Personnel file requirements | AZ

Personnel file requirements

Personnel file requirements

“If you don’t have proof, it didn’t happen”, is something many administrators have heard from surveyors over the years due to their inability to maintain employee records properly. If training employees is the number 1 key to success, then 1b would be ensuring you keep an accurate and up-to-date employee file, complete with all the necessary information. Check out this regulation provided by the Arizona Bureau of Residential Facilities Licensing for what is required to be kept in every employee file:

  1. A manager shall ensure that a personnel record for each employee or volunteer:
  2. Includes:
  3. The individual’s name, date of birth, and contact telephone number;
  4. The individual’s starting date of employment or volunteer service and, if applicable, the ending date; and This document contains an unofficial version of the new rules in 9 A.A.C. 10, Article 1, effective November 5, 2019.
  5. Documentation of:
  6. The individual’s qualifications, including skills and knowledge applicable to the individual’s job duties;
  7. The individual’s education and experience applicable to the individual’s job duties;

iii. The individual’s completed orientation and in-service education required by policies and procedures;

  1. The individual’s license or certification, if the individual is required to be licensed or certified in this Article or in policies and procedures;
  2. If the individual is a behavioral health technician, clinical oversight required in R9-10-115;
  3. Evidence of freedom from infectious tuberculosis, if required for the individual according to subsection (A)(8);

vii. Cardiopulmonary resuscitation training, if required for the individual in this Article or policies and procedures;

viii First aid training, if required for the individual in this Article or policies and procedures; and

  1. Documentation of compliance with the requirements in A.R.S. § 36- 411(A) and (C);
  2. Is maintained:
  3. Throughout the individual’s period of providing services in or for the assisted living facility, and
  4. For at least 24 months after the last date the individual provided services in or for the assisted living facility; and
  5. For a manager, a caregiver, or an assistant caregiver who has not provided physical health services or behavioral health services at or for the assisted living facility during the previous 12 months, is provided to the Department within 72 hours after the Department’s request

Top Takeaways:

  • The individual’s completed orientation and in-service education required by policies and procedures;
  1. Evidence of freedom from infectious tuberculosis, if required for the individual according to subsection (A)(8);

These requirements are probably the most cited areas when the survey team reviews employee files. Having a system in place to track employee orientation/in-service documents as well as the ongoing maintenance of infectious disease documentation is key to avoid being out of compliance.

  • Is maintained:
  1. For at least 24 months after the last date the individual provided services in or for the assisted living facility; and

The regulation shows you must keep the employee file accessible for a period of two years after the end of employment. If you cannot keep the file onsite you must have an alternate storage space that is readily available if the file is subject to a disposition or needed by the survey team.