Policy Considerations

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POLICY CONSIDERATIONS Documentation Documentation is extremely important for accurate reporting and for allowing others who may later become involved in a complaint to know what steps you’ve already taken. Furthermore, any complaint may at some time become a source of litigation, and clear documentation will be critical. Some ombudsmen find keeping a diary or journal of their visits helpful. This allows them to remember personal information about residents, observations of potential problems, and events that may not seem significant at the time, but turn out to be important later. It may also make it easier to complete whatever forms the State Long-Term Care Ombudsman (SLTCO) requires for reporting on your activities. Be sure that whatever type of documentation you keep is consistent with the policies of your SLTCOP.

Confidentiality All records and information obtained during an investigation or during the resolution process must be held in confidence. Information may only be disclosed if the complainant or resident or his/her legal representative consents to the release of the information or by court order. Explain the confidentiality policy to the complainant at the outset of the complaint-handling process. Unless explicitly given approval to reveal someone’s name, you must keep the name and identity of a resident or complainant confidential. In cases where complainants do agree to have their names revealed, you must document that permission was given at the time it was given. In cases where permission to act might become an issue, it is preferable to have a signed waiver of confidentiality. Signed waivers are also recommended, if not required, when the complainant’s identity is revealed outside of the facility. Check with your LTCOP supervisor or the SLTCO for copies of these forms. Permission to disclose the identity also applies to asking complainants other than the resident for permission to tell the resident that they contacted you. You need to ask, “Is it okay to tell Mrs. Jones that you contacted me about this problem?” You will usually be told “Yes.” The section on ethical dilemmas offers guidance on how to proceed if you are told “No.” Sometimes people will make a complaint only under the condition of anonymity. If an individual insists on having his/her name kept secret, explain that, while you will do everything possible to protect their identity, there is the possibility that the facility may be able to determine who made a complaint. Explain that some complaints are virtually impossible to investigate without revealing the identity of the resident. For example, a complaint regarding a resident’s finances may not be adequately checked unless financial records are reviewed, which would immediately indicate who had filed a complaint. If the use of a complainant’s name is initially denied but is needed to proceed further with a complaint investigation, talk with the person again to:  explain the situation,  request to use the complainant’s name, and


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