Failure to Maintain CNA Personnel File and Provide Required Orientation/Competency Validation
Penalty
Summary
The deficiency involves the facility’s failure to ensure that a CNA had the required competencies, orientation, and personnel documentation before and during providing care to residents. During interview and record review, the Accounts Payable/Payroll Coordinator (AP/PR Coord) confirmed that the facility did not have an employee file for one of four CNAs (CNA 2). The AP/PR Coord described that an employee file should contain hiring documentation, orientation checklist, annual evaluations, medical information, emergency contact, background check, references, copies of licenses/certifications, CPR card, picture ID, signed job description, and orientation skills, competencies, and quizzes, and stated that all employee files were required to be kept on the premises. The facility’s Employee Handbook indicated that required licenses and certifications would be reviewed regularly and that personnel and medical files are facility property, accessible only to authorized personnel with a legitimate reason to review them. The Director of Staff Development (DSD) stated she was not aware of any staff member without an employee file and explained that employee competencies were kept in those files. The DSD further stated that without a record of competencies, she would not know if an employee had the skills to care for residents. In a separate interview, CNA 2 reported she had been working at the facility for 10 months without receiving any facility orientation. She confirmed she had never sat down to watch training videos or taken any required tests, and noted that CNAs hired after her did receive training. The AP/PR Coord also stated that once a staff member starts working, the facility should provide training. The report states that this failure placed residents at risk for receiving care from staff who did not meet the competencies in skills and techniques required to care for resident needs.
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