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 File Requirements
Personnel Paid 100% from a single federal award
Personnel Change Notification
The subrecipient must have written personnel policies and procedures that address:
- Work hours
- 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.
- 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.
- Written job descriptions
- Training Received
- Supervision of Staff
- Time and activity tracking of staff
- 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)
- 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.
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 (opens in new window) 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
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
- Grant number
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.
Programs must employ qualified individuals for the positions in which they are employed. At a minimum, programs should obtain verification of education, training and/or any certifications prior to employment. Additionally, programs should review prior work experience and contact references. It is an expectation that any employee being hired into a position requiring a specialty position (i.e. an attorney, or a forensic nurse examiner), have the appropriate certification(s), or education to ensure competency.
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 qualifications
- Documentation of background checks according to agency policy.
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.
Subrecipients must provide written notification to CVAD within thirty (30) days from the date of occurrence of the following:
- 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.
- Personnel Changes
- Any cessation or interruption of implementation of project activities arising from litigation, loss of staff, or programmatic restructuring
- Change in or temporary absence of the Project Director or Financial Director
- Change in Authorized Official
- Change in grant funded personnel positions
- Temporary staff changes should also be reported
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 position(s) in question. If the position(s) is/are not filled within 45 days, the subrecipient must notify the primary VSS staff member by submitting the completed Staff Update form via email or through a message in IowaGrants.gov. This message should include a justification for the delay in filling the position and must explain how the program is providing services while the position is vacant. After 45 days CVAD must receive a monthly report of this information until the position is filled. Once the vacant position(s) is filled the subrecipient agency MUST notify CVAD in writing within 30 days of the following information as it pertains to the new employee(s):
- Position Title
- Name of Employee
- Date Hired
- Percent of time allotted to the grant funded project
- Job Description
Subrecipients are required to provide CVAD with updates within 30 days of staff turnover for positions funded with CVAD funds or positions used as match.
For policies concerning Subcontracted Staff see Chapter XV. Procurement of Professional Services.
For specific volunteer requirements related to match see Chapter III. Financial Requirements, A. Grant Requirements, c. Match, 3 Volunteer.