Failure to Complete and Document Required Pre-Employment Background Checks
Penalty
Summary
The facility failed to develop and implement a process to ensure required pre-employment criminal background checks were completed and documented for all staff prior to hire and resident contact. Review of personnel records for two certified nurse aides (one CMA and one CNA) showed hire dates in late 2023 and mid-2024, respectively, with no evidence that pre-employment criminal background checks had been completed. When surveyors requested documentation of these checks, the facility was unable to provide any proof that the screenings had been performed for either employee. Administrative staff confirmed they could not locate criminal background checks for these two employees and could not explain why the tasks were not completed. The facility’s written Abuse, Neglect and Exploitation policy, dated 06/25/24, stated that all potential employees would be screened for a history of abuse, neglect, exploitation, or misappropriation of resident property and that the facility would maintain documentation proving that such screening occurred. Despite this policy, the facility’s records and staff interviews demonstrated that the required background checks and corresponding documentation were not in place for these two staff members, resulting in noncompliance with the facility’s own procedures and regulatory expectations for preventing abuse, neglect, exploitation, and misappropriation.
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