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 must be authorized in the approved budget, or prior written approval must be obtained from CVAD before any overtime is worked. 
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 – Agency must have a policy ensuring employees working on the grant-funded project are not receiving duplicate compensation (i.e. being paid with grant funds while receiving a salary for the same period from another source)
14. Background checks - Agency must have a policy for background checks and adhere to the policy. 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 check 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 to be maintained for all personnel whose salary is charged to the project. 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

Agencies must employ qualified individuals for the positions in which they are employed. At a minimum, agencies should obtain verification of education, training and/or any certifications prior to employment. Additionally, agencies should review prior work experience and contact references. It is an expectation that any employee being hired into a specialty position (i.e. an attorney, or a forensic nurse examiner), has the appropriate certification(s), or education to ensure competency.

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Personnel File Requirements

Agencies are required to maintain personnel files for all staff funded with CVAD grant funds, as well as all volunteers providing direct victim services to clients. These files should minimally contain the following information:

• Documentation of verified character/employment references
• 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.

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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 all grant funded positions MUST be reported in writing (e- mail, fax, or mail) to CVAD within 30 days of the vacancy. All grant funded vacant positions MUST be filled within 45 days of the vacancy. Failure to abide by this requirement may result in the agency losing the vacant position(s). If the position(s) is/are not filled within 45 days, the subrecipient must notify CVAD, provide a reason for the delay and explain how the program is providing services while the position is vacant. 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.