Personnel Policies and Procedures

Agency records and accounting systems must include the following components for personnel approved in the project’s budget.

Personnel Policies and Procedures
Personnel Costs
Personnel Qualifications
Personnel File Requirements
Personnel Paid 100% from a single federal award
Personnel Change Notification
Staff Vacancies
Subcontracted Staff

Personnel Policies and Procedures

The subrecipient must have written personnel policies and procedures that address:

1. Work hours
2. Holidays, vacations, sick leave, and other leave time – policy should include payout directives in the event a staff member quits, is laid off, or is terminated.
3. Overtime pay and compensatory time - Overtime pay should be included in the approved budget if known. 
4. Hazard pay, if applicable
5. Remote work
6. Administrative leave
7. Termination
8. Qualifications
9. Written job descriptions
10. Training received
11. Supervision of staff
12. Time and activity tracking of staff
13. Duplication of pay – there must be a policy or procedures to ensure employees are not being paid from multiple sources during the same time period for the same work. 
14. Background checks - there must be a policy and or procedures in place to ensure compliance with all state and federal background requirements.  At a minimum, this policy must include which agency positions require a background check and the type of check performed.
15. Seat belt usage in accordance with Iowa law

Additional requirements for background checks are outlined below:

Screening of staff and volunteers to ensure that children and vulnerable adults are protected. Individuals in contact with children and vulnerable adults must have background check/screening information collected from the following:

• National Background Check or a private National Criminal History Check/Screening provider, and
• Sex Offender Registry  search.
• All background checks otherwise required by state or federal law, or required for the programs/services provided by the sub-recipient (including fingerprint background checks through the IA Department of Public Safety, if required—see below). 

Individuals transporting clients must have the following information reviewed:

• Driving Record Check
• Proof of Liability Insurance     

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Personnel Costs

Time and Attendance Records – Accurate time and attendance records are required for all grant funded personnel. These records should minimally contain the following information:

• Date (day, month and year)
• Employee’s name
• Position title
• Total daily hours charged to the project
• Activities related to the project
• Employee’s signature
• Project director or supervisor’s signature
• Funding source (Federal grant # when applicable)

The subrecipient may use any form that provides the above information.

*One-time salary supplements or bonuses, including severance provisions, may not be paid with federal and/or state funds. Personnel working for more than one project must have sufficient records to show an accurate accounting of each project which have hours recorded to them. This can usually be accomplished by having personnel keep a detailed log of their activities for each project as noted above. 

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Personnel Qualifications

Organizations need to have policies and procedures in place to ensure the people hired are qualified and have the required education or experience. Conduct reference checks and background checks prior to hiring and consider obtaining verification of education, training and/or any certifications prior to employment. 

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Personnel File Requirements

Staff and direct service volunteers should have personnel files which include the following:  

• Documentation of verified character/employment references if conducted
• An agency application or resume' 
• A signed release of information granting the organization permission to obtain a background check and to conduct reference checks
• Job description
• Documentation of training/certification received such as the topic, presenter, length of training, dates.
• Documentation of minimum job qualifications if not evident from application or resume
• Documentation of background checks according to agency policy
• Other personnel records or documents which align with agency policy, such as employee evaluation, disciplinary actions, awards, achievements, etc. 

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Personnel Paid 100% from a single federal award

In order to comply with federal regulations, grant funded employees (and those used for match) are required to track and allocate time worked on grant activities. Subrecipients with employees who are paid 100% from a single federal grant source, for at least six months, are exempt from tracking their time and activities if those employees’ personnel files include their job description and the signed certification form. All activities performed by these employees must be allowable under the funding source from which they are paid.

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Personnel Change Notification

Subrecipients must update their organizational PROFILE in Iowa GVS immediately when any of the following occur. Subrecipients must also email their grant coordinator to advise of the changes. 

1. Contact information changes

• Any change of address for authorized official, project director, or financial director for the grant-funded project
• Change in e-mail address of project director, financial director, authorized official or any personnel funded by this grant. 

2. Personnel Changes
   1. Any cessation or interruption of implementation of project activities arising from litigation, loss of staff, or programmatic restructuring
   2. Change in or temporary absence of the project director or financial director
   3. Change in authorized official
   4. Change in grant funded personnel positions
   5. Temporary staff changes should also be reported
   6. Any position paid 100% by a single federal source (notify every 6 months)

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Staff Vacancies

Vacancies in grant funded positions should be reported to the assigned grant coordinator within 30 days of the vacancy. If vacant positions are not filled within 45 days, the project director or the executive director must contact the assigned grant coordinator to discuss the hiring delay, explain how services are being provided and provide an action plan if needed. Once the vacant position(s) is filled the subrecipient  MUST update the budget details form by submitting a name change via an amendment/revision in Iowa GVS by following these instructions.

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Subcontracted Staff

For policies concerning subcontracted staff see Chapter 15 Procurement of Professional Services.

For specific volunteer requirements related to match see Chapter 3 Financial Requirements, A. Grant Requirements, c. Match, 3 Volunteer.