LTCOP’s relative costs and outcomes compare to alternative 

approaches, cost-effectiveness analysis (CEA) can be used. CEA examines the costs of a program and 

weighs them against various outcomes by calculating a ratio of costs to “units of effectiveness.” Units of 

effectiveness measure a quantifiable outcome that is central to the program’s objectives. It should be 

noted that while all states would be required to participate in the calculation of the LTCOP’s total costs, 

the application of CEA need not be equally comprehensive. CEA can be applied to any number of state or 

local programs, depending on available resources and can be used to highlight certain features of the 

LTCOP.

One strategy to evaluate the cost-effectiveness of the LTCOP is to divide total program costs by a 

meaningful measure of effectiveness such as “number of complaints resolved” to determine a cost per 

successful investigation. Additional examples of potential cost effectiveness analyses using other 

quantifiable outcomes include:

 Cost per consumer reached (including complaints and consultations)

 Cost per consultation

 Cost per complaint resolved

 Cost of monitoring facilities (regular visits and responding to complaints and other requests)

 Cost per volunteer (taking into account the cost of training/managing volunteers compared to the 

type of work they perform; compare to cost of paid staff doing similar work)

Given that all program expenditures are unlikely to be devoted to any single task, whether it be complaint 

handling, consultations, systems advocacy, education or other activity, we anticipate that one 

methodological challenge will be isolating expenditures dedicated to complaints (or other specific 

activity) and determining the cost per complaint resolved.

A cost-effectiveness analysis must look at the marginal costs and benefits of a program compared to the 

status quo, i.e. what would have occurred if there were no LTCOP. In the absence of the LTCOP, would 

other programs fill the void, possibly at a higher cost because so much of the LTCOP workforce consists 

of volunteers? Would consumer needs go unmet? One potential analysis to address these questions would 

compare the cost-effectiveness of certain ombudsmen services to that performed by other agencies 

employing a different service delivery model.
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8.4.3.c Measuring and Valuing the Costs of Leaving Problems Unresolved 

Another possibility in approaching cost analyses involves measuring the cost of leaving problems 

unresolved. Although it is difficult to measure the costs associated with avoiding a problem, there may be 

some types of complaints with tangible costs that can be measured. These may include problems related 

to abuse, neglect and exploitation or unresolved health issues. While it may be possible to capture these 

outcomes with hospitalization rates or some other indicator, attributing the outcome to the LTCOP may 

itself pose challenges, before any attempt at monetizing the measure is even considered.

One of the first steps in considering cost analyses is ensuring that valid data are available and 

standardized definitions are employed. Before any calculations can be made, it will be necessary to 

examine the validity of existing data sources that are used in cost analyses. For example, currently, the 

LTCOP in Texas calculates a number of cost ratios, including average program cost per staff ombudsman 

and average program cost per certified ombudsman (staff or volunteer). Other states are likely to do so as 

well. The ability to provide valid data, however, is likely to vary by state as will the reporting tools that 

are used across states. Methods used would then need to be standardized across states under study. Much 

of this information can be garnered through the proposed process evaluation to identify states where use 

of these tools for costs studies may be most promising. If existing data (program records) are deemed 

unreliable, using data that are collected as part of the proposed cohort study (Section 8.4.4) may be an 

option for securing high quality information for cost analyses.

8.4.4 Cohort Study

One of the fundamental measures used to define program effectiveness in the LTCOP is complaint 

resolution. Investigation and resolution of complaints on behalf of long-term care residents is at the heart 

of the LTCOP and complaint handling and its associated outcomes are most directly and tangibly tied to 

the program. The percentage of complaints that programs resolve during the year is also one of only two 

data items in NORS that is considered a performance outcome measure by the AoA (the other being the 

number of complaints per long term care facility).

The calculation of the complaint resolution percentage, however, does not in fact refer to the status of 

complaint dispositions as the name suggests. Rather, it measures the percentage of complaints that are 

resolved to the satisfaction of the resident or complainant. It is therefore a measure of consumer 

satisfaction with ombudsmen complaint outcome. Importantly, it includes complaints that may or may not 

have been fully or even partially resolved. To a large extent, this measure reflects issues that are within 

the control of ombudsmen’s work. Because the program advocates for services delivered by facilities, 

government agencies, and other third parties, it is not directly responsible for the provision of these 
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services. At the same time, it is important to know not only the levels of satisfaction with the resolution of 

a complaint investigation but also the actual complaint resolution, and to account for whether resolution 

lies within or outside of an ombudsman’s control. While NORS collects some of these data, the categories 

used appear to intermingle outcomes.

Although using the percentage of complainant satisfaction with complaint resolution to quantify 

programmatic effectiveness has been in place for some time, NORS does not capture important 

complexities that characterize the LTCOP and its clients. As a result, the annual percentage of resolved 

complaints may not be an accurate reflection of programmatic effectiveness. Further, this measure 

provides no information about programmatic efficiency. If only the percent of resolved complaints are 

examined, programs that operate under especially challenging conditions may be perceived as 

underperforming relative to their more resource-rich counterparts (e.g. programs with more volunteers, 

funds, better partnerships, etc.).

In moving toward designing a rigorous and policy-relevant design for the LTCOP, it is critical to consider 

how to address the challenge of measuring complaint resolution in a manner that "levels the field" and 

permits a clear, and thoughtful assessment of program performance across a wide range of programmatic 

environments. One way to do this involves not only measuring complaint resolution as a percentage (as 

does NORS), but also measuring it as a rate. Including complaint resolution rate into our data collection 

plans enables us to evaluate efficiency because time is incorporated into our study of complaint 

resolution. Together with the complaint resolution percentage, studying complaint resolution rate can 

provide a fuller picture of the ability of the LTCOP to fulfill its responsibilities.

In order to rigorously and fairly assess the effectiveness of the LTCOP’s complaint investigations and 

obtain information on complaint resolution rates, a cohort study is essential. A cohort study is a form of 

longitudinal or observational study that follows a group of people who share a similar characteristic over 

a specified period of time. For the LTCOP evaluation, we propose establishing a cohort of complainants 

in a select number of programs who would be followed from the time they initiated a grievance to the 

point at which their grievance was resolved. This cohort will be used to study LTCOP outcomes that 

require follow-up on individuals and which are not feasible using either the outcome evaluation core or 

modular data.

The cohort study would be carried out concurrently with NORS but would refine certain NORS elements 

(such as distinguishing consumer satisfaction from complaint resolution) and include new data items

(such as demographic and health/disability characteristics of residents, the complexity of the complaint, 
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as well as facility information for data linking purposes). Data collection for the cohort study would focus 

on identifying new complaints that are opened during a specific interval (the “enrollment period”). As 

with NORS, these complaints would be followed through to their resolution. In order to determine the 

appropriate timeframe for this data collection effort, it is necessary to examine the duration of complaints 

(from initiation to resolution) and obtain measures of central tendency (e.g. mean, median, quartile 

ranges) on complaint data. Ideally, the enrollment period and follow up needs to be long enough to cover 

the duration of 80 – 90 percent of complaints. That is, we need to define a follow-up period in a manner 

that permits collection of complete data on a majority of complaints that are opened and resolved during 

the study.16

By assessing complaint resolution rates as well as relevant information on complaints and programs with 

a cohort study, we can more accurately assess program effectiveness under various conditions. Unlike 

percentages, rates allow us to consider time when evaluating complaint resolution. For example, one 

program may resolve complaints 90 percent of the time whereas another may resolve complaints only 50 

percent of the time. The additional information on rates may reveal that despite its lower complaint 

resolution percentage, the amount of time the seemingly poorer performing program takes to resolve its 

complaints is the same as the higher performing program.

A cohort study also enables us to take confounding factors into account through “adjusted rates” 

(discussed further in section 8.4.4.a), another advantage that percentages do not offer when interpreting 

complaint resolution. Adjusted rates can account for time, organizational placement, staffing levels or 

mix, turnover rates, and other factors that might affect the speed with which programs resolve their 

complaints. By identifying these confounders and understanding their role in influencing complaint

resolution rates, recommendations can be made about specific features of the LTCOP, and/or specific 

features of complaints that are likely to impede program efficiency. Such conclusions are possible to draw 

from data collected in a well-designed cohort study that allows calculation of rates in addition to 

percentages, but they cannot be drawn from existing NORS data alone.

Given the intensity of the proposed cohort study effort and the anticipated reliance on ombudsmen to 

collect study data, fielding a pilot study in a few sites prior to expanding the effort to a greater number of 

programs is advised. Piloting, and eventually deploying, the cohort study evaluation instruments would 

likely require the provision of incentives as well as training to ensure consistent, high quality reporting in 

 

16 The beginning of the study period is the enrollment period. Subsequently, there would be a period of time when new complaints are 

added to the study until a target is reached. The enrollment period would then close and we would follow this cohort of people for the 

duration of the study period. The period between the point of enrollment and the end of the study period is the ‘follow up time’ and it 

will be longest for the people who are enrolled first and shortest for the people who are enrolled last. However, if resolutions occur 

quickly, this should not matter because the full duration for most enrolled people will be captured.
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this decentralized evaluation environment. If such a function is desired, the cohort study can also serve as 

a model for future modifications in the NORS system.

Another important consideration is the individual-level demographic information that we seek to obtain.

One of the defining characteristics of ombudsmen work is protecting resident confidentiality. Residents 

trust ombudsmen with sensitive information not only about their complaint but also about themselves.

There may be concerns among residents – or even ombudsmen – regarding the disclosure of individuallevel data to researchers and it deserves emphasizing that resident participation is voluntary. One of the 

advantages to a cohort study is that participants would provide informed consent prior to enrollment. This 

consent would give permission for the sharing of personal information that might otherwise not be 

available to researchers. Thus, the cohort study would be a regulated research activity that would be 

distinct from the service provision that LTCOPs routinely provide. These and other data stewardship 

issues will be addressed using the most conservative approaches available, and in consultation with the 

ACL and the evaluation sites.

If available evaluation funding precludes the implementation of a cohort study, a less methodologically 

rigorous alternative for obtaining data on complaint handling is to use state or local level data elements 

that are collected. In considering this option and its associated methodological issues, it is necessary to 

determine whether the data elements of interest are currently collected. These data items include: 

 Demographic and health information on complainants

 Demographic information on ombudsman who handled the complaint 

 Volunteer or paid status of the ombudsman

 Role of ombudsman in program

 Manner of complainant accessing the ombudsman/how learned of LTCOP 

 Ease of contacting the ombudsman

 Type of complaint

 Complexity of the complaint

 Time to initiate processing of complaints

 Resolution times

 Result of complaint investigation

 Consumer satisfaction with services
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 Willingness to use LTCOP services again

 Willingness to recommend services to someone else with a related issue to resolve

 Availability of other options to pursue complaint

 Perception of effectiveness of ombudsman

 Type of facility

 Size of facility and 

 Facility ID code (to link with other data sources) 

In addition to establishing the availability of these data elements, the reliability and validity of the data 

must also be systematically assessed. Some states collect a number of but not all data elements listed 

above. Another consideration is the ease with which disaggregated data can be obtained. In relying on 

retrospective data, we may not only be restricted analytically to what data are available, but also to the 

programs that collect these data. While state or local data elements are an option for examining complaint 

handling, the available data are unlikely to effectively serve the needs of a thorough evaluation of the 

program’s complaint resolution function.

Through an example in the following section, we provide background information on rates, how they 

differ from percentages, why we believe a cohort study that includes rate measurements has the potential 

to provide clear, policy-relevant information on LTCOP performance, and how this information can be 

used for informed decision-making as the program continues into the future. 

8.4.3.a Example of Rates Versus Proportions

The table below illustrates the experiences of 10 hypothetical complainants, i.e., one or more individuals 

who either initiated a complaint (complaints 1, 2, 3, 4, 5, 6, 8, and 9) or had an ongoing complaint that 

continued from the previous year (complaints 7 and 10) during a hypothetical year. These people were all 

clients in program A. It should be noted that the example is only roughly modeled off of NORS. There are 

a number of codes not represented here; we retained only those necessary for illustrative purposes.
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Figure 5: Program A

Complaint

number Month

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

1 I X X R

2 I X X X X X R

3 I X X X X X X X

4 I X

5 I X X R

6 I X X X R

7 C X X X X X X X X X X X

8 I X X X X X X R

9 I X D

10 C X X X X X X X X X D

I= a month in which the complaint was Initiated

C=a case that Continued from the previous year.

R=a month when a case was successfully Resolved.

D= a case that was determined not to be pursued, or was Dropped for some reason

Cases with an "X" in December are still open at the end of the year.

As shown in Figure 5, 10 complainants had a complaint open at some point during the year in Program A, 

2 of whom had complaints that were continuing from the previous year. Of the 10 complainants, 50 

percent (5 complainants) had their complaints fully resolved, 20 percent (2 complainants) had an open 

complaint at some point during the year that was dropped for some reason, and 30 percent (3 

complainants) still had an open complaint at the end of the year. These numbers represent proportions.

They are percentages of complainants with various complaint dispositions. The percentages say nothing 

about how long the complainants were followed, when their complaints were open, when they closed, and 

so forth. Percentages also fail to incorporate the complexity of the complaint, available resources, the 

number of staff the LTCOP had during the year, or other factors that might influence how quickly this 

program resolves its complaints.

Valuable information can be provided by calculating a rate. In the same group of complainants, there 

were a total of 64 months during which these 10 complainants opened a complaint, continued to have an 

open complaint, or during which a complaint was dropped or resolved. The 64 months is called "persontime", which is the amount of time that all complaints were monitored during this hypothetical year. Of 

all the months that complainants were monitored, 28 months were among complainants whose complaints 

were resolved during the year, 14 months were among complainants whose complaints were dropped, and 

22 months were among complainants whose complaints were still open at the end of the year. Complaint
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number 10 contributed 11 person-months to the total, but complaint number 4 contributed only 2. While 

the disposition of these complaints was different, their time is counted in the same way regardless of what 

happens to their complaints. A rate is a number of events that occurs per unit time. Rates are expressed as 

fractions or decimals, with the number of complaints (events) in the numerator, and the amount of persontime in the denominator. In the above example, the overall complaint resolution rate for the hypothetical 

year was 5 complaints per 64 person-months (5/64=0.078).

There are many statements we can make about all complaints, subsets of complaints or other 

combinations using rates. In order to compare rates to each other, rates must be expressed in terms of a 

common denominator. The choice of denominator is arbitrary, but is often chosen based on the amount of 

time that people are followed. In this example, we use 100-person months (a denominator of 1000 or even 

1,000,000 is also possible). Therefore, the overall complaint resolution rate could be expressed as 7.8 

cases per 100 person-months (0.078 multiplied by 100).

Figure 6: Program B

Complaint

number Month

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

1 I X X X X X X X X X X X

2 X X X X X X X X X X R

In program B, there are only 2 complainants with a complaint open during the year, and 50 percent of 

these complaints (1 person) had their complaint resolved. The complainants in program B contribute 23 

person-months of time in this example. Despite the smaller number of complainants and the same 

proportion of resolved complaints, the rate of complaint resolution is lower than Program A: 1/23=0.043, 

or 4.3 complaints per 100 person-months. In fact, the complaint resolution rate in program A is almost 

twice the rate of program B: 7.8/4.3=1.81. Because NORS does not permit calculation of rates, however, 

the type of information in this example is not available. 

The experience of these two programs illustrates the added value of looking at complaint resolution in 

terms of rates in addition to looking at this outcome in terms of percentages. Unlike percentages, rates 

allow us to take time into account when we evaluate complaint resolution. On the surface, a 50 percent 

resolution in Programs A and B appear to be "the same," but we see that program A resolved its 

complaints faster this year than Program B despite its higher load. There may be a variety of reasons that 

account for this outcome.
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Program B may have fewer volunteers and more complex complaints such that resolution of certain 

complaint types is more challenging; Program A might have stronger partnerships with stakeholders that 

are critical for speedy complaint resolution. Factors like these that might influence the complaint

resolution rate (or other LTCOP outcomes of interest that are related to time) are called "confounding 

variables." That is, they can "confound" or confuse interpretation of rates and other quantitative measures 

if they are not taken into account. This is especially true if confounding factors occur much more in one

program than in another. 

Currently, NORS neither permits calculation of rates, nor allows confounding variables to be taken into 

account when interpreting compliant resolution. This is in large part because (1) many variables that are 

likely to act as confounders are not collected in NORS, (2) the data are not constructed in a way that 

permits confounding variables that are collected to be examined in relation to complaint resolution, and 

(3) NORS precludes disaggregated analysis of data elements. As a result, our ability to use NORS as the 

primary tool for rigorously evaluating the LTCOP’s performance (at least with respect to complaint

resolution rate) cannot be achieved with this data source. Thus we propose conducting a cohort study in 

which person-time will be collected as well as information on a host of potentially confounding variables

that can be taken into account when we examine complaint resolution rate. In the proposed cohort study 

we would examine a number of outcomes that reflect how quickly cases are resolved and look at 

percentages (the "traditional" approach), complaint resolution rates, and also "adjusted" rates.

“Adjusted rates” are calculated with statistical techniques that factor in person-time, complaint

disposition, and confounding variables. That is, they are complaint resolution rates that "adjust" the rates 

for the confounders. These confounding variables can be on the program level (staff, budget, geographic 

distance, state-level policies that impact case adjudication, etc.) as well as the complaint level (complaint 

type, first or repeat complaint, etc.). The statistical procedures can describe how long cases take to resolve 

in a particular state or program in relation to confounding factors, thereby yielding the adjusted rates 

described above. Thus, our approach will involve several strategies to evaluate complaint resolution. It 

should be stressed that the newer, more complex strategies can paint a much more accurate (and 

potentially much more favorable) picture of LTCOP performance, especially for programs that have 

severe challenges such as the combination of extremely high case loads and very low staffing levels.

Adjusted rates can take these challenges into account, thereby "evening the field" across programs in a 

way that is not currently possible with NORS data. 

Using Program B's complaint resolution rate of 4.3 per 100 person-months as an example, it is possible 

that if we adjust this program's rate for the fact that it has no volunteers, and that all the complaints that 
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come into this program are extremely complex, we might see that Program B's complaint resolution rate 

is actually 7.2 cases per 100 person-months. This highlights the role that confounding factors play in 

impeding the program from its central goal of speedy complaint resolution. Perhaps more importantly, 

adjusting the rates changes our perception of the program's performance from one that was not as good as 

program A, to one that is very similar to program A, "all things considered."
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9.0 Summary 

The LTCOP is a unique and multifaceted program that does not readily lend itself to traditional evaluation 

approaches. In this report, we have presented a number of design options for a rigorous evaluation of the 

LTCOP that accounts for the program’s distinctive features while addressing the ACL’s fundamental 

research questions. In large measure, the strategies proposed in this report are the result of ongoing 

collaboration and feedback from both the ACL and TAG.

Collectively, the process and outcomes evaluation activities proposed here are designed to describe the 

structure and activities of the LTCOP and to assess its programmatic outcomes at multiple levels, 

including the resident/family, facility, as well as local/state/program and federal levels. While drawing on 

existing data sources, the proposed evaluation of the LTCOP relies heavily on new data collection efforts.

These include interviews, surveys, focus groups, case studies, and a cohort study. Using our strategies, 

both existing data and new data collection can then be used to inform or support additional evaluation 

activities, including commissioned papers, case studies, analyses of ombudsman and nursing home 

complaint data, cost analyses, and ecological studies. The synergies that this approach offers are 

numerous and contribute to the efficiency of the overall evaluation design.

Of the evaluation activities that are proposed in this report, the cohort study and cost analyses are perhaps 

the most promising for demonstrating the value of the LTCOP. The cohort study in particular can provide 

the most direct evidence of the program’s impact on clients while also leveling the field across programs.

Measuring and valuing the LTCOP in the proposed cost analyses would represent the first time that the 

total costs of the program are calculated and a clear picture obtained of the value of the volunteer

workforce upon which the program relies. In effect, the analyses would demonstrate the cost of the 

program in the absence of volunteers.

Because it is unlikely that each proposed evaluation activity will ultimately be undertaken, we have 

developed and proposed a set of scalable, flexible, and multi-modal activities. The scope of our 

approaches can be expanded or contracted depending on resources and needs, making it adaptable to a 

range of funding contingencies. Moreover, the components of the overall evaluation design are distinct 

and can be pursued independently of the others. While the order in which the evaluation activities are 

carried out is generally flexible, it is essential that the process evaluation’s core and modular data 

collection come first. Greater flexibility, however, exists for sequencing remaining activities. Analyses 

that draw on existing data sources or those that do not hinge on the process data collection can commence 
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at any time. Commissioned papers, for example, can precede or follow the process evaluation, or it may 

take place both before and after. The timing and number of activities largely depend on whether clear 

priorities and funding resources exist. Some topics for investigation may be predefined but promising 

areas for research may also be identified based on what is learned from the process evaluation. The same 

option holds true for the case studies. 

While many of the design elements can stand on their own, however, it is highly recommended that 

multiple evaluation activities are undertaken to ensure a rigorous assessment of the program. Only in this 

way can we obtain a comprehensive picture of the LTCOP and its impact for residents and their families, 

facilities, programs, and systems. 
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Appendix A: TAG Members

Rosemary Biggins

Program Manager

Aging & Disability Services 

Administration

State Unit on Aging

PO Box 45600

Olympia, WA 98504

(360) 725-2466

rosemary.biggins@dshs.wa.gov

James Bulot, Ph.D.

Director

Georgia Department of Human 

Services 

Division of Aging Services

2 Peachtree St NW, Suite 9-398

Atlanta, GA 30303-3142

(404) 657-5258

jjbulot@dhr.state.ga.us

Toby Edelman, Ed.M., J.D.

Senior Policy Attorney

Center for Medicare Advocacy

1025 Connecticut Ave NW, Suite 

709

Washington, DC 20036

(202) 293-5760

TEdelman@medicareadvocacy.org

Doni Green

Chief Aging Program Officer

Area Agency on Aging of North 

Central Texas

PO Box 5888

Arlington, TX 76005

(817) 695-9193

DGreen@nctcog.org

Alice Hedt

State Long-Term Care Ombudsman

Maryland Department of Aging

301 W. Preston St. Suite 1007

Baltimore, MD 21201

(410) 767-1108

ahedt@ooa.state.md.us

Brooke Hollister, Ph.D.

Assistant Professor

University of California San 

Francisco 

Institute for Health and Aging

3333 California St. #LHts-340

San Francisco, CA 94143

(415) 476-2309

Brooke.Hollister@ucsf.edu

Rosalie Kane, Ph.D., M.S.W.

Professor

University of Minnesota School of 

Public Health

Division of Health Services 

Research and Policy 

420 Delaware St. SE, MMC 729

Minneapolis, MN 55455

(612) 624-5171

kanex002@umn.edu

Debi Lee

Lead Regional Ombudsman

Centralina Area Agency on Aging

525 North Tryon St.

Charlotte, NC 28202

(704) 348-2714

dlee@centralina.org

Yvette Lugo

Director

Agency on Aging of the Rio Grande 

Area

1100 North Stanton St.

El Paso, TX 79902

(915) 533-0998

yvettel@riocog.org

Jackie Majoros, J.D.

State Long-Term Care Ombudsman

Vermont Legal Aid, Inc.

264 North Winooski Avenue

Burlington, VT 05402

(802) 863-5620

JMajoros@vtlegalaid.org

Ana Potter, J.D.

Deputy State Long-Term Care 

Ombudsman

Office of the Long-Term Care 

Ombudsman

3855 Wolverine NE, Ste 6

Salem, OR 97305

(503) 378-6533

ana.potter@ltco.state.or.us

William Scanlon, Ph.D.

Health Policy Consultant

National Health Policy Forum

2131 K St. NW, Suite 500

Washington, DC 20037

(202) 872-1390

scanlonw@gmail.com

Lori Smetanka, J.D.

Director

National Long-Term Care 

Ombudsman Resource Center

1001 Connecticuit Ave, NW, Suite 

425

Washington, DC 20036

(202) 332-2275 ext. 206

lsmetanka@theconsumervoice.org

Jean Wood

Executive Director

Minnesota Board on Aging 

Aging and Adult Services, 

Minnesota Department of Human 

Services

PO Box 64976

St. Paul, MN 55164

(651) 431-2563

jean.wood@state.mn.us
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Appendix B: Glossary

Assisted living facility: Assisted living communities provide “housing with services,” including 

assistance with activities of daily living (ADLs), such as bathing, dressing, toileting, and medication 

administration. Some facilities provide specialized services for people with Alzheimer’s disease. 

Board and care homes: A congregate living arrangement for people who cannot live independently but 

do not require skilled nursing care. This residential setting is also referred to as a “group home.” These 

arrangements provide residents with help with activities of daily living (ADLs) such as eating, bathing, 

and using the bathroom.17

Under the OAA, a “board and care facility” means an institution regulated by a State pursuant to section 

1616(e) of the Social Security Act. Section 1616(e) of the Social Security Act states, “Each State shall 

establish or designate one or more State or local authorities which shall establish, maintain, and insure the 

enforcement of standards for any category of institutions, foster homes, or group living arrangements in 

which (as determined by the State) a significant number of recipients of supplemental security income 

benefits is residing or is likely to reside.”18

Case: Each inquiry brought to, or initiated by, the ombudsman on behalf of a resident or group of 

residents involving one or more complaints which requires opening a case and includes ombudsman 

investigation, strategy to resolve, and follow-up.19

Certification and Survey Provider Enhanced Reporting system and the Quality Improvement 

Evaluation System (CASPER/QIES): Formerly the Online Survey Certification and Reporting (OSCAR) 

file, the Certification and Survey Provider Enhanced Reporting (CASPER) system and the Quality 

Improvement Evaluation System (QIES) replaced the CMS’s OSCAR administrative database in July

2012. Maintained by CMS in cooperation with state survey agencies, CASPER/QIES includes detailed 

information on all institutional health care providers certified to provide services under either Medicare 

and/or Medicaid. It represents the most comprehensive source of information on facilities, patient 

characteristics and regulatory compliance of nursing homes.

Cohort study: A study which tracks two or more groups across time to assess causal relationships. This 

type of study can be done by going forward in time from the present (prospective cohort study) or, 

 

17 http://www.medicare.gov/longtermcare/static/BoardCareHome.asp

18 http://www.aoa.gov/AoA_programs/OAA/oaa_full.asp

19 http://www.aoa.gov/AoA_programs/Elder_Rights/Ombudsman/docs/Form_final2015.pdf
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alternatively, by going back in time to comprise the cohorts and following them up to the present 

(retrospective cohort study). The defining characteristic of all cohort studies is that they track people 

forward in time from exposure to outcome.20

Complaint: A concern brought to, or initiated by, the ombudsman for investigation and action by or on 

behalf of one or more residents of a long-term care facility relating to health, safety, welfare or rights of a 

resident. One or more complaints constitute a case.21

Complainant: An individual or a party (i.e., husband and wife; siblings) who files one or more 

complaints made by, or on behalf of, residents with the ombudsman program.22

Consultations: Providing information and assistance to an individual or a facility that does not involve

investigating and working to resolve complaints (i.e., a consultation is not a case). If the ombudsman 

refers someone with a concern to another agency and is not actively involved in investigating and 

working to resolve the problem, it is not an ombudsman case or complaint. Rather, it is considered a 

consultation.23

Ecological study: Aggregate data on exposures are compared with aggregate data on outcomes. The unit 

of analysis is a group, not an individual. It may also be used to study the effects of group-level constructs 

such as laws (e.g. the impact of a seatbelt law) or services (availability of a suicide prevention hotline). 

They do not allow causal inferences to be drawn since the data are not associated with individuals and are 

therefore for traditional hypothesis testing.24

Focus group: A type of group research, whose interview topics are limited to a small number of issues. 

The contemporary focus group interview generally involves 8 to 12 individuals who discuss a particular

topic under the direction of a moderator who promotes interaction and ensures that the discussion remains 

on the topic of interest.25

 

20 https://research.chm.msu.edu/Resources/4%20cohort%20studies.pdf

21 NORS

22 Ibid

23 http://www.ltcombudsman.org/sites/default/files/ombudsmen-support/training/NORS-Training-Three-Cs-09-08-11.pdf

24 Kirch, Wilhelm. (Ed.). (2008). Ecological Study. Encyclopedia of Public Health. (vol. 1, p 315). Springer.

25 Stewart, D. W., Shamdasani, P.N., Rook, D.W. (2007). Focus groups and the research toolbox. In L. Shaw, D. Foster, & R. Holm 

(Eds.), Focus groups: Theory and proactive. (p. 37). Thousand Oaks, CA: Sage Publications, Inc.
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Home and community based care: Formal services that are provided to patients at home or communitybased settings (e.g., adult day service programs, senior centers). These services can be paid for from 

either private or public funds.26

Home and community based long-term services and supports (HCBS): HCBS is a long-term service 

and support (LTSS) under Medicaid. Refers to assistance with activities of daily living (ADLs) like 

bathing and dressing and instrumental activities of daily living (IADLs) such as grocery shopping and 

money management. Assistance of the kind is generally meant to help older adults and people with 

disabilities remain independent in the community. A significant amount of care for individuals in need of 

ADL and IADL assistance is informal, and provided by family members. State-level programs are 

available to assist older adults and the services they offer vary by state.27

Inter-rater reliability: The measure of reliability or consistency among observers/raters in settings where 

observations are performed by multiple people using the same tools. Assessments are considered reliable 

when patients receive roughly the same score, regardless of who administers the assessment. In practice, 

two or more raters score episodes of behavior which are then used to compute a measure of agreement.28

Logic model: A systematic way of presenting a picture of how a program works: the theory and 

assumptions underlying the program; how it is expected to work; what activities need to come before 

others; and how desired outcomes are achieved.

Long-term services and supports (LTSS): The services and supports used by individuals of all ages 

with functional limitations and chronic illnesses who need assistance performing routine daily activities 

such as bathing, dressing, preparing meals, and administering medications.29 Under Medicaid, “long-term 

services and supports” includes both institutional care and HCBS. 

Long-term care facility: A skilled nursing facility, nursing facility, board and care facility, rehabilitation 

facility, or similar adult care home (including assisted living facility) that provides extended (although not 

necessarily permanent) care to patients.30

 

26 http://aspe.hhs.gov/daltcp/reports/hcbcusa.htm As of 5/7/2012, CMS concluded that further discussion and consideration of a 

definition for home and community based care was necessary. A new proposed regulation is set to be issued that will establish setting 

criteria for the definition.

27 AARP, “Home and Community-Based Long-Term Services and Supports for Older People: 

http://assets.aarp.org/rgcenter/ppi/ltc/fs222-health.pdf

28 Gliner, J. and Morgan, G. 2000. Research Methods in Applied Settings. Mahwah: Laurence Earlbaum Associates.

29http://www.hilltopinstitute.org/publications/LTSSChallengesandOpportunitiesforStatesindifficultBudgetTimes-December2011.pdf

30 The Older Americans Act, Section 102: http://www.aoa.gov/AoA_programs/OAA/oaa_full.asp
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MDS (Minimum Data Set): Part of the federally-mandated process for clinical assessment of all residents 

in Medicare or Medicaid certified nursing homes. Provides a comprehensive assessment of each 

resident’s functional capabilities and helps nursing home staff identify health problems.”31

NORS (National Ombudsman Reporting System): The ombudsmen complaint reporting system, which 

collects the information that SLTCOPs (State Long-Term Care Ombudsmen Programs) record in 

respective information systems.32

Nursing home: Nursing homes provide total care for their residents including room and board, social and 

dietary needs, as well as medical care. These facilities must be licensed and staffed by licensed nurses and 

certified nursing assistants. State Medicaid programs are required to provide nursing home services to 

eligible individuals over 21. Nursing homes accept a variety of payment methods, such as private pay 

(which includes insurance), Medicaid, and Medicare.

Nursing facility: A nursing home certified to participate in Medicaid. These long-term care facilities 

provide three types of services: 

Skilled nursing or medical care and related services; 

Rehabilitation due to injury, disability, or illness; 

Long- term care health-related care and services (above the level of room and board) not available in 

the community, needed regularly due to a mental or physical condition.33

Outcomes evaluation: An assessment that involves collection of data on the short-term or immediate 

results of a project. Short-term results describe the immediate effects of the project on the target audience 

(e.g., percent of the target audience showing increased awareness of the subject). Information from such

evaluation can show results such as knowledge and attitude changes, short-term or intermediate behavior 

shifts, and policies initiated or other institutional changes.”34

Person centered care ensures an individual’s right to choose what help they want, need, or desire. This 

approach presents all options; honors and respects an individual’s choices and preferences and recognizes 

 

31 http://www.cms.gov/apps/mds/default.asp

32 http://www.nasuad.org/documentation/ombudsman/LTCOP_ReportingSystems.pdf

33 http://www.medicaid.gov/Medicaid-CHIP-Program-Information/By-Topics/Delivery-Systems/Institutional-Care/Nursing-FacilitiesNF.html

34 http://minorityhealth.hhs.gov/Assets/pdf/Checked/1/EvaluationProtocol.pdf
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the individual as the expert in her or his own life; and understands an individual’s wholeness – physically, 

emotionally, and spiritually.35

Process evaluation: Examines whether a program is being executed as planned, including fidelity to the 

tasks and procedures involved in implementation. These include the administrative and organizational 

aspects of the program activities, delivery procedures involved in the efforts, and whether the target 

population is being reached. Process evaluations are a form of monitoring to ensure feedback during the 

course of the program or project instead of after its conclusion.

Strata: In this report, key characteristics that differ across states and that are hypothesized to impact 

programmatic effectiveness. Examples include whether programs dedicate a significant amount of time to 

systems advocacy.

Substantiated complaints: Complaints investigated and substantiated by the state survey agency in a 

long-term care facility. This involves providing adequate factual information to verify that the 

circumstances described in the complaint are accurate and true. Substantiation is used for purposes of 

regulatory or law enforcement action.

Verified: determined after work (interviews, record inspection, observation, etc.) that the circumstances 

described in the complaint are generally accurate.36

 

35 Michigan ADRC’s August 2011 presentation to the Northsky non profit

36 NORS
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Appendix C: Older Americans Act

According to Section 712 of the Older Americans Act, the functions of the Office of the State Long-Term 

Care Ombudsman are as follows:

(A) identify, investigate, and resolve complaints that—

(i) are made by, or on behalf of, residents37; and

(ii) relate to action, inaction, or decisions, that may adversely affect the health, safety, welfare, or 

rights of the residents (including the welfare and rights of the residents with respect to the 

appointment and activities of guardians and representative payees), of—

(I) providers, or representatives of providers, of long-term care services;

(II) public agencies; or

(III) health and social service agencies;

(B) provide services to assist the residents in protecting the health, safety, welfare, and rights of the 

residents;

(C) inform the residents about means of obtaining services provided by providers or agencies described in 

subparagraph (A)(ii) or services described in subparagraph (B);

(D) ensure that the residents have regular and timely access to the services provided through the Office 

and that the residents and complainants receive timely responses from representatives of the Office to 

complaints;

(E) represent the interests of the residents before governmental agencies and seek administrative, legal, 

and other remedies to protect the health, safety, welfare, and rights of the residents;

(F) provide administrative and technical assistance to entities designated under paragraph (5) to assist the 

entities in participating in the program;

(G)

(i) analyze, comment on, and monitor the development and implementation of Federal, State, and 

local laws, regulations, and other governmental policies and actions, that pertain to the health, safety, 

 

37 “Resident” is defined as “an older individual who resides in a long-term care facility [Sec. 711(6)]
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welfare, and rights of the residents, with respect to the adequacy of long-term care facilities and 

services in the State;

(ii) recommend any changes in such laws, regulations, policies, and actions as the Office determines 

to be appropriate; and

(iii) facilitate public comment on the laws, regulations, policies, and actions;

(H)

(i) provide for training representatives of the Office;

(ii) promote the development of citizen organizations, to participate in the program; and

(iii) provide technical support for the development of resident and family councils to protect the wellbeing and rights of residents; and

(I) carry out such other activities as the Assistant Secretary determines to be appropriate.

According to Section 102 of the Older Americans Act, the term ‘‘long-term care facility’’ means—

(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));

(C) for purposes of sections 307(a)(12)[1] and 712, a board and care facility; and

(D) any other adult care home, including an assisted living facility, similar to a facility or institution 

described in subparagraphs (A) through (C).
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Appendix D: Logic Models
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Resources/Inputs Activities Outputs Outcomes Enabling legislation/ state mandates Regulations Program standards/ state policies Legal counsel Partnerships/MOUs Training and technical assistance Peer-to-peer support (associations) Staff (paid and volunteer) Funding Data systems & IT

Individual/ consumer advocacy

Education and outreach

Systems advocacy

Program quality assurance

Amount of service (# referrals, consultations, investigations) Accessibility of service (# facility visits, hours spent at facilities, time to follow up) Amount of information distributed to consumers # consumers reached # citizens’ organizations promoted Amount of community education # public testimonies at hearings, legislative sessions, etc. # legal remedies sought Amount of consistent program mgmt & monitoring (analysis of program data, identification of emerging issues, etc.) Analysis of efficiency providing consumer-level service Monitoring of consumer-level LTCOP outcomes % consumers served w best practices Rate of complaints against ombudsmen

Short-Term Medium-Term Long-Term Meets target/benchmark of consumer awareness of resident rights, LTCOP, & LTCOP advocacy Meets target/benchmark of consumer access to services Meets target/benchmark of complaint resolution proportion/rate Improved prevention of problems Meets target/benchmark of support for development & maintenance of in councils Meets target/benchmark of consumer awareness of LTCOP advocacy agenda Higher levels consumer satisfaction w LTCOP Improved consumer access to services (complaint handling, consultations, etc.)

Improved & more efficient services; efficiency in response to consumer issues

Improved prevention of problems Reductions in unmet need Meets target/benchmark of consumer confidence raising issues/making complaints to LTCOP, facilities, councils, etc. Councils developed & maintained

Meets target/benchmark of # consumer groups/ organizations coordinated on systems issues Improved management & allocation of LTCOP resources

Higher quality of life & level of functioning Higher quality of care received

Meets target/benchmark of resident confidence Reduced disparities in complaints, resolutions & repeat complaints experienced

Contextual Factors program autonomy and conflicts of interest (related to organizational placement, access to legal counsel, willful interference); personal characteristics of LTCOP staff (leadership, management, advocacy, negotiation skills); relationship with stakeholders; social, political and fiscal climate of the state; financing, number, and type of LTC facilities, services and supports; demographic, socioeconomic, geographic, and health and disability characteristics of consumers, populations and communities – See list of enabling/limiting factors for an expanded set of variables. –

Long-Term Care Ombudsman Program CONSUMER-LEVEL Logic Model
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Resources/Inputs Activities Outputs Outcomes Enabling legislation/ state mandates Regulations Program standards/ state policies Legal counsel Partnerships/MOUs Training and technical assistance Peer-to-peer support (associations) Staff (paid and volunteer) Funding Data systems & IT

Individual/ consumer advocacy

Education and outreach

Systems advocacy

Program quality assurance

% facilities visited regularly Hours spent per facility Amount of information distributed to facilities Hours of training/consultations provided to facilities # & range of facilities reached Amount of other contacts (e.g., presentations) made # facility-level stakeholder meetings # written analyses & recommendations # legal remedies sought Identification of emerging issues # stakeholder meetings Amount of consistent program mgmt & monitoring Rate of complaints against ombudsmen Analysis of efficiency providing facility- level service Monitoring of facility-level LTCOP outcomes % facilities served w best practices

Short-Term Medium-Term Long-Term Meets target/benchmark of provider knowledge of consumer rights, LTCOP Improved prevention of problems Meets target/benchmark of perception of ombudsmen professionalism & helpfulness to residents/ facility

Meets target/benchmark of consistency of service provided at the facility level Improved efficiency of LTCOP services

Meets target/benchmark for provision of information & resources to support person-centered care provided by staff Meets target/benchmark of coalition/stakeholder engagement

Improved management & allocation of LTCOP resources

Higher quality of life and care provided to residents Improved person-centered/ individualized care policies/ legislation/ regulation Meets target/benchmark for lower repeat offenses Reduced disparities within and across facilities in complaints and offenses

Contextual Factors program autonomy and conflicts of interest (related to organizational placement, access to legal counsel, willful interference); personal characteristics of LTCOP staff (leadership, management, advocacy, negotiation skills); relationship with stakeholders; social, political and fiscal climate of the state; financing, number, and type of LTC facilities, services and supports; demographic, socioeconomic, geographic, and health and disability characteristics of consumers, populations and communities – See list of enabling/limiting factors for an expanded set of variables. –

Long-Term Care Ombudsman Program FACILITY-LEVEL Logic Model
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Resources/Inputs Activities Outputs Outcomes Enabling legislation/ state mandates Regulations Program standards/ state policies Legal counsel Partnerships/MOUs Training and technical assistance Peer-to-peer support (associations) Staff (paid and volunteer) Funding Data systems & IT

Education and outreach

Systems advocacy

Program quality assurance

Amount of information distributed to stakeholders Hours of training/TA provided to stakeholders # & range of stakeholders reached Amount of other contacts (e.g., presentations) made # public testimonies at hearings, legislative sessions, etc. # written analyses & recommendations # & diversity of stakeholder relationships & diversity of topics Amount of consistent program mgmt & monitoring (e.g., volunteer mgmt) Analysis of efficiency providing local/State/program-level service # evidence-based programs implemented Level of access to stakeholders Monitoring of external local/State/ program issues

Short-Term Medium-Term Long-Term

Meets target/benchmark of stakeholder knowledge of consumer rights, LTCOP, and understanding of program among advocates, partner agencies, legislators, and policy makers

Stronger LTCOP staff competencies

Improved stakeholder collaboration

Meets target/benchmark for implementation of best practices Improved management & allocation of LTCOP resources

Higher quality of life and care provided to residents More efficient, effective, equitable LTCOP Improved person-centered/ individualized care practices & policies at the local/State/ program level Enactment, promulgation, refinement & enforcement of LTCOP-supported laws & regulations Greater coordination of local & State-level mandates

Contextual Factors program autonomy and conflicts of interest (related to organizational placement, access to legal counsel, willful interference); personal characteristics of LTCOP staff (leadership, management, advocacy, negotiation skills); relationship with stakeholders; social, political and fiscal climate of the state; financing, number, and type of LTC facilities, services and supports; demographic, socioeconomic, geographic, and health and disability characteristics of consumers, populations and communities – See list of enabling/limiting factors for an expanded set of variables. –

Long-Term Care Ombudsman Program LOCAL/STATE/PROGRAM-LEVEL Logic Model
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Resources/Inputs Activities Outputs Outcomes Enabling legislation/ state mandates Regulations Program standards/ state policies Legal counsel Partnerships/MOUs Training and technical assistance Peer-to-peer support (associations) Staff (paid and volunteer) Funding Data systems & IT

Education and outreach

Systems advocacy

Program quality assurance

Amount of information distributed to stakeholders Hours of training/TA provided to stakeholders # & range of stakeholders reached Amount of other contacts (e.g., presentations) made # public testimonies at hearings, legislative sessions, etc. # written analyses & recommendations # & diversity of stakeholder relationships & diversity of topics Amount of consistent program mgmt & monitoring # coalition/partnerships developed Analysis of efficient provision & use of Federal resources Monitoring of Federal issues

Short-Term Medium-Term Long-Term Meets target/benchmark of Federal stakeholder knowledge of consumer rights, LTCOP among advocates, partner agencies, legislators, and policy makers

Stronger LTCOP staff competencies Meets target/benchmark in AoA monitoring and feedback to State programs Meets target/benchmark of level other Federal funds

Improved Federal stakeholder coordination/ collaboration

Meets target for implementation of best practices Improved mgmt. & allocation of LTCOP resources Meets target/benchmark of diversity of funding

Higher quality of life and care provided to residents More efficient, effective, equitable LTCOP nationwide Meets target/benchmark for promotion and support of person-centered/ individualized care practices through Federal programs (e.g., TA centers, grant opportunities) Enactment, promulgation, refinement, & enforcement of LTCOP-supported laws & regulations Greater coordination of Federal and State-level mandates Meets target/benchmark for consumer protection

Contextual Factors program autonomy and conflicts of interest (related to organizational placement, access to legal counsel, willful interference); personal characteristics of LTCOP staff (leadership, management, advocacy, negotiation skills); relationship with stakeholders; social, political and fiscal climate of the state; financing, number, and type of LTC facilities, services and supports; demographic, socioeconomic, geographic, and health and disability characteristics of consumers, populations and communities – See list of enabling/limiting factors for an expanded set of variables. –

Long-Term Care Ombudsman Program FEDERAL-LEVEL Logic Model
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Activities and Outputs Individual/Consumer Advocacy Amount of service (# referrals, consultations, investigations) Accessibility of service (# facility visits, hours spent at activities, time to follow up)

Systems Advocacy # public testimonies # legal remedies sought # written analyses & recs Identification of emerging issues # stakeholder mtgs # & diversity of stakeholder relationships & diversity of topics Program Quality Assurance Amount of consistent program mgmt & monitoring Analysis of efficiency providing service Rate of complaints against ombudsmen # evidence-based programs implemented Level of access to stakeholders Monitoring of external issues # partnerships developed

Resources/Inputs Outcomes (Consumers) Enabling legislation/ state mandates Regulations Program standards/ state policies Legal counsel Partnerships/MOUs Training and technical assistance Peer-to-peer support (associations) Staff (paid and volunteer)

Funding Data systems & IT

Short-Term Medium-Term Long-Term

Contextual Factors program autonomy and conflicts of interest (related to organizational placement, access to legal counsel, willful interference); personal characteristics of LTCOP staff (leadership, management, advocacy, negotiation skills); relationship with stakeholders; social, political and fiscal climate of the state; financing, number, and type of LTC facilities, services and supports; demographic, socioeconomic, geographic, and health and disability characteristics of consumers, populations and communities - See list of enabling/limiting factors for an expanded set of variables. -

Long-Term Care Ombudsman Program Overarching Logic Model awareness of resident rights, LTCOP & LTCOP advocacy access to services complaint resolution rate/proportion support for councils satisfaction w LTCOP Improved & more efficient services

Improved prevention of problems Support for development/ maintenance of councils Meets target/benchmark for: Consumer confidence raising issues quality of life quality of care resident empowerment repeat complaints & disparities in complaints & resolutions Outcomes (Facilities, Programs, Systems) Short-Term Medium-Term Long-Term Facilities provider knowledge of consumer rights, LTCOP Improved prevention of problem consistency & efficiency of LTCOP services perception of professionalism/helpfulness

Facilities provision of information/resources to support person-centered care provided by staff Improved mgmt & allocation of LTCOP resources coalition/stakeholder engagementFacilities quality of life for residents quality care provided to residents Improved person-centered care policies/legislation/regulation repeat offenses & disparities in complaints & offenses Local/State/Programs Improved stakeholder collaboration/ coordination stakeholder advocacy on behalf of LTCOP issues implementation of best practices Improved mgmt & allocation of LTCOP resources

Local/State/Programs quality of life for residents quality care provided to residents Improved person-centered care practices & policies Enactment, promulgation, refinement & enforcement of LTCOP-supported laws & regulations including consumer protection coordination of local/State/Federal mandates

Local/State/Programs stakeholder knowledge of consumer rights, LTCOP, understanding of program among advocates, partner agencies, legislators, policy makers. Stronger LTCOP staff competencies & sensitivities Federal stakeholder knowledge of consumer rights, LTCOP, understanding of program among advocates, partner agencies, legislators, policy makers Stronger LTCOP staff competencies AoA monitoring & feedback to State programs other Federal funds

Education and Outreach Amount of info distributed # people & orgs reached # citizens' organizations promoted Hours training/consultations provided # facility-level stakeholder mtgs
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Appendix E: Cross Walk Matrix

Evaluation Goal Evaluation Question

Respondents/Data 

Sources

Data Collection 

Method Outputs/Outcomes Captured

(1) Documentation of 

Ombudsman 

practices, 

approaches and 

processes, 

including analysis 

of the similarities 

and differences 

across State 

programs

 How is the LTCOP 

structured and how 

does it operate at the 

local, State and Federal 

levels?

 How do LTCOPs use 

existing resources to 

resolve problems of 

individual residents and 

to bring about changes 

at the facility and 

governmental (local, 

State and Federal) 

levels that will improve 

the quality of services 

available/provided?

 With whom do LTCOPs 

partner with and how 

do LTCOPs work with 

partner programs?

 Local, State, and 

Federal LTCOP staff

 LTCOP volunteers

 Program partners

 Facilities

Records review

 Program records

 Publications

 Existing data sources

Commissioned papers

Core & Modular 

Process Data

 Interviews

 Surveys

 Focus groups

Modular Process Data

 Media tracking

 Policy analysis

Case Studies

Ecological Study

Individual/Consumer advocacy

 Amount of service (referrals, consultations, 

investigations)

 Accessibility of services (# facility visits)

Education and Outreach

 Amount of info distributed

 # of people & orgs reached

 # citizens’ organizations promoted

 Hours training/consultations provided

 # facility-level stakeholder mtgs

Systems Advocacy

 # public testimonies

 # legal remedies sought

 # written analyses & recs

 # stakeholder mtgs

 # & diversity of stakeholder relationships & 

diversity of topics

Program Quality Assurance

 Amount of consistent program mgmt and 

monitoring

 Analysis of efficiency providing service

 Rate of complaints against ombuds

 # evidence-based programs implemented

 # partnerships developed
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Evaluation Goal Evaluation Question

Respondents/Data 

Sources

Data Collection 

Method Outputs/Outcomes Captured

(2) Provision of 

feedback to Federal, 

State and local 

program staff about 

what is working and 

areas for 

improvements in the 

Long-Term Care 

Ombudsman Program

 How does the LTCOP 

provide feedback on 

successful practices 

and areas for 

improvement?

 Local, State, and 

Federal LTCOP staff 

 LTCOP volunteers

Core & Modular 

Outcomes Data

 Interviews

 Surveys

 ACL monitoring and feedback to State programs

 Improved, consistent, national reporting system

(3) Documentation of 

the outcomes of the 

Long-Term Care 

Ombudsman Program

 Are the critical 

functions, including 

mandated 

responsibilities, of the 

LTCOP at the local, 

State and Federal 

levels carried out 

effectively and 

efficiently?

 How effective is the 

LTCOP in ensuring 

services for the full 

range of residents of 

LTC facilities, including 

older individuals with 

the greatest economic 

and social needs?

 What impact do 

LTCOPs have on LTC 

practices, programs 

and policies?

 What impact do 

LTCOPs have on 

residents’ health, 

safety, welfare and 

rights?

 Consumers

 Facility staff

 Local and State 

LTCOP staff

 Staff of partner 

agencies/orgs

 Staff of advocacy/ 

consumer groups

 Associations

 Resident & family 

councils

Records review

 Policy documents, 

testimony, comments 

on laws, etc.

 State and local 

records

NORS data

Core & Modular 

Outcomes Data

 Interviews

 Surveys

 Focus groups

Modular Outcomes 

Data

 Media tracking

 Legislative history

Cohort Study

Ecological Study

 Awareness of resident rights, LTCOP, and

LTCOP advocacy

 Consumer access to services

 Complaint resolution proportion/rate 

 Support for development and maintenance of 

resident/family councils

 Consumer satisfaction with LTCOP

 Efficiency of services

 Consumer confidence raising issues

 Prevention of problems

 Provider knowledge of consumer rights

 Facility perception of LTCO professionalism and 

helpfulness to residents and facility

 Consistency and efficiency of LTCOP services 

 Facility perception of LTCO provision of 

information and resources to support personcentered care provided by staff 

 Coalition/stakeholder engagement

 Facility perception of management and 

allocation of LTCOP resources

 Facility coalition/stakeholder engagement 

 Stakeholder knowledge of consumer rights and

LTCOP

 Stakeholder collaboration

 Strong LTCOP staff competencies & sensitivities 

 Optimal mgmt. & allocation of LTCOP resources
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Evaluation Goal Evaluation Question

Respondents/Data 

Sources

Data Collection 

Method Outputs/Outcomes Captured

(4) Measurement of 

program efficiency 

and the collection of 

program cost data to 

support program 

planning and to justify 

program continuation 

and/or expansions

 Are the critical 

functions, including 

mandated 

responsibilities, of the 

LTCOP at the local, 

State and Federal 

levels carried out 

effectively and 

efficiently? 

 How effective is the 

LTCOP in ensuring 

services for the full 

range of residents of 

LTC facilities, including 

older individuals with 

the greatest economic 

and social needs?

 How cost-effective is 

the LTCOP at the local 

and State levels?

 LTCOP staff 

 Facility staff

 Staff of partner 

organizations/

agencies

 Staff of consumer/ 

advocacy 

organizations

Records reviews (cost 

and performance)

Cost analyses

Core Outcomes Data

 Interviews

 Surveys

 Consistent national reporting system

 Efficiency in response to local/State/program 

issues

 Optimal management & allocation of LTCOP 

resources

 Diversity of funding (non-federal, nongovernmental)
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Appendix F: Data Elements

Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Process Core

Federal: ACL Staff

Program operations x

Feedback to and monitoring of state programs x

Adequacy of resources x

Barriers to effective operation x

Interactions with state programs x

Inter-organizational relationships x

Use of program data for strategic planning x

Federal: National Ombudsman Resource Center

Role/relationship with LTCOP x

Interactions with state programs x

Interactions with local programs x

Successful programmatic approaches x

Barriers to effective operation x

Federal: NASOP/NALLTCO/NASUAD

Role/relationship with LTCOP x x

Definition of systems advocacy issues x x

Opportunities, challenges for systems 

advocacy x x

Extent of involvement in LTCO-led systems 

advocacy x x

Federal: CMS

Role/relationship with LTCOP x

State Ombudsmen
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Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Program operations x

Organizational placement x x

Interactions with local programs x

State mandates x x

Program autonomy x

Conflicts of interest x

Adequacy of resources (funding, staffing) x

Inter-organizational relationships x

Capacity building x

Political and fiscal context x

Main activities by type of facility x

Successful programmatic approaches x

Barriers to effective operation x

Ombudsmen characteristics x x

Data management systems x

Cost data x x

Funding sources x x

Designation of local programs x x

Legal counsel x

Access to resident, records, facility x

Feedback to and monitoring of, local programs x

Transition to less restrictive settings x

Use of program data for strategic planning x

Management and allocation of resources x

Disclosure confidentiality x

MOUs x

Adequate access to or control over program 

resources, budget and expenditures x
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Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Ombudsmen characteristics (tenure, etc.) x x

Leadership x

Barriers to effective operation x

Legislative activities (briefings, drafting 

legis/reg, comments on legis/reg) x x x x

Testimony prepared/delivered, setting/context x x x x

Written policy analyses/reports prepared, 

disseminated x x x x

Advocacy partners/stakeholders, identity & 

frequency of contact x x x x

Work group participation/leadership x x x x

Media contacts/interviews, press releases x x x x x

Training related to systems advocacy x x x

Local Ombudsmen and Paid Staff

Program operations x

Ombudsmen characteristics x x

Organizational placement x x

Interactions with state programs x

Adequacy of resources x

Inter-organizational relationships x

Supervision of ombudsmen x

Main activities by type of facility x

Clarity of roles x

Access to residents, records, facility x

Data management systems x x

Cost data x x

Program size x

Rural vs. urban placement x

Location in AAA or other x
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Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Management and allocation of resources x

Assignment to type of LTC facility x

Lines of authority x

Barriers to effective operation x

Legislative activities (briefings, drafting 

legis/reg, comments on legis/reg) x x x x

Testimony prepared/delivered, setting/context x x x x

Written policy analyses/reports prepared, 

disseminated x x x x

Advocacy partners/stakeholders, identity & 

frequency of contact x x x x

Work group participation/leadership x x x x

Media contacts/interviews, press releases x x x x x

Training related to systems advocacy x x x

Volunteer Ombudsmen

Ombudsmen characteristics x x

Training x x

Skills x x

Qualifications x x

Clarity of roles x

Assignment to type of LTC facility x

Location in AAA or other x

Guidance on advocating for special 

populations x

Supervision of volunteers x

Lines of authority x

Relationship with facility staff x

Barriers to effective operation x

Legislative activities (briefings, drafting 

legis/reg, comments on legis/reg) x x x x
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Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Testimony prepared/delivered, setting/context x x x x

Advocacy partners/stakeholders, identity & 

frequency of contact x x x x

Work group participation/leadership x x x x

Media contacts/interviews, press releases x x x x x

Training related to systems advocacy x x x x

Facility administrators and staff

Interactions with ombudsmen programs x

Visitation and complaint resolution process x

Educational activities x

Consultations x

Perceived role of ombudsmen x

Perceived role of volunteers x

Type of facility x

Size of facility x

Medicare/Medicaid x

Workforce issues x

Participation in resident and family councils x

Role/relationship with LTCOP x x

Definition of systems advocacy issues x x

Opportunities, challenges for systems 

advocacy x x

Extent of involvement in LTCO-led systems 

advocacy x x

Resident & Family Council Members, LTC 

consumers & caregivers

Role/relationship with LTCOP X x

Definition of systems advocacy issues X x

Opportunities, challenges for systems 

advocacy X x
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Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Extent of involvement in LTCO-led systems 

advocacy X x

Outcomes Core

State, Local and Volunteer Ombudsmen

Perceived effectiveness in systems advocacy 

overall x x x

Program/policy/practice changes toward 

person-centered or individualized care x x x x

Additional funds for LTC or LTCO as result of 

systems advocacy x x x x

Specific advocacy issues placed on policy 

agenda at state, regional, local level x x x x

Policies/regulations/program changes including 

enforcement adopted or blocked x x x x

LTCOP complainants

Demographic and health information x

Demographic information on ombudsman x

Volunteer or paid status of ombudsman x

Manner of accessing ombudsman x

Ease of contacting ombudsman x

Type of complaint x x

Complexity of complaint x

Time to initiate processing of complaint x x

Resolution time x x

Result of complaint investigation x x

Consumer satisfaction with resolution x x

Substantiated referrals x

Willingness to use LTCOP services again x

Willingness to recommend services x

Availability of other options to pursue complaint x
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Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Perception of effectiveness of ombudsman x

Type of facility x

Size of facility x

Facility ID code x

LTSS consumers 

LTSS consumers awareness of resident rights, 

LTCOP and LTSS x x

Accessibility of services x x

Availability of services x x

Council participation x x

Unmet need x x

Perception of role of ombudsmen x x

Perception of role of volunteers x x

Prevention of problems x

Facility administrators and staff

Provider knowledge of resident rights, LTCOP 

and LTSS x

Willingness to contact LTCOP x

Perception of effectiveness x

Referral of program to residents and their 

families x

Recognition of LTCOP's value x

Change in practices x

Change in policies x

Stakeholders

Knowledge of resident rights, LTCOP and 

LTSS x

Inter-organizational relationships x

Coalitions x
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Existing Data New Data

Data Elements

Program 

Records NORS MDS CASPER In-person Interview

Telephone 

Interview Survey Focus Group

Media 

Tracking

Policy 

Analysis

Cohort 

Study

Participation in surveys x

Strength of supporting agency/stakeholder x

Perception of ombudsman leadership x

Resident & Family Council Members, LTC 

consumers & caregivers

Perceived effectiveness of LTCO x X x

Program/policy/practice changes toward 

person-centered or individualized care x x

Additional funds for LTC or LTCO as result of 

systems advocacy x x

Specific advocacy issues placed on policy 

agenda at state, regional, local level x x

Policies/regulations/program changes including 

enforcement adopted or blocked x x

Process and Outcomes Modular Topics

State mandates: home care responsibility x x

State mandates: mandated reporter, 

investigation of abuse, neglect, exploitation x

Significant time devotion to systems advocacy 

work x x x

Rebalancing & transition to least restrictive 

settings: nursing home closures, Money 

Follows the Person demonstrations, 

involuntary discharges

x x x

Natural disasters x x

Consumer financial protection x x

Efforts at culture change x x

Absence of volunteers x x

Senior Medicare Patrol (SMP) collaboration x x

Behavioral/mental health: dementia among 

LTCO clients, safety threat to LTCO clients by 

other residents

x x
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Appendix G: Micromaps
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Information on “Independence from SUA” was drawn from the “Ombudsman Quick Tip Sheet” prepared 

by Carol Scott and passed out at the 2012 NASOP meeting.
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Appendix H: Annotated Bibliography on Data 

Collection Tools & Data Sources

AGing Integrated Database (AGID)

The Administration on Aging (AoA) maintains the Aging Integrated Database (AGID), an on-line query 

system based on AoA-related data files and surveys, including State Program Reports (SPR) 2005-2010, 

National Ombudsman Reporting System (NORS) 2000-2010, Title VI Services by Tribal Organization 

2002-2010, National Survey of OAA Participants 2003-2011, and National Survey of Area Agencies on 

Aging (AAAs) 2005/2006. To aid the interpretation of Older Americans Act (OAA) program information, 

Census data on the 60 and older population are also available through AGID. These include the American 

Community Survey (ACS) Demographic Data 2004-2010, Population Estimates Data (2000-2011), and 

Census 2010.

There are four options to access the data, depending on the particular level of focus and data aggregation, 

from single data elements with Data-at-a-Glance to more expansive views of the data through State 

Profiles, Custom Tables, and Data Files – the last of which offers full database access to facilitate more 

detailed analyses. For example, estimates can be quickly tabulated and supplemented by maps and charts 

through Data-at-a-Glance while Custom Tables allows users to generate detailed, multi-year tables and 

output the results in print or spreadsheet form.

Data provided by AGID may be useful for understanding state-by-state variation as well as the context 

within which the LTCOP operates, particularly with respect to population and client characteristics 

(demographic and disability data), types and levels of services, expenditures of funds, and SUA and AAA 

administration, including staffing levels and responsibilities. The web address for AGID is 

www.agidnet.org.

Customer Satisfaction Surveys

LTCOP customer satisfaction surveys are administered in several states throughout the country and may 

serve as useful guides for developing measures for consumer-related outcomes. One such example is the 

LTCOP Customer Satisfaction Survey administered by the Program Integrity Section of the Georgia 

Division of Aging Services. For this survey, representatives call or visit residents who have consented to 

be interviewed and ask them a series of questions about their encounter with the LTCOP and their 

perception of the assistance provided. The table below identifies several questions in the Customer 
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Satisfaction Survey that relate to consumer-level outcomes of interest in the proposed LTCOP evaluation 

design.

Georgia Office of the State Long-Term Care Ombudsman Consumer Satisfaction Survey 

Outcome Survey Question

Consumer satisfaction 

with LTCOP

 How satisfied were you with the length of time the process took to finish working on 

your concerns?

 How well did the LTCOP involve you in the plan to work on your concerns?

 In general, how satisfied were you with the individual ombudsman who assisted you 

with this particular case?

 How helpful was the LTCOP to you?

 Would you use the services of the LTCOP again if the need arises or recommend 

this program to a friend?

 Was there anything else the LTCOP could have done to assist you with the problem 

you reported?

 How could we make the LTCOP service better?

Awareness of LTCOP  Was there an LTCOP poster displayed in a visible and prominent location?

Consumer access to 

services

 How did you hear about the LTCOP?

 Did you initiate contact with the LTCOP?

- If, yes, what method was used?

- If yes, how easy was it to contact the LTCOP?

- If yes, how soon did the LTCOP respond to your contact?

Source: Georgia Department of Human Services, SFY 2012 Long-Term Care Ombudsman Customer Satisfaction 

Survey for SFY2011 Services.

While survey questions on consumer perception of LTCOP services will likely differ in other states, these 

existing customer satisfaction surveys are useful for informing new data collection efforts. Questions can 

be developed and standardized across states for consistency and comparison purposes and programs’ 

experience with various methods for survey administration to residents or family members can also be 

taken into account. Copies of customer satisfaction surveys are available through states as well as the 

National Ombudsman Resource Center (see entry below).

Long-Term Services and Supports (LTSS) Scorecard38

AARP, The Commonwealth Fund, and the SCAN Foundation have developed measures to assess state 

long-term services and supports (LTSS) system performance by compiling data from a variety of sources, 

including the Centers for Medicare and Medicaid Services (CMS), the U.S. Census Bureau, and AARP. 

The Scorecard provides data on all states for 25 indicators grouped along four dimensions: (1) 

affordability and access; (2) choice of setting and provider; (3) quality of life and quality of care; and (4) 

 

38 Reinhard SC, Kassner E, Houser A, & Mollica R. September 2011. Raising Expectations: A State Scorecard on Long-Term Services 

and Supports for Older Adults, People with Physical Disabilities, and Family Caregivers. AARP, The Commonwealth Fund, and the 

SCAN Foundation.
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support for family caregivers. The Scorecard ranks states from highest to lowest performance on each of 

these indicators. Of these indicators, the dimension on quality of life and quality of care may be 

particularly relevant for the purposes of the LTCOP evaluation. The table below lists each of the 

dimensions and their associated indicators.

Dimension and Indicator Year

Affordability and Access

Median annual nursing home private pay cost as a percentage of median household income age 65+ 2010

Median annual home care private pay cost as a percentage of median household income age 65+ 2010

Private long-term care insurance policies in effect per 1,000 population age 40+ 2009

Percent of adults age 21+ with ADL disability at or below 250% of poverty receiving Medicaid or other 

government assistance health insurance

2008-09

Medicaid LTSS participant years per 100 adults age 21+ with ADL disability in nursing homes or 

at/below 250% poverty in the community

2007

ADRC/Single Entry Point functionality (composite indicator, scale 0–12) 2010

Choice of Setting and Provider

Percent of Medicaid and state-funded LTSS spending going to HCBS for older people and adults with 

physical disabilities

2009

Percent of new Medicaid LTSS users first receiving services in the community 2007

Number of people consumer-directing services per 1,000 adults age 18+ with disabilities 2010

Tools and programs to facilitate consumer choice (composite indicator, scale 0–4) 2010

Home health and personal care aides per 1,000 population age 65+ 2009

Assisted living and residential care units per 1,000 population age 65+ 2010

Percent of nursing home residents with low care needs 2007

Quality of Life and Quality of Care

Percent of adults age 18+ with disabilities in the community usually or always getting needed support 2009

Percent of adults age 18+ with disabilities in the community satisfied or very satisfied with life 2009

Rate of employment for adults with ADL disability ages 18–64 relative to rate of employment for adults 

without ADL disability ages 18–64

2008-09

Percent of high-risk nursing home residents with pressure sores 2008

Percent of long-stay nursing home residents who were physically restrained 2008

Nursing home staffing turnover: ratio of employee terminations to the average number of active 

employees

2008

Percent of long-stay nursing home residents with a hospital admission 2008

Percent of home health episodes of care in which interventions to prevent pressure sores were 

included in the plan of care for at-risk patients

2010

Percent of home health patients with a hospital admission 2008

Support for Family Caregivers

Percent of caregivers usually or always getting needed support 2009

Legal and system supports for caregivers (composite indicator, scale 0–12) 2008-10

Number of health maintenance tasks able to be delegated to LTSS workers (out of 16 tasks) 2011

For the LTCOP evaluation, the Scorecard data identifies the highest need areas in each state. Low scores 

on certain indicators may represent areas that pose particular challenges to LTCOPs in those states and 
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may help account for factors affecting LTCOP performance. Because the data on these measures come 

from several different data collection efforts, moreover, an exploration of these sources may lead to other 

potentially useful information on LTSS in each state.

Minimum Data Set (MDS)

The Minimum Data Set (MDS) is a standardized, primary screening and clinical assessment of health 

status of all residents in Medicare or Medicaid certified nursing homes, regardless of the individual 

resident’s source of payment. MDS is part of the Resident Assessment Instrument (RAI), a federally 

mandated process designed to comprehensively assess each resident’s functional capacity and to guide 

care planning in nursing homes. MDS 3.0 includes residents in the assessment process and contains 

measures for the following domains: physical, clinical, psychological, psycho-social functioning, and life 

care wishes. As a condition of participation in the Medicare and Medicaid programs, long-term care 

facilities are required to complete and electronically transmit MDS information to a designated state 

agency. This information is subsequently captured into the national MDS database which is maintained 

by CMS.

Information on resident characteristics is important for the LTCOP evaluation, but given that 

CASPER/QIES also contains this information (in addition to facility characteristics), we focus our 

attention on CASPER/QIES as a potential data source in this review. 

National Ombudsman Resource Center (NORC)

The National Long-Term Care Ombudsman Resource Center (NORC) provides support, technical 

assistance, and training to state and local programs. NORC is a rich source of material on the LTCOP’s 

history, operations, program and volunteer management, best practices, accomplishments, advocacy 

efforts, training materials, customer satisfaction surveys, summaries of annual meetings, and general 

resources for ombudsmen. The range of information NORC provides on ombudsman activities is 

extensive and particularly helpful for the process evaluation of the LTCOP. The web address for NORC is 

www.ltcombudsman.org. For relevant information not found on the website, Lori Smetanka, Director, 

and Sara Hunt, Consultant, are the key contacts.

National Ombudsman Reporting System (NORS)

The National Ombudsman Reporting System (NORS) is the administrative reporting system for the 

LTCOP. Collected since 1996, NORS provides national and state-specific summaries of programmatic 

efforts, including facility visits, complaint investigations, consultations, staffing, resident and family 
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councils, community outreach and education, and systems advocacy, among others. States report 

aggregated data annually to the AoA, which is then summarized into NORS. The reporting contains 

information on not only nursing homes but any type of unregulated and regulated long-term care setting, 

including nursing facilities, board and care, assisted living, residential care and other settings. Data from 

NORS 2000-2010 may be accessed through AGID (discussed above). Each state is also asked to submit a 

narrative section which describes systems advocacy work during the reporting period and identifies 

priorities in long-term care issues and barriers and efforts to address their resolution. These qualitative 

data are not included in NORS but can be accessed through the Ombudsman Program Specialist, Louise 

Ryan, at the AoA.

Nursing Home Enforcement Data – Certification and Survey Provider 

Enhanced Reporting system and the Quality Improvement Evaluation 

System (CASPER/QIES)

Formerly the Online Survey Certification and Reporting (OSCAR) file, the Certification and Survey 

Provider Enhanced Reporting (CASPER) system and the Quality Improvement Evaluation System 

(QIES) replaced the CMS’s OSCAR administrative database in July 2012. Maintained by CMS in 

cooperation with state survey agencies, CASPER/QIES includes detailed information on all institutional 

health care providers certified to provide services under either Medicare and/or Medicaid and represents 

the most comprehensive source of information on facilities, patient characteristics and regulatory

compliance of nursing homes.

CASPER/QIES is potentially of great value for the LTCOP evaluation because the nursing home data it 

contains can provide contextual information on the facilities and their residents. The data, however, are 

limited to residential settings that participate in the Medicare and Medicaid programs; CASPER/QIES 

does not have data on assisted living facilities or other types of long-term care facilities not certified by 

Medicare or Medicaid. States may collect data on the facilities they regulate, but the form and quality of 

these data vary by state. Among the evaluation activities that NORC is proposing, these data may be used 

as part of the analysis of NORS, state certifications and CASPER/QIES data on nursing home complaints 

comparing LTCOP and non-LTCOP users as well as the ecological study on systems advocacy. However, 

it should be noted that some data cleaning of duplicate reporting is required, because the same cases may 

be reported to both the LTCOP and to state surveyors.

Data details. CASPER contains data that facilities submit by completing two forms, Form CMS-671 and 

Form CMS-672. Form 671 contains information about the facility such as ownership and staffing. Form 

672 contains information on the residents in the facility, such as mobility and mental status. CASPER 
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also contains data on deficiencies identified at these facilities during the standard survey. This data can be 

linked to the complaint survey database with the facility identifier.

Obtaining the data. While CASPER/QIES data can be obtained directly from CMS, any new data 

collected overwrites the previous data. Because Form 671 data on facility characteristics overwrites the 

previous year’s data, CMS would only have one year of data available, while the Form 672 data on 

resident characteristics overwrites the fourth oldest record. Cowles Research Group (CRG), an 

independent research company specializing in customizing information extracted from government health 

databases, archives CASPER/QIES data in order to make historical data available. To purchase the four 

most recent years of data for the whole country, the cost would be approximately $2,200.39 The complaint 

survey database costs $750 if purchased with the CASPER/QIES data. The lag time for obtaining statespecific data varies and may be as little as a month. To obtain data on all states, the lag time is 9 months 

(which allows for some late data submitters). CRG receives monthly CASPER reports and archives and 

cleans the data and formats it according to the specifications of the software being used for the analysis.40

The following is the main contact information for CRG:

Mick Cowles

Cowles Research Group

www.LongTermCareInfo.com

(202) 903-2403 voice

(509) 984-2403 fax

Nursing Home Inspect

Developed by investigative journalism newsroom ProPublica, Nursing Home Inspect is a consumertargeted, online tool that allows users to search government nursing home inspection reports and 

deficiencies. The Nursing Home Inspect database uses data from surveyor reports published on CMS’s 

Nursing Home Compare website and currently covers over 118,000 deficiencies at 14,565 homes (there 

are over 15,000 nursing homes in the U.S. and ProPublica will add new inspection reports in the future as 

CMS releases them). Unlike the CMS site, however, Nursing Home Inspect enables users to search by 

keyword, city, and facility name and sort results by state or severity level. In addition, searches can be 

performed across all reports simultaneously. 

 

39 The Troyer and Sause (2011) study upon which this evaluation activity is based, compared complaint handling over a four year period 

by two different agencies – the LTCOP and the North Carolina Division of Health Service Regulation (the state certification agency), 

drawing on complaint data from NORS and state certifications and facility measures from (then) OSCAR. 

40 This source of this information is Cowles Research Group (http://www.longtermcareinfo.com/index.html) and will be confirmed with 

CMS. At present, however, there is no information about how to access this data through CMS’ website.
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The ProPublica project relies on narrative reports of surveyors’ most recent periodic review (known as 

standard surveys) where nursing home conditions and deficiencies are described as well as complaint 

investigations from the past 12 months. The majority of deficiencies in Nursing Home Inspect are from 

the beginning of 2011 and beyond, while approximately 2,700 are from 2009 and 2010. These narrative 

data are not available through CRG (see above) although CASPER/QIES data do include the specific 

deficiency (tag number) cited and its scope and severity level.

It should be cautioned that Nursing Home Inspect results are a snapshot and not necessarily 

comprehensive of nursing homes nationwide. Any new deficiencies identified by CMS during follow-up 

visits after a standard survey is completed are not currently included in the narratives that are posted 

online. Additionally, inspection reports focus only on a facility’s problems, and do not highlight the 

improvements that nursing homes have made.

The web address for Nursing Home Inspect is projects.propublica.org/nursing-homes. 

Program Records

State program records are an essential source of data for understanding the structure and operations of the 

LTCOP. Of particular interest for the LTCOP evaluation is the availability of information in the 

following areas: characteristics of paid and volunteer staff (including demographics, skills, qualifications, 

and tenure), training and management of staff, cost data, funding sources, and organizational placement at 

the state and local levels. In addition, information regarding specific data systems is critical for 

understanding the availability and accessibility of data. For example, states using OmbudsManager may 

be in a position to provide detailed information on programmatic activities (e.g., response and resolution 

times for various types of complaint investigations, service delivery broken out by paid and volunteer 

ombudsman) than those without a similar system. Given the diversity in data collection systems and 

access to budgets across programs, however, the ability of state programs to provide certain data 

(program activities, costs, staffing, surveys, etc.) should be confirmed by direct conversation with 

individual ombudsmen. 
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Appendix I: Data Collection Tools & Sources Chart

Outcome

Data collection 

target

Qualitative, 

numeric, or 

categorical? Data element to measure outcome

Existing data 

source?

New data 

collection 

method?

Consumer-level Outcomes

Awareness of resident 

rights, LTCOP, & LTCOP 

advocacy

Resident/family Qualitative; 

categorical

Questions related to awareness (e.g., Do you know what 

services the LTCOP provides?; Are you aware of your rights 

as a resident? Can you summarize residents' rights?)

Surveys, 

focus groups

Consumer access to 

services (complaint 

handling, consultations, etc.)

Resident/family Qualitative; 

categorical

Questions related to perception of ease and manner of 

accessing ombudsmen, timeliness of response; Questions 

about the posting of information about residents rights and/or 

poster about the LTCOP; Has anyone discussed your rights 

with you or do you know where to find that information?

Surveys, 

focus groups, 

cohort study

Ombudsmen Numeric Frequency of facility visit NORS 

Complaint resolution 

rate/proportion 

Ombudsmen 

(collecting data 

on complaint)

Numeric; 

qualitative; 

categorical

Rate calculation includes cases opened, cases resolved, time 

to resolve, complexity of case; Do you believe the 

ombudsman resolved your complaints to the best of his/her 

ability? Did the ombudsman do everything he/she could to 

resolve your complaints?

Cohort study

Numeric Complaints resolved to the satisfaction of resident or 

complainant; complaints verified NORS

Numeric Complaints substantiated CASPER/QIES

Support for development 

and maintenance of 

resident/family councils

Resident/family Qualitative; 

numeric

Questions about whether LTCOP provides adequate 

technical assistance and promotes participation in councils as 

well as alternative forms of resident councils (fireside chats, 

etc.)

Surveys, 

focus groups
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Outcome

Data collection 

target

Qualitative, 

numeric, or 

categorical? Data element to measure outcome

Existing data 

source?

New data 

collection 

method?

Consumer satisfaction with 

LTCOP

Resident/family Qualitative; 

categorical

Questions about satisfaction with consumer problem solving, 

consultations, and education services, participant satisfaction 

with staff ability to listen, to understand and to address issues 

apart from the outcome itself 

Customer 

Satisfaction 

Surveys

Surveys, 

focus groups

Ombudsmen 

(collecting data 

on behalf of 

complainant)

Numeric

Complaints resolved to the satisfaction of resident or 

complainant NORS Cohort study

Efficiency of services

Ombudsmen 

(collecting data 

on complaint)

Numeric Response time to complaints; resolution time of complaints NORS Cohort study

Ombudsmen Numeric

Cost per service; questions about medical services utilization 

that resulted from abuse or other complaints; cost-benefit 

ratios

Program cost 

data

Consumer confidence 

raising issues Resident/family Qualitative; categorical

Questions about consumer confidence in raising issues to 

LTCOP

Surveys, 

focus groups

Prevention of problems

Resident/family

Qualitative; 

categorical

Questions about the extent to which consumers feel the 

presence of the ombudsman program keeps residents safe 

and protects their rights

Surveys, 

focus groups

Former 

residents of 

nursing homes

Focus groups

Facility Level Outcomes

Provider knowledge of 

consumer rights, LTCOP Facility Qualitative; categorical

Questions about ability to summarize residents' rights, 

understanding of the LTCOP's role, types of services it 

provides, identification of their ombudsmen, and residents' 

ability to reach the LTCO

Surveys

Prevention of problems

Ombudsmen Numeric

Reduction in repeat complaints; reduction in the number of 

facilities that have multiple complaints in the same complaint 

category

NORS, 

CASPER/QIES

Facility Qualitative

Question about awareness of and prevention of problems due 

to LTCO intervention; Questions about the inclusion of any 

education/training provided to facility staff by the LTCOP 

where there have been repeat complaints and/or facility staff 

request for training in areas of complaints; Questions about 

the ability of the LTCOP to keep problems from escalating 

into a bigger issue

Surveys
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Outcome

Data collection 

target

Qualitative, 

numeric, or 

categorical? Data element to measure outcome

Existing data 

source?

New data 

collection 

method?

Perception of ombudsmen 

professionalism and 

helpfulness to residents and 

facility

Facility Qualitative

Questions include: Does the ombudsman conduct him/ 

herself in a professional manner?; Has the LTCOP been 

helpful to residents in your facility?; To your facility?; Does 

the ombudsman consistently conduct himself/herself in a 

manner that represents the interests of the residents even 

when that may be in conflict with the facility viewpoint? 

Surveys

Consistency and efficiency 

of LTCOP services

Facility Qualitative

Questions include (and identifying whether the ombudsman 

assigned is a volunteer or a paid staff person): Has your 

facility had more than one ombudsman assigned during the 

past year?; If so, were there any differences between the 

effectiveness of these ombudsmen?

Surveys

Ombudsmen Numeric Turnover rates among state ombudsmen Program data

Ombudsmen provision of 

information and resources to 

support person-centered 

care provided by staff

Facility Qualitative

Questions about providing information on "person-centered 

care" to facilities or the effect of the ombudsmen on personcentered care Surveys

Management and allocation 

of LTCOP resources Facility Qualitative

Questions include: Does the ombudsman assigned to your 

facility seem to be adequately trained and supervised?; Does 

the ombudsman visit the facility often enough to be familiar 

with residents?; Does the ombudsman come to facilities 

prepared?

Surveys

Coalition/stakeholder 

engagement Facility Qualitative; categorical

Questions include: If residents of your facility have problems 

that require help from organizations outside the facility, is the 

ombudsman able to effectively identify and engage those 

organizations?; Does the ombudsman encourage the facility 

to identify and engage outside resources?; Does the LTCO 

encourage facility participation in initiatives, such as 

Advancing Excellence, Culture Change Coalitions, or other 

nursing home or board and care initiatives?

Surveys
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Outcome

Data collection 

target

Qualitative, 

numeric, or 

categorical? Data element to measure outcome

Existing data 

source?

New data 

collection 

method?

Local/State/Program-level 

Outcomes

Stakeholder knowledge of 

consumer rights, LTCOP 

and understanding of 

program among advocates, 

partner agencies, legislators 

and policy makers

Advocates, 

partner 

agencies, 

legislators, 

policy makers

Qualitative; 

categorical

Questions include: Do legislators and policymakers consult 

with the LTCOP as they draft legislation/policy affecting 

residents or adult care facilities?; Is the ombudsman program 

effective in addressing residents' rights, care and protection?;

What might make it more effective?

Surveys, 

interviews

LTCOP staff competencies Ombudsmen Qualitative; 

categorical

Questions related to staff's perception of their knowledge, 

understanding of their role, desire for additional training, 

value of existing training, receipt of adequate training and 

supervision, and whether certain job responsibilities are 

difficult to meet on a routine basis

Surveys, 

interviews

Stakeholder collaboration

Partner 

agencies; 

advocates; 

legislators, 

policy makers

Qualitative; 

categorical

How does the LTCOP collaborate with critical partners? 

State Plans Surveys, 

interviews

Ombudsmen Qualitative

What workgroups, task forces, agencies, and/or organizations 

do you participate with in your advocacy efforts?; What policy, 

legislative, or administrative advocacy has the LTCOP 

participated in? What were the outcomes of that work? How 

did the LTCOP contribute to those positive outcomes or 

prevent policies that would have been problematic for 

residents? 

Surveys, 

interviews
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Outcome

Data collection 

target

Qualitative, 

numeric, or 

categorical? Data element to measure outcome

Existing data 

source?

New data 

collection 

method?

Management and allocation 

of LTCOP resources

Ombudsmen Qualitative

Questions related to budgeting challenges and staffing issues 

(e.g., approach to volunteer outreach and adequate staff 

training and supervision)

Surveys, 

interviews

Numeric

Average program cost per staff ombudsman; average cost 

per certified ombudsman (staff or volunteer); average number 

of complaints/consultations per staff ombudsman; average 

number of complaints/consultations per certified ombudsman; 

average number of resolved complaints per staff 

ombudsman; average number of resolved complaints per 

certified ombudsman; program budgets relative to number of 

facilities/agencies (e.g., home health) under LTCOP purview; 

time spent per facility, per resident, dividing up FTEs by 

residents and facilities. In looking at dollars, questions about 

the full dimension of the program including systemic 

advocacy, training, home care complaints, etc. 

Program cost 

data Cohort study

Federal-Level Outcomes

Federal stakeholder 

knowledge of consumer 

rights, LTCOP, among 

advocates, partner 

agencies, legislators, and 

policy makers

Federal 

legislators; 

national 

stakeholder 

organizations

Qualitative; 

categorical Interviews

LTCOP staff competencies ACL All Interviews

ACL monitoring and 

feedback to State program 

ACL Qualitative; 

numeric Interviews

State 

ombudsmen

Qualitative; 

numeric

Do you receive feedback in response to data that are 

submitted? Interviews 

Level of other Federal funds ACL Numeric Percentage of program funding from sources other than the 

ACL

Program 

revenue data

Federal stakeholder 

coordination/collaboration

Federal 

legislators; 

national 

stakeholder 

organizations

Qualitative; 

categorical Interviews

ACL Qualitative; 

categorical Interviews

Management and allocation 

of LTCOP resources ACL Numeric

Program cost 

data