VI. Personnel Policies and Procedures

Agency records and accounting systems must include the following components for personnel. Agencies should ensure staff are trained on their policies and procedures and adhere to them. Agencies must have a policy that requires a criminal history record check on any employee, potential employee or volunteer working with victims of crime or having access to individual client information. Personnel working for more than one project must have sufficient records to show an accurate accounting of each project which have regular and any overtime hours recorded to them – see Section I. Policies and Procedures Time Sheets and Activity Logs.

The subrecipient must have written personnel policies and procedures that address the following subjects and must demonstrate compliance with all policies:

·  Work hours

·  Holidays, vacations, sick leave, and other leave time

·  Overtime pay and compensatory time: Overtime pay must be authorized in the approved budget, or prior written approval must be obtained from OCJP before any overtime is worked. One-time salary supplements or bonuses, including severance provisions, may not be paid with federal and/or state funds.

·  Termination

·  Qualifications

·  Written job descriptions

·  Training Received

·  Supervision of Staff

·  Time Sheets and Activity Logs- 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 (Activity logs are only required for those non administrative or supervisory staff working more than 10% FTE on a grant). Time sheets must accurately reflect hours spent working in separate programs. For additional information see 2 CFR 200 §200.430 Compensation—personal services (i)Standards for Documentation of Personnel Expenses

·  For specific volunteer requirements related to match see Chapter III-Financial Requirements.

·  Conflict of Interest/Anti-Nepotism – All agencies must have a policy prohibiting  conflicts of interest and defining hiring and supervising of relatives as a conflict of interest.  The policy must  incorporate the definition of “relative” from Tenn. Code Ann. § 8-31-102which is  “a parent, foster parent, parent –in-law, child, spouse,  brother, foster brother, sister, foster sister, grandparent, grandchild, son-in-  law, brother-in-law, daughter-in-law, sister-in-law, or other family member  who resides in the same household.” The policy must require the agency to report any perceived conflict of interest to OCJP prior to taking action to hire or supervise a relative or a business partner.

·  Background Checks -  At a minimum the policy must identify the  agency positions that require a background check and the type of check required to be performed. The policy must require a state-wide name based background check for all states where these individuals have lived worked, or attended school during the five years preceding the background check. The policy must require all individuals transporting clients to have a satisfactory review of driving records through the Department of Safety and must provide proof of liability insurance. This documentation must be supported in the personnel file.    

FOR PERSONNEL REASONABLY LIKELY TO INTERACT  WITH  PARTICIPATING MINORS:

A.  Minor Background Checks – The background check policy must mandate  a background check and screening of all personnel including but not limited to employees, consultants, contractors, trainees, interns, teachers, and volunteers who are reasonably likely to interact with any participating minor. The personnel must consent for a background check by the agency/entity to be completed prior to interaction with participating minors to ensure that children  are protected.  Criminal background checks must be completed/repeated once every five years.

1. Criminal Background Check Policies must include the following:

a.  All entities/agencies legally authorized to conduct fingerprint background checks (“FBI CJIS Checks”) shall conduct an FBI CJIS Check on all persons reasonably likely to interact with any participating minor . Agencies that typically have access to FBI CJIS Checks include law enforcement agencies, governmental entities working with children,  or agencies/entities mandated by state or federal law.

b. All agencies/entities not authorized to conduct an FBI CJIS Check, shall document why they are not authorized and shall conduct a name-based criminal history check on all persons reasonably likely to interact with any participating minor.  A name-based check must be conducted for each state that the individual has lived, worked, or attended school during five years preceding the background check, and the state where the interaction with the minor or vulnerable adult will take place.  The name based checks must not be limited in time unless so limited by the law of the state holding the criminal data.  All background check vendors must list each jurisdiction searched or otherwise provide documentation to establish which states were searched.

2. Public Sex Offender and Child Abuse Registries Checks.

a. All entities/agencies shall conduct a Dru Sjodin Federal Sex Offender Registry check (https://www.nsopw.gov/) on all persons reasonably likely to interact with any participating minor; and

b.  All entities/agencies shall conduct a search of the website or public registry for each state in which the individual has lived, worked, or attended school at any time during the five years preceding the registry check, and the state where the interaction with the minor will take place.

B. Determination of Suitability for Interaction with Participating Minors and Vulnerable Adults

1.      In addition to factors which must be considered by law or by the policies and procedures of OCJP and the agency/entity, when determining suitability all agencies/entities must consider the findings on the above background checks.

2.      Any of the following events or findings automatically precludes a determination of suitability:

 a.  Withholding consent to the background checks required in Section I above;

 b.  Knowingly making a false statement that affects or is intended to affect any search required in Section I above;

 c.  A listing as a registered sex offender on the Dru Sjodin National Sex Offender Public website registry or any state sex offender or abuse and neglect registry;

d.  A conviction of a felony or misdemeanor under state, federal, or local law of any of the following crimes or a substantially equivalent criminal offense:

(1). Sexual or physical abuse, neglect, or endangerment of an individual under the age of 18 at the time of the offense;

                          (2).  Rape/sexual assault, including conspiracy to commit rape/sexual assault;

                          (3).  Sexual exploitation, such as through child pornography or sex trafficking;

                          (4).  Kidnapping;

                          (5).  Voyeurism; or

                          (6).  Is determined by a federal, state, or local government agency not to be suitable.

I9 REQUIREMENTS (FOR ALL AGENCIES):

Agencies/entities must properly verify the employment eligibility of all individuals being hired for any position which will be funded in whole or in part with award funds, including employees and interns associated with the grant, consistent with the provision of 8 U.S.C. § 1324a(a)(1) and (2). Under associated U.S. Code provisions, it is unlawful to hire or recruit for employment certain classifications of non-U.S. Citizens.

For purposes of satisfying the requirement to verify employment eligibility, agencies/entities may choose to participate in and use E-Verify (www.e-verify.gov) provided an appropriate person authorized to act on behalf of the agency/entity uses E-Verify to confirm employment eligibility for each hiring for a position that is or will be funded in whole or in part with award funds. Training for E-verify is the responsibility of the agency/entity.

Regardless of whether E-verify is used, the agency/entity must collect and review the following documents according to the following timeline:

1.  Employee Responsibility for Section 1 of the Form 1-9 (Employee Information and Attestation). The employee/intern must complete, sign, and date prior to or on the FIRST day worked, but not before accepting the job/internship offer. Electronic signatures are not accepted. Employee/Intern must also provide the original ID documents that are required by the Form I-9 Document before the end of the THIRD day worked. (List of acceptable documents appears on page 3 of Form I-9 attached).

2.  Employer Responsibilities for Section 2 of the Form I-9 (Page 2 of I-9). Before the end of the THIRD day worked the hiring agency MUST:

• Review the information provided by the employee/intern on Section 1.

• Ensure that the employee/intern provided information in all required fields on Section 1.

• Ensure that the employee/intern signed and dated the form on Section 1.

• Ensure that the preparer/translator section has been completed, signed, and dated if the employee/intern used a preparer/translator.

•  Review the original ID documents that are provided by the employee before the end of the THIRD day worked. (List of acceptable documents appears on page 3 of Form I-9 attached).

 • Make copies of the original IDs (front and back) used for the I-9, and retain the copies in the employee/intern’s personnel file.

3.    It is the responsibility of each agency/entity to provide training to its officials or other staff members who are involved in the hiring process with respond to a position that is or will be funded with award funds.

4.     All agencies/entities must maintain records of all employment eligibility verifications in accordance with Form I-9 record retention requirements, as well as documentation of all pertinent notifications and trainings. If an agency/entity utilizes E-verify, it must maintain the E-verify verification documentation along with other documentation.

Beginning  January 1, 2023, private employers with thirty-five (35) or more full-time equivalent employees shall (a) Enroll in the E-Verify program prior to hiring an employee; (b) Verify the work authorization status of the employee hired by using the E-Verify program; and (c) Maintain an E-Verify case result for each employee that shows that the employee is authorized to work, whether on the E-Verify Quick Audit Report, the E-Verify User Audit Report, or the individual employee E-Verify case verification result. The E-Verify case result must be visible showing the work authorization status. These private  employers are only required to use the E-Verify program to verify the work authorization status of employees hired on or after January 1, 2023.

If an employer does not have internet access or if an employer has less than thirty-five  (35) employees, then the Office of Employment Verification Assistance shall, at no charge to the employer, enroll the employer in the E-Verify program or conduct work authorization status checks of the employer's employees by using the E-Verify program as long as the employer signs a prescribed form, under penalty of perjury, attesting to the employer's qualification for assistance pursuant to this subdivision 50-1-703(a)(6)(B) and completes paperwork required by the E-Verify program to permit the office to provide the assistance.

Time and Attendance Records – Accurate time and attendance records are required to be maintained for all personnel whose salary is charged to the project per 2 CFR 200 §200.430 Compensation—personal services (i)Standards for Documentation of Personnel Expenses.  These records should contain, at a minimum, the following information:

·  Date (day, month and year)

·  Employee’s name

·  Position title

·  Total daily hours charged to the project

·  Grant allowable activities conducted during the hours charged (if employee is 100% grant funded, see Section V of this chapter)

·  Employee’s signature

·  Project director’s or supervisor’s signature

·  Grant number

The subrecipient may use any form that provides the above information and that meets the following requirements:.

· Encompass both federally assisted,and all other activities compensated by the non-Federal
entity on an integrated basis, but may include the use of subsidiary records as defined in the non-Federal entity's written policy;

·Support the distribution of the employee's salary or wages among specific activities or cost
objectives if the employee works on more than one Federal award.

· Budget estimates (i.e., estimates determined before the services are performed) alone do not
qualify as support for charges to Federal awards.

The narrative section of the grant application includes job descriptions determined by the subrecipient agency which establish the qualifications for each position.  If an employee does not meet agency established personnel qualifications, a waiver must be requested from the Office of Criminal Justice Programs.  The Office of Criminal Justice Programs must approve prior to employment any grant employee not meeting these requirements.  A written waiver of personnel qualifications must be requested prior to the employee’s employment.  The written request for the waiver must explain the reason(s) for employing a staff person who does not meet the personnel qualifications.  A training plan must be included that ensures the employee maintains a constant level of understanding on how services are to be provided.  If approved, a copy of the request for waiver must be maintained in the employee’s personnel file.  The waiver will approve the period of the individual’s employment in the position and is applicable to that individual only.

To satisfy the requirement that staff are qualified for the positions in which they are employed it is necessary that the agency obtain verification of education prior to employment and/or training.  References for new employees and a resume are required.

Agencies are required to maintain personnel files for all staff employed by grant monies or volunteers providing direct services to clients. These records must include the following information:

·   Documentation of verified character/employment references

·   A completed agency application and a resume.

·  A signed consent form  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 including verification/confirmation of all educational diplomas or degrees.

·  Documentation of background checks according to agency policy.

In order to comply with federal regulations to track and identify time worked on activities related to a single federal award, OCJP subrecipients with employees paid 100% from federal grant funds must comply with the following instructions:

Have each employee paid 100% from a single federal award for an extended period of time (6 months or more) complete the Certification of Time Charged to a Single Award form.

This form must be completed by the employee and their supervisor if the employee will be on a single award for six months or longer.  In this circumstance, the form must be completed prior to being on a single award for more than six months.

Retain the signed form in the employee’s personnel file.

See Title 2 Code of Federal Regulations (CFR) Part 225, Cost Principles for State, Local, and Indian Tribal Government, Appendix B, Selected Items of Cost.

Subrecipients must provide written notification to your OCJP Program Manager within ten (10) business days from the date of occurrence of any of the following:

A. Contact Information Changes

 1.  Any change of address for Authorized Official, Project Director, or Financial Director for the grant-funded project

 2.  Change in e-mail address of Project Director, Financial Director, Authorized Official or any personnel funded by this grant.

B. 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

C. Staff Vacancies

Vacancies in all grant funded positions MUST be reported via email  to your OCJP Program Manager within 10 business days of the vacancy.  All grant funded vacant positions MUST be filled within 45 calendar 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 submit a letter from the Authorized Official to OCJP justifying the delay in filling the position and explaining how the program is providing services while the position is vacant.  After 45 days OCJP 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 OCJP in writing within 10 business days of the following information as it pertains to the new employee(s):

1.  Position Title

2.  Name of Employee

3.  Date Hired

4.  Salary

5.  Percent of time allotted to the grant funded project

6.   Job Description

Agencies must use the Personnel Spreadsheet to notify your OCJP Program Manager of staff on the grant(s), and any staffing changes made throughout the life of the project. You are required to submit this form to your OCJP Program Manager at the start of the grant listing all grant funded staff and it must also be submitted with each hire and/or vacancy in accordance with the above staff notification requirements.

For policies concerning Subcontracted Staff see Chapter XIII- Procurement of Professional Services.

NOTES: For RSAT specific personnel requirements see RSAT Chapter.