Failure to Ensure Valid Background Checks for Staff and Contractors
Penalty
Summary
The facility failed to implement its abuse, neglect, and exploitation screening policy as required by state regulations. Specifically, the facility did not ensure that individuals with direct contact with residents, access to their medical or financial records, or control over their financial well-being had valid criminal history checks conducted under 7 Alaska Administrative Code (AAC) 10.900-10.990. This resulted in 37 employees and 18 contracted staff working without valid clearance from the Alaska Background Check program. The deficiency was identified through record review and interviews, revealing that both new hires and established employees, including those in key roles such as the Administrator, DON, HR Manager, and various clinical and support staff, were working without the required background checks for varying periods, some exceeding two months. For new employees, the HR Manager stated that the hiring process included completion of a State of Alaska background check application and fingerprinting after job acceptance, with the expectation that onboarding would not begin until an eligible background check was received. However, records showed that multiple new hires began orientation, training, and direct resident care before obtaining valid background checks. In some cases, employees worked for several weeks, and in a few instances, over 50 days, before their background checks were completed. Additionally, some staff had background checks associated with other facilities but not with the current facility, as required. For established employees, the transition to new ownership led to further lapses. The facility did not obtain eligibility letters for staff who remained through the change in ownership, and assumed that prior background checks under the old owner were sufficient until new ones were processed. This resulted in several established employees, including those in administrative, clinical, and support roles, working without valid background checks for extended periods. Furthermore, contracted travel staff were also found to be working without the required Alaska State background checks, despite the HR Manager's communication to the parent company about this requirement.