Investigation: Gathering Information There are a number of other officials whose responsibilities include investigating complaints or conditions in long-term care facilities. Some of these are: surveyors for the licensing and certification agency or the Fire Marshall’s office, law enforcement officials, and adult protective services workers. Each of these has its own set of rules and standards of evidence that must be met in order to determine the validity of the complaint and any corrective actions or penalties that might be applied. Sometimes others expect a LTCO’s investigation to adhere to the standards of investigation used in their job. As a LTCO, your investigation and actions do not have to comply with the standards others use. Your primary role is to advocate, to act on behalf of residents. You can act on behalf of residents without gathering evidence that meets legal standards of proof. While you cannot be reckless, you have more freedom to think and act “out of the box” of regulations and objective procedures that others must use. Your actions must always be directed by residents, grounded in fairness, and in compliance with the laws, regulations, and policies of your state’s Long-Term Care Ombudsman Program. An ombudsman has the freedom to be an independent thinker.
The purpose of a LTCO’s investigation is to determine whether the complaint is verified and to gather the information necessary to resolve it. Verified means that it is determined after work (interviews, record inspection, observation, etc.) that the circumstances described in the complaint are generally accurate.1 An investigation is a search for information. You must seek information that will either prove or disprove the allegations made by the complainant. The successful resolution of a complaint often depends on the quality of the investigation. A poor investigation can lead to a valid complaint being dismissed. It is important to be objective in gathering information. You must not make assumptions about the validity of a given complaint, even if you believe there are problems in a facility. Being an objective investigator does not mean that you lessen your efforts to improve the care and quality of life for long-term care residents. It means that you keep an open mind so as not to be blind to evidence that does not fit a particular theory about the root cause. More explanation about this follows in the section, “When a Complaint Cannot be Verified.” The investigation involves preparation—deciding what information is relevant—and using various techniques to collect it. As stated earlier, the most common techniques ombudsmen use are interviewing, observation, and the use of documents. In order to use these techniques well, there are certain skills you need. These skills are discussed in relation to the relevant steps in the problem-solving process.
1
Administration on Aging National Ombudsman Reporting System instructions recommended in 2006.