Fiscal & Administrative Review Assistance for IDHS Providers: Common FAR Personnel
Personnel Records
One of the most common findings that BCSS and OCA reviewers encounter when doing the Fiscal Administrative Review is the lack of complete employee files. Many are missing applications or resumes, job descriptions, annual evaluations and/or conflict of interest statements.
Application/Resume
While reviewing personnel files, the FAR staff are looking to see if there is a completed job application, or a resume with cover letter, showing the employee's application for the job.
Job Description
Each personnel file should contain a description of the job outlining the duties and expectations of the employee.
Conflict of Interest Statement
Grantees for Federal, Federal Pass-through and State grants must disclose any conflicts of interest or apparent conflicts of interest which may impair the fairness and impartiality of the grant process. Employees and board members of the organization must disclose any conflicts of interest. For more information see Mandatory Disclosures and Conflict of Interest from 2 CFR 200. Further references can be found in Article XXI of the Uniform Grant Agreement. 18 U.S.C. 208, GATA 30 ILCS 708/35, 708/40 and 708/60, 2 CFR 200.112 and 31
Employee Evaluations
Most smaller providers especially, do not conduct employee evaluations and have no documentation showing they have done any type of annual employee review. Employee evaluations do not have to be complicated. They can be as simple as a memo in the employee's file stating accomplishments, areas for improvement, objectives for the next year, salary increases, etc. This document should be dated and signed by both the employee and the supervisor.
There are several websites that give basic information on doing an employee evaluation. Below are just a couple of examples of websites that may assist providers with conducting an annual employee evaluation.
How to Write Employee Evaluations or How to Conduct an Employee Evaluation
There are several free MS Word or Adobe PDF templates that can be downloaded and modified for a provider's use. Here's a link to a sample:
Free Employee Evaluation Form - PDF
Additional references: 89 IL Administrative Code 509.80
