Tuesday Tip: Staff Personnel File

With your hectic schedule, it is sometimes easy to overlook simple compliance issues. Advanced Healthcare Studies’ “Tuesday Tips” will bring you a quick, helpful idea each week that can assist you in your operations related to regulatory compliance. We know that many of you implement outstanding practices in your community, and we welcome your ideas as well. If you have a tip that you would like to share, just reply by email and we may share your tip in a future “Tuesday Tip.”

Tip:  Review a direct care staff member’s personnel file. Ensure that it includes at least the following: 

Records Required by California Title 22 Section 87411 (old regulation Section 87565):

  1. Personnel Record (LIC 501)
  2. Employee’s full name and social security number
  3. Date of employment
  4. Home address & telephone number
  5. Educational background, Past experience, including types of employment and former employers
  6. Type of position for which employed
  7. Termination date if no longer employed by the facility and reasons forleaving
  8. Health Screening Report – Facility Personnel (includes TB Clearance) (LIC 503)
  9. Criminal Record Statement (LIC 508)
  10. Proof of criminal record clearance or exemption
  11. Proof of possession of current valid first aid card (for all direct care staff)
  12. Verification that staff is at least 18 years of age for all direct care staff
  13. Current drivers license showing class of license (only required for those employees providing transportation)
  14. Abuse Reporting Requirements form (SOC 341A)
  15. Documentation of initial orientation training
  16. Documentation of ongoing in-service training

Additional records required by various state or federal agencies include:

  1. Completed I-9 form
  2. Current year W-4 withholding certificate
  3. Hepatitis B vaccination series proof or declination form
  4. Photo identification
  5. Copy of Social Security Card (must match photo identification provided)
  6. Reports of actual hours worked by the employee

This tip was provided by Advanced Healthcare Studies — your source for operational and training products and services.


Advanced Healthcare Studies, LLC

One Response to “Tuesday Tip: Staff Personnel File”

  1. If there are multiple buildings on a campus, but the campus is enclosed and contained, do each of the buildings need a copy of the personnel file, or can the file be centrally stored (within 30 second walking distance)?

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