Failure to Prevent Employment of Staff with Disqualifying Criminal Conviction
Penalty
Summary
The facility failed to prevent the employment of an individual with a prior guilty finding for theft, specifically theft-receipt of a stolen credit/debit card, as required by both facility policy and federal regulations. The State Registered Nurse Aide (SRNA) was hired after a preemployment background check, which clearly indicated a guilty disposition for theft. Despite this, the facility's administrative and human resources staff misinterpreted the background check results, believing all charges had been dismissed or amended down, and proceeded with the hiring process without further investigation into the nature of the conviction or the identity of the victim. Following the employment of the SRNA, three residents reported missing personal property and fraudulent charges on their financial accounts. The facility, in conjunction with local law enforcement, identified the SRNA as the suspect in the misappropriation of resident funds, leading to criminal charges and a warrant for arrest. The residents affected included individuals who reported missing debit and credit cards, a wallet, and cash, with subsequent evidence of unauthorized financial transactions. The facility's documentation showed delays in closing investigations into missing property and in recognizing the pattern of misappropriation. Review of facility policies revealed that while there were procedures in place to screen for abuse, neglect, exploitation, or misappropriation, the policies lacked specificity regarding the means of review, such as the use of criminal background checks, and did not clearly define which crimes would prohibit employment. Interviews with facility staff and legal counsel demonstrated a lack of understanding and clarity in interpreting background check results, leading to the employment of an individual with a disqualifying conviction. The failure to accurately review and act upon the background check findings directly contributed to the deficiency and affected the safety and property of multiple residents.