AUTHORITY: Implementing and authorized by the Comptroller Merit Employment Code [15 ILCS 410]

SOURCE: Emergency rule adopted at 3 Ill. Reg. 18, p. 228, effective April 25, 1979, for a maximum of 150 days; adopted at 4 Ill. Reg. 37, p. 601, effective September 6, 1980; amended at 5 Ill. Reg. 890, effective January 9, 1981; codified at 7 Ill. Reg. 1969; amended at 17 Ill. Reg. 21366, effective December 1, 1993; amended at 21 Ill. Reg. 13294, effective September 15, 1997.

SUBPART A: DEFINITIONS

 

Section 500.10  Definitions

 

            "Appropriate Supervisor"  An employee who has the authority to resolve an employee's grievance.

 

            "Board"  Refers to the Merit Advisory Board.

 

            "Certified Employee"  An employee who has successfully completed an appointment and a required probationary period.

 

            "Certified Status"  Status achieved through the completion of a probationary period.

 

            "Code"  The Comptroller Merit Employment Code.

 

            "Commission"  The Comptroller Merit Commission.

 

            "Continuous Service"  Continuous service is the uninterrupted period of service from the date of original appointment to State service except as provided for in Section 500.230.

            Employees who have accrued continuous service in another merit system in State service or who have accrued continuous service in State service not covered by a merit system, and who have been transferred to a department subject to the Personnel Code, shall be given such credit for said service as shall be determined by the Director or required by law.

 

            "Department"  The Comptroller Department of Personnel.

 

            "Department Head"  Director -- Designated Manager of department.

 

            "Department:  Organizational entity."  An entity directly subordinate to the Comptroller or a Deputy Comptroller.

 

            "Director"  The Director of the Comptroller Department of Personnel.

 

            "Executive or Administrative Employee"  Those employees who have principal administrative responsibility for the determination of policy or principal administrative responsibility for the way in which policies are carried out.

 

            "Highly Confidential Employee"  An employee who occupies a position which, by its nature, is entrusted with private, restricted, or privileged information of a type which would preclude its being subject to Jurisdiction B.

 

            "Immediate Family"  Father, mother, brother, sister, spouse, daughter, son and such other persons as are abiding within the same household.

 

            "Jurisdiction A"  The Section of the Code which deals with the classification and compensation of positions in the Office of the Comptroller.

 

            "Jurisdiction B"  The Section of the Code which deals with merit and fitness as it applies to positions in the Office of the Comptroller.

 

            "Jurisdiction C"  The Section of the Code which deals with the conditions of employment of positions in the Office of the Comptroller.

 

            "Licensed Attorney"  Attorneys who are licensed to practice law within the State of Illinois.

 

            "Next Higher Supervisor"  An employee who is authorized to adjust grievance resolutions offered by an Appropriate Supervisor; an employee who may be assigned to resolve Level 2 grievances.

 

            "Present Employees"  Those employees of the Office of the Comptroller as of August 23, 1978.

 

            "Probationary Period"  A period of six calendar months immediately following an original appointment or reinstatement, or of three months following a promotion.

 

            "Time of Hostilities"  The following periods of time:  From April 6, 1917, to November 11, 1918; From December 7, 1941, to December 31, 1946; and from June 27, 1950, to December 31, 1976.

SUBPART B: CLASSIFICATION AND PAY

 

Section 500.110  Position Classification

 

a)         Classification Plan:  The Director shall maintain, and revise when necessary, a uniform position classification plan for positions under the Merit Employment Code based on the similarity of duties and responsibilities assigned so that the same schedule of pay may be equitably applied to all positions in the same class, under the same or substantially the same employment conditions.  However, the pay of an employee whose position is reduced in rank or grade by reallocation because of loss of duties or responsibilities after his/her appointment to such position, shall not be required to be lowered for a period of one year after the position reallocation.

 

b)         Allocation:  It is the responsibility of each department head to report to the Director any significant changes in the duties of every position within the department.  At the request of a department head, or at the discretion of the Director, a survey, audit, or such other investigation as may be deemed necessary by the Director shall be made to determine the proper allocation of any position to a class.  Upon written request of an employee, such investigation as may be deemed necessary by the Director shall be made to determine the proper allocation of the employee's position.  After making such survey, audit, or other investigation, the Department of Personnel shall notify the department head in which such position is located of its decision as to the proper allocation of the position in question.  It shall be the responsibility of the department head in which the position is located to notify the incumbent of said position of the decision of the Department of Personnel.

 

c)         Reconsideration:

 

1)         Within 30 days after receiving notice of such decision, the incumbent in such position may make a request in writing of the Director for a reconsideration of the decision.  Thereafter, the Director shall reinvestigate the duties and responsibilities of such position and related positions, if necessary, and the affected employee shall be given a reasonable opportunity to be heard.

 

2)         After such investigation, the Director shall render a decision in writing and it shall be served on the employee in person or by certified mail, return receipt requested, at the last address shown in the personnel file.  The effective date of the Director's reconsidered decision shall be the date such request for reconsideration was received by the Director.

 

3)         An employee wishing to appeal the Director's reconsidered decision shall serve upon the Merit Commission notice of appeal of said reconsidered decision in writing within 15 calendar days after receipt of notice of the reconsidered decision.  A copy of the notice of appeal shall also be served upon the Director.

 

d)         Assignments to Other Classes:  An employee whose position has been allocated to a class having a higher, lower, or same maximum permissible salary or rate may remain in the position, provided however, that the Director shall determine in the case of allocation to a class having a higher maximum salary or rate whether, considering the nature of such change in duties, such employee is qualified for the position.

 

e)         Revised Class Requirements:  When requirements for a class are revised and the duties and responsibilities of positions comprising the class remain essentially unchanged, incumbents in these positions who qualified under the previous requirements for the class will be considered qualified.

 

Section 500.120  Pay Plan

 

a)         Establishment of Plan:  The Director shall prepare and maintain a Pay Plan for all employees subject to Jurisdiction A of the Merit Employment Code in accordance with the applicable provisions of the Code.

 

b)         Provisions of the Pay Plan:  The Pay Plan shall provide for uniform and equitable starting rates of pay, the time and manner in which subsequent changes of salary may be made, the rate each employee is to be paid, and for rates that are fair and reasonable compensation for the type of employment and services rendered.  The Pay Plan may also include other provisions not inconsistent with law to assist in the administration of good personnel practices for the Office of the Comptroller.

 

c)         Approval of Pay Plan:  The Pay Plan and amendments thereto shall be prepared by the Director after consultation with department heads.  After preparing the Pay Plan or any amendments, the Director shall submit it to the Comptroller.  The Pay Plan, or amendments thereto, shall become effective only after approval by the Comptroller.

SUBPART C: MERIT AND FITNESS

 

Section 500.210  Application and Examination

 

a)         Examination:

 

1)         The Director shall conduct examinations to test the relative fitness of applicants for positions subject to Jurisdiction B of the Code. Examinations may include an evaluation of such factors as education, experience, training, capacity, knowledge, manual dexterity, character, and physical fitness.  Tests shall be job related and may be written, oral, physical demonstration of skill, an evaluation of physical or manual fitness, or an evaluation of education and experience.  Examinations shall consist of one or more tests in any combination.  Where minimum or maximum requirements are established for any examination, they shall be specified in the examination announcement.

 

2)         Applicants shall not be questioned with respect to non-merit matters except as is necessary to meet the requirements of law or State policy.

 

3)         In lieu of announcing or conducting examinations, the Director may accept the results of competitive examinations conducted by any established merit system subject to the Director's determination that such examinations are comparable in difficulty and comprehensiveness to those conducted by the Department of Personnel for similar positions.

 

b)         Examinations – Time and Place:  Examinations shall be held at such times and places as are necessary to meet the requirements of the Office of the Comptroller, provide economical administration, and be generally convenient for applicants.  The Director may cancel or postpone examinations at any time.

 

c)         Veterans' Preference:  Qualified persons who have passed an examination and who have been members of the armed forces of the United States in times of hostilities with a foreign country (as set out in the Comptroller Merit Employment Code) or while citizens of the United States were members of the armed forces of allies of the United States in time of hostilities with a foreign country, shall be granted preference in entrance examinations as follows:

 

1)         Five points shall be added to the entrance grade for such nondisabled veteran eligibles.

 

2)         Ten points shall be added to the entrance examination grade for such veteran eligibles currently receiving compensation from the United States Veterans' Administration or from such allied country for war service-connected disabilities.

 

3)         If category ratings are used, the veteran eligibles in each category shall be preferred for appointment before the nonveteran eligibles in the same category.

 

d)         Public Notice of Examinations:  The Director shall give public notice of examinations at least two weeks in advance of such tests except as otherwise noted.  Announcements shall be posted in a conspicuous place in each office of the agency and Department of Personnel.  Announcements shall specify the day and manner in which an application for examination shall be made.

 

e)         Notice to Eligibles:  In the event a change in the classification or testing standards or other change requires the elimination of an eligible list for a class, or of certain previously qualified eligibles from such a list, the Director shall notify each person thus losing eligibility of such new or revised requirements as soon as practicable, and when the revised examination is repeated, shall again notify each person in order that each may be given an opportunity to reestablish eligibility.

 

f)         Test Rating – Notice and Review:  The rating of each test shall be completed and the resulting list established as quickly as reasonably practicable.  Each person competing in any test shall be given written notice of his/her final earned rating or of his/her failure to attain a place on the list.

 

g)         Retaking or Regrading Examinations:  The retaking or regrading of examinations will be permitted only in accordance with the following provisions:

 

1)         Retaking examinations –

 

A)        No applicant shall be permitted to retake a test or tests included within an examination until 30 days have elapsed.  This limitation may, however, be waived when in the judgment of the Director the best interests of the State require such waiver.

 

B)        No applicant may be permitted to retake a test included within an examination more than 12 months after the original date of examination.

 

C)        For purposes of ranking on eligible lists, the grades of applicants who retake a test or tests included within an examination shall be computed by using the latest passing scores attained by such applicants.

 

2)         Regrading examinations –

 

A)        At the request of an applicant who has completed an open competitive examination, the Director may regrade the examination taken by that applicant for placement on the eligible list for another class when the qualifications and examination standards for the new class are similar to those of the class for which tested.

 

B)        When a candidate makes an application for subsequent examination for the same or a different title having one or more identical tests which had been taken within the preceding 12 months, the Director may utilize the test or tests previously taken in lieu of requiring the candidate to repeat the applicable test or tests included within the examinations.

 

h)         Equal Opportunity:  Applicants or employees shall not be discriminated against on the basis of race, religion, sex, marital status, national origin, political affiliation, or membership in, or activity in or on behalf of employee labor organizations, or any other non-merit factor. Applicants capable of performing the duties in the class shall not be discriminated against because of physical or mental handicap.

 

i)          Removal of Examination Material From Premises:  Any applicant or unauthorized employee of the Office of the Comptroller removing examination materials from the premises at which examinations are being administered or stored in any manner whatsoever, shall be subject to prosecution.

 

j)          Admission to Examinations:  Admission to competitive examinations shall be open to all persons who meet such requirements as have been established by the Director and may be lawfully appointed to the position. The Director may reject the application of any person for admission to a test or decline to test or certify for employment any applicant who:

 

1)         Subsequent to participating in the examination is found to lack the qualifications prescribed for admission to the test as announced in the public notice;

 

2)         Is physically unfit to perform effectively the duties of the class;

 

3)         Has used, or attempted to use, bribery or political influence to secure an advantage in testing or appointment;

 

4)         Has made false statements of any material fact or has practiced deception or fraud in the application or test;

 

5)         Does not meet the United States Department of Justice Immigration and Naturalization Service regulations for permanent employment;

 

6)         Is found guilty of a violation of this Part or any of the provisions of the Merit Employment Code relating to participation in examinations.

 

k)         Residency Requirement:  Applicants who are not residents of the State of Illinois may be appointed only upon the waiver of residency requirements by the Director and only when there are fewer than three qualified residents of  Illinois available.

 

l)          Employment of Family Members:   Family member status shall constitute neither a deterrent nor an advantage to employment, provided that the individual fulfills all objective job-related qualifications, except for reasons of business necessity as established by the Office of the Comptroller.

 

m)        Linguistic Requirements:  The Director may establish linguistic options when he deems such options to be appropriate.

 

n)         Eligible Lists:  The Department shall establish and maintain lists of qualified applicants for positions covered by Jurisdiction B of the Code.  Such applicants shall have successfully qualified through competitive examinations as provided in Section 500.210(a).  The names of successful applicants shall be arranged in the order of their relative excellence whether by numerical grade or category grouping.  The length of time an eligible's name may appear on the list shall be specified in the examination announcement.  A separate eligible list will be maintained for intermittent applicants.

 

o)         Responsibilities of Eligibles:  It shall be the responsibility of each eligible to inform the Department in writing of any changes in address or availability for employment.

 

p)         Geographic Preference:  Applicants for employment shall specify one or more of the locations or areas in which they will accept employment from those choices made available at the time of the examination or which may be made available at a later date.

 

q)         Removal of Names From Eligible Lists:

 

1)         The Director shall remove names from an eligible list for any of the following reasons:

 

A)        Appointment of an eligible from the eligible list;

 

B)        Death of an eligible;

 

C)        Notice by postal authorities that they are unable to locate the eligible at his/her last known address;

 

D)        Attempt by an eligible to practice any deception or fraud in connection with an examination;

 

E)        Evidence that the eligible lacks any of the qualifications required for the class for which he/she was erroneously declared eligible;

 

F)         Request of an eligible to remove name.

 

2)         The Director may remove names from an eligible list for any of the following reasons.  Eligibles shall be notified of such removal.

 

A)        Failure of an eligible, upon referral, to reply or to report for interview;

 

B)        After accepting employment, failure without good cause to report to work within the time prescribed by the employing department or the Department of Personnel;

 

C)        Failure of an eligible, upon request, to furnish written evidence of availability for employment;

 

D)        Specifying conditions of employment by an eligible which are not associated with the class for which eligible;

 

E)        Refusal of an eligible to accept two separate offers of employment;

 

F)         After an eligible has been passed over two times after referral to the same department for the appointment of an eligible lower on the eligible list, and the department head concerned requests removal of the eligible from the list for good and sufficient cause;

 

G)        Poor work history of eligible;

 

H)        Former experience and history of eligible not compatible with duties and responsibilities of the class;

 

I)         Physical inability of eligible to perform the duties and responsibilities of the class;

 

J)         After eligible accepts promotion;

 

K)        When a change in either classification or testing standards or other change requires such action;

 

L)        Conviction of an eligible of a felony;

 

M)       Addiction of an eligible to narcotics or to alcohol.

 

r)          Replacement of Names on Eligible List:  The Director may restore a name to the same eligible list when such action is in the best interest of the Office of the Comptroller.

 

1)         Names of veterans returning from active military service of not more than four years shall be restored to an eligible list for the same class if the request is made by the veteran within 90 days after discharge or from hospitalization continuing after discharge for not more than one year.  The eligible must provide evidence of satisfactory completion of training and service when making the request and be qualified to perform the current duties of the class.

 

2)         Names of employees who are laid off during their probationary period shall be returned to the eligible list for the class in which the layoff occurred.

 

3)         Names so restored shall be at the grade in effect when the removal from the list was made and may not remain on the list after that period of time which is equal to the unexpired time remaining of the original eligibility.

 

s)         Appointment From Eligible List:  When an appointment to a position is made from an eligible list resulting from an open competitive examination, such appointment shall be made of the person standing among those who are available within the three highest grades, if such list is in order of examination grade, or from the highest ranking group, if such list is in category grouping, except as provided for under subsection (v) of this Section.

 

t)          Appointments – Positions Subject to Jurisdiction B:  Positions which are covered by Jurisdiction B of the Code shall be filled in one of the following ways:

 

1)         By appointment of an applicant standing among the three highest on an eligible list which is numerically rated;

 

2)         By appointment of an applicant from the highest ranking group of eligibles from an eligible list which is not numerically rated;

 

3)         By persons employed as of August 23, 1978 who have passed examinations in accordance with the Personnel Code under the Governor of Illinois and who having passed the probationary period shall be continued in their positions without further examination;

 

4)         By persons employed as of August 23, 1978 who having been promoted in accordance with the Rules under the Personnel Code under the Governor of the State of Illinois shall be continued in their positions without further examination;

 

5)         By persons employed as of August 23, 1978 who having passed examinations in accordance with the Personnel Code under the Governor of the State of Illinois, but who have not completed the probationary period shall be continued in their positions and be given credit for such probationary time toward the completion of the probationary period provided by this Part;

 

6)         By all other present employees subject to Jurisdiction B who shall be continued in their positions providing that they have passed a qualifying examination within 12 months after August 23, 1978;

 

7)         By persons employed as of  August 23, 1978 or past employees who have rights or privileges arising under the Personnel Code [20 ILCS 415] under the Governor of Illinois and who shall be continued in the extent of such rights and privileges;

 

8)         By an appointment to a position through promotion of an employee who is qualified pursuant to Section 500.260(a);

 

9)         By emergency appointment for a period not in excess of 90 calendar days to meet emergency situations.  Emergency appointments may be made without regard to eligible lists.  Such appointments may not be renewed;

 

10)       By intermittent appointments from an eligible list to positions not to exceed 1200 hours per year (12 month periods), minimum of 600 hours, to meet the operation needs of a department in periods of increased workloads;

 

11)       By temporary appointments to positions which are temporary or seasonal in nature as determined by the Director.  Such appointments shall not exceed six months out of any 12 month period;

 

12)       By provisional appointments to positions without competitive examination when there is no appropriate eligible list.  Provisional appointments may not exceed six months out of any 12 month period;

 

13)       By the transfer of employees from one position to another if the qualifications, responsibilities, duties, and salary range are similar;

 

14)       By reinstatement of persons who formerly held certified status under the Code, the Personnel Code of Illinois, the Secretary of State Merit Employment Code, or the University Civil Service System of Illinois.  To be eligible for reinstatement, such persons shall have resigned while in good standing or shall have been laid off from employment within their respective merit systems;

 

15)       By reemployment of an employee whose name appears upon a reemployment list; such reemployment may be made to positions in the same or lower salary range as to that salary range applicable to the position from which the person to be reemployed was laid off; reemployment appointments shall be of qualified employees and shall be made after consideration of seniority and performance records;

 

16)       By the appointment of trainees into training programs approved by the Director; such appointments may be made with or without examination of applicants; trainees do not acquire any rights under Jurisdiction B of the Code by virtue of trainee appointments;

 

17)       By the reduction in rank or class of an employee, for cause, with the prior approval of the Director;

 

18)       By the transfer of active, certified employees from the jurisdictions of the Personnel Code of Illinois, the Secretary of State Merit Employment Code or the University Civil Service System; persons so transferred shall retain the same status under the Code as that which they held under their previous merit employment.

 

u)         Types of Status:  The following types of appointments may be made by the Director:

 

1)         Exempt:

 

A)        For persons in positions not subject to Jurisdiction B.  If an exempt employee's position becomes subject to Jurisdiction B by reason of extension of Jurisdiction B, pursuant to Section 10d of the Merit Employment Code [15 ILCS 410/10d], such employee shall establish eligibility for such position by passing satisfactorily a qualifying examination prescribed by the Director within six months after the extension of Jurisdiction B to such position.

 

B)        In all other cases, if an exempt employee's position becomes subject to Jurisdiction B, such employee shall establish eligibility for such position within six months by successfully competing in the open competitive examination and receiving a probationary appointment according to applicable rules.

 

2)         Emergency:  For persons selected to meet emergency situations.  Such appointments shall not exceed 90 days, shall not be renewed, and may be made without regard to an eligible list.  Notices of selections and terminations shall be reported to the Director.

 

3)         Temporary:  For persons in positions to perform temporary or seasonal work.  No position shall be filled by temporary appointment for more than six months out of any 12 month period.

 

4)         Intermittent:  For persons in positions to perform intermittent work. No positions shall be filled by intermittent appointment for more than 1200 hours out of any 12 month period, a minimum of 600 hours.

 

5)         Provisional:  For persons in positions for which there are fewer than three available eligibles on the open competitive eligible list.  No positions shall be filled by provisional appointment for more than six months out of any 12 month period.  If a provisional employee's position is allocated to a class for which there are available eligibles, eligibility for such position shall be established within 90 days through successfully competing in the open competitive examination and receiving a probationary appointment according to the applicable rules herein.

 

6)         Probationary:  For persons appointed from an eligible list.  For persons receiving a promotion and for persons being reinstated.  If a probationary employee's position is declared exempt from Jurisdiction B, the balance of the probationary period shall be served after which certified status shall be attained.

 

7)         Certified:  For persons having successfully completed the required probationary period.  If a certified employee's position is declared exempt from Jurisdiction B, certified status shall be retained in that position.

 

8)         Trainee:  For persons in positions pursuant to established trainee and apprenticeship programs.

 

v)         Extension of Jurisdiction B:

 

1)         Employees in positions to which Jurisdiction B is extended pursuant to Section 10d of the Merit Employment Code [15 ILCS 410/10d] shall be continued in such positions and shall attain certified status therein provided they pass a qualifying examination prescribed by the Director within six months after such jurisdiction is extended and provided they satisfactorily complete their respective probationary periods.

 

2)         Appropriate standards for probationary appointments shall be prepared by the Director and appointments of such employees shall be without regard to eligible lists and without regard to the provisions of the Code and this Part requiring the appointment of the person standing among the three highest on the appropriate eligible list to fill a vacancy or from the highest category ranking group if the list is by ranking instead of numerical ratings.  Nothing herein shall preclude the reclassification or reallocation as provided by this Part of any position held by any such incumbent.

 

(Source:  Amended at 21 Ill. Reg. 13294, effective September 15, 1997)

 

Section 500.220  Trainees

 

a)         Programs:  The Director may establish trainee or apprenticeship programs for new and/or incumbent employees in accordance with the Position Classification Plan or at the request of a department.  No trainee position under this Section shall be established in any class other than a trainee class.  A trainee or apprenticeship program shall prescribe the purpose, duration, and method of selection and shall include curriculum information and employee benefits in a form and manner required by the Director.  A trainee or apprenticeship program may be established for one or more of the following purposes and shall be for a duration not to exceed the limits stated in the class specifications therefor.

 

1)         To develop, through an established program of supervised training and experience, qualified employees for positions which are, in the judgment of the Director, difficult to fill with qualified employees;

 

2)         To cooperate with recognized educational institutions and organizations by making available opportunities for supervised training and work experience required for satisfactory completion of such cooperative or affiliated training programs;

 

3)         To provide specialized orientation and training necessary for satisfactory performance of jobs in technical or professional fields;

 

4)         To attract and interest better qualified employees to State service by selecting outstanding persons and giving them supervised work experience during their period of academic training.

 

5)         To provide training or developmental work experience for the socially, culturally, economically, or physically disadvantaged which would assist them in acquiring or augmenting employment skills and/or provide employment opportunities of limited duration.

 

b)         Appointments:  Appointment to a trainee position shall be made pursuant to a trainee or apprenticeship program established and approved in accordance with Section 500.220(a).

 

c)         Limitations on Trainee Appointments:

 

1)         Trainees appointed to a position in a trainee class in accordance with the Rules of the Department concerning Examinations and Eligible Lists may be promoted after passing an appropriate examination for the title for which they are training.

 

2)         Trainees not selected by open competitive examination shall obtain probationary appointments in the titles for which they are training only after they have passed appropriate open competitive examinations and their names have been reached on the resulting eligible lists.

 

3)         Trainees appointed in such status as the result of an open competitive examination and whose positions are allocated may be placed in probationary status in the class to which said position is allocated.

 

4)         Trainees appointed without open competitive examination and whose positions are allocated may be placed in probationary status in the class to which said position is allocated upon successful completion of an appropriate open competitive examination, and their names shall have been reached on the resulting eligible lists.

 

Section 500.225  Intermittents

 

a)         Intermittent Positions:  The Director shall, as required to fulfill the operating needs of a department, establish intermittent positions to perform work seasonal in nature or to help in periods of increased workloads. Intermittent positions shall not be established in place of permanent positions.  Appointments shall be made to such positions in the same manner as appointments to permanent positions.

 

b)         Limitations on intermittent employees:  An intermittent employee shall be subject to the following limitations and conditions of employment, but shall otherwise be covered by the full benefits of Jurisdictions A, B and C:

 

1)         An intermittent employee shall not be used as a replacement for a permanent employee, but may substitute for an absent employee.

 

2)         An intermittent employee shall work a maximum of 1200 hours per year (12-month period), minimum of 600 hours.  An effort shall be made to balance the hours worked among intermittents.  An intermittent employee who works more than 1200 hours shall be reassigned in accordance with Section 500.110(a), (b) and (c) to a permanent full-time position. An intermittent employee offered work less than the minimum of 600 hours shall be considered suspended without cause and may grieve or appeal in accordance with the applicable rules regarding suspension.

 

3)         The continuous service of an intermittent employee shall be computed on the basis of hours worked, each 7 hours being equivalent to one day.

 

4)         An intermittent employee shall accrue sick and vacation leave on a prorated basis, dependent upon the amount of time in pay status during a given month.

 

5)         An intermittent employee shall receive full pay for an official holiday if scheduled to work that day of the week and if he or she works the last scheduled work day before the holiday and the first scheduled work day after the holiday.

 

6)         An intermittent employee refusing to be scheduled three times in one calendar quarter shall be considered for discharge for failure to perform assigned duties, if given 24-hour notice of scheduling, unless proof of illness or death in the family is presented.

 

7)         A semiannual review of the intermittent program shall be made by the Director of Human Resources to insure compliance with this Part.

 

(Source:  Added at 21 Ill. Reg. 13294, effective September 15, 1997)

 

Section 500.230  Continuous Service

 

a)         Definition:

 

1)         Continuous service is the uninterrupted period of service from the date of original appointment to State service except as provided for in Section 500.230(g).

 

2)         Employees who have accrued continuous service in another merit system in State service or who have accrued continuous service in State service not covered by a merit system, and who have been transferred to a department subject to the Personnel Code, shall be given such credit for said service as shall be determined by the Director or required by law.

 

b)         Interruptions in Continuous Service:  Continuous service shall be interrupted by:

 

1)         Resignation; provided, however, that such continuous service will not be interrupted by resignation when an employee is employed in another position in State service within 4 calendar days of such resignation;

 

2)         Discharge; provided, however, such continuous service shall not be interrupted if the employee is retained in the position after a hearing before the Merit Commission;

 

3)         Termination; because an employee has not been reemployed within 2 years after layoff.

 

c)         Deductions From Continuous Service:  Except as provided in Section 500.230(f), the following shall be deducted from, but not interrupt continuous service:

 

1)         Time away from work for any leaves of absence without pay totaling more than 30 days in any 12 month period except time away from work for a leave of absence to accept a temporary, provisional, emergency, or exempt assignment in another class shall not be deducted from continuous service;

 

2)         Time away from work because of disciplinary suspensions totaling more than 30 days in any 12 month period;

 

3)         Time away from work because of layoff.

 

d)         Veterans Continuous Service:

 

1)         Leaves of absence shall be granted to all employees except temporary or emergency employees, who leave their positions and enter military service for 4 years or less (exclusive of any additional service imposed pursuant to law).  An employee shall be restored to the same or similar position on making an application to the Department of Personnel within 90 days after separation from active duty or from hospitalization continuing after discharge for not more than 1 year. The employee must provide evidence of satisfactory completion of training and military service when making application and be qualified to perform the duties of the position.

 

2)         Subject to the provisions of Section 500.210(s), a veteran who returns to State service after having been granted a leave of absence from provisional status shall be permitted and required to pass the same or similar examination for his/her position within 90 days.

 

3)         Trainees who have not previously done so and whose training was interrupted by military leave, shall be required to qualify in an examination in the trainee class before being granted allocation or non-competitive promotion to a higher class.

 

e)         Peace Corps or Job Corps Enrollees Continuous Service:  Any employee who volunteers for service in the overseas or domestic Peace Corps or Job Corps shall be given a leave of absence from his/her State employment for the duration of his/her initial period of service and restored to the same or similar position provided that the employee returns to his/her employment within 90 days of the termination of his/her service or release from hospitalization from a service Peace Corps or Job Corps connected disability.

 

f)         Accrual and Retention of Continuous Service During Certain Leaves:  During a maternity absence or an educational, military, Peace Corps, Job Corps, or service-connected disability leave, an employee shall retain and accrue continuous service provided appropriate application or return, as the case may be, is made pursuant to the requirements of Section 500.230(d) and (e).  No other employment benefit shall be granted during such leaves.

 

g)         Limitations on Continuous Service:  Temporary and emergency employees employed after August 23, 1978, shall not accumulate continuous service except as provided in the Comptroller Merit Employment Code.

 

Section 500.240  Performance Review

 

a)         Performance Records:

 

1)         Performance records shall constitute all material in an employee's personnel file which, in the judgment of the Director, is relevant to determining the appropriateness of proposed or recommended personnel transactions.

 

2)         Such records shall be considered by the Director in all cases of promotion, demotion, discharge, layoff, recall, reinstatement, geographical transfer, and certification.

 

b)         Performance Evaluation Forms:  Performance records shall include an evaluation of employee performance prepared by each department head or designee on forms prescribed by the Director.

 

1)         For an employee serving a 6 months probationary period, the department head or designee shall prepare and submit to the Department two such evaluations – one at the end on the 3 month of the employee's probationary period and another 15 days before the conclusion thereof.

 

2)         For an employee serving a 3 month probationary period, the department head or designee shall prepare and submit to the Department of Personnel and evaluation form two and one-half (2½ months after commencement of the probationary period.

 

3)         For a certified employee, each department head or designee shall prepare such evaluation not less often than each time an employee receives a satisfactory or superior performance increase under the Department's Pay Plan.  Each employee shall receive an annual performance evaluation.

 

Section 500.250  Probationary Status

 

a)         Probationary Period:

 

1)         A probationary period of six months (910 hours for intermittent employee) shall be served by:

 

A)        an employee who enters service or commences a new period of continuous service;

 

B)        an employee who is reinstated as provided under Section 500.290(a);

 

C)        an employee who is appointed from an open competitive eligible list, whether or not it is considered an advancement in rank or grade.  Trainees whose positions are allocated upward may achieve probationary status pursuant to Section 500.220(c).

 

2)         A probationary period of three months (455 hours for intermittent employee) shall be served by an employee who is demoted or promoted except a demoted probationary employee shall not be required to serve any probationary period if the employee previously held certified status in the class to which demoted.  A probationary employee transferred during the probationary period shall serve that portion of the probationary period which was not completed at the time of such transfer.

 

3)         A probationary period shall not be deemed to be continued by the payment of any sum for vacation or other benefits accrued during such probationary period.

 

4)         If an employee is absent from work for more than 15 calendar days during the probationary period because of leave of absence, disciplinary suspension, sick leave, work-related injury, or industrial disease, such absence shall serve to extend the probationary period by the length of the absence.

 

b)         Certified Status:  A probationary employee shall attain certified status only after successful completion of a probationary period.  Notice of certification will be sent to the employee and department head by the Director promptly thereafter.

 

c)         Status Change in Probationary Period:  An employee may not be promoted, demoted, discharged or transferred during the probationary period without the approval of the Director.

 

(Source:  Amended at 21 Ill. Reg. 13294, effective September 15, 1997)

 

Section 500.260  Promotions

 

a)         Definitions:  The appointment of an employee, with the approval of the department head and the Department of Personnel to a vacant position in a class in higher salary grade than the former class.

 

b)         Eligibility for Promotion:  The Director may approve the promotion of qualified employees who have established eligibility for the appropriate class, in accordance with merit standards set forth in Section 500.210(a).

 

c)         Limitations on Promotions:  No provisional, temporary, emergency, or probationary employee shall be promoted unless the employee has previously held certified status during his current period of continuous service.

 

d)         Failure to Complete Probationary Period:

 

1)         A promoted, certified employee who fails to satisfactorily complete the probationary period in the promoted position because of inability to perform the duties and responsibilities of the new promoted position shall be returned to a position in the class, department, and locality and with the status from which promoted.

 

2)         A promoted employee who is demoted during a probationary period shall serve a probationary period of 3 months unless he/she had previously held certified status in the former class in which case the return shall be to certified status.

 

3)         A promoted employee previously certified may be discharged for cause during the probationary period and in such event, the employee has the same rights to appeal as a certified employee.

 

Section 500.270  Employee Transfer

 

a)         Transfer:  A transfer is the assignment of an employee to a vacant position whose classification has the same maximum permissible salary or rate.

 

b)         Intra-Agency Transfer:  An employee may be transferred to a position in the same class to which appointed or to a position involving similar qualifications, duties, responsibilities, and salary range, in another department, section, or other unit within the office.  No such transfer shall be made without the approval of the Director.

 

c)         Inter-Agency Transfer:  An employee may be transferred to a position in the same class, or to a position involving similar qualifications, duties, responsibilities, and salary range in another agency or jurisdiction, with the approval of both agencies, the Directors, and with the consent of the employee.

 

d)         Geographical Transfer:  Geographical transfer is the transfer of an employee from one geographical location in the State to another for the performance of duties other than temporary assignments or details for the convenience of the employer.  Geographical transfers shall be made only with the approval of the Director.  An employee who refuses to accept a geographical transfer must report for duty at the new locations but may make written appeal of such transfer to the Merit Commission within 15 days after the effective date of the transfer.  An employee shall be reimbursed for all reasonable transportation and moving expenses incurred in moving to a new location because of permanent geographical transfer unless such transfer was applied for by the employee.

 

e)         Rights of Transferred Employees:  A transferred employee shall retain status, continuous service, and all accrued benefits.

 

f)         Transfer of Duties:  When the duties of a position are relocated by transfer or by abolition and reestablishment and when said duties are substantially the same, an incumbent employee may elect to relocate and retain the duties of the position.

 

g)         Limitation on Transfers:  Temporary, emergency, and provisional employees shall not be transferred.

 

Section 500.275  Demotion

 

a)         Definition:

 

1)         Demotion is the assignment of an employee to a vacant position in a class having a lower maximum permissible salary or rate than to the class from which the demotion was made for reasons of inability to perform work of the class from which the demotion was made.

 

2)         A department head may initiate demotion of an employee by filing a written statement of reasons for demotion with the Director in the form and manner prescribed.  Such written statement shall be signed by the head of the department and shall contain sufficient facts to show good cause for the demotion.  No demotion shall become effective without the prior approval of the Director who shall take into consideration the employee's education, experience, and performance records.

 

b)         Notice to Employee:  If the statement of reasons for demotion of a certified employee is approved by the Director, a copy of the approved statement of reasons for demotion shall be served on the employee by the Director, in person, or by certified mail, return receipt requested, at the employee's address appearing in the personnel file.

 

c)         Employee Obligations:  Upon receipt by the employee of the approved statement of reasons for demotion or upon the effective date thereof, whichever is later, the employee shall leave the position in which assigned prior to such statement of reasons and report for duty to the position to which demoted and such report shall be without prejudice to right to appeal under Section 500.275(e).

 

d)         Salary and Other Benefits of Employee:  Upon receipt by the employee of the approved statement of reasons for demotion, or on the effective date thereof, whichever is later, all salaries and benefits of such employee in the position in which assigned prior to receipt of such statement of reasons shall be adjusted to reflect the demotion.

 

e)         Appeal by Certified Employee:  A certified employee who has been served with approved statement of reasons for demotion may appeal to the Merit Commission, provided such appeal is made in writing within 15 days of receipt of the approved statement of reasons for demotion.

 

f)         Demotion of Other Employees:  The Director may approve the demotion of probationary employees.  Notice of such demotion shall be served on the employee by the Director, in person, or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

 

g)         Status of Demoted Employees:  A demoted certified employee shall be certified in the class to which demoted and shall not be required to serve a new probationary period.  Subject to Section 500.250(a), a demoted probationary employee shall serve a new probationary period in the class to which he is demoted.

 

(Source:  Amended at 5 Ill. Reg. 890, effective January 9, 1981)

 

Section 500.280  Layoffs and Reemployment

 

a)         Layoff Procedure:

 

1)         A department head may request the layoff of an employee because of lack of funds, material change in duties or organization, or lack of work, or the abolition of a position for any of these reasons.  Based on class, department, or other designation, layoffs shall be within organizational units justified by operations and approved prior to the layoffs by the Director.

 

2)         A proposed layoff is subject to the approval of the Director before becoming effective and shall include the following in the organizational unit in which the layoff is proposed:

 

A)        A list of all employees showing status and total continuous service;

 

B)        A listing of those employees to be laid off;

 

C)        Performance records of all employees in classes affected by layoff plan;

 

D)        An explanation of any layoff not in order of continuous service;

 

E)        An explanation of the organizational unit selected, reflecting department, facility, geographical, operational, and other elements deemed relevant by the department head.

 

b)         Order of Layoff:

 

1)         The following order shall be observed in making layoffs:

 

A)        No certified or probationary employee may be laid off until all temporary, intermittent, emergency, provisional, and exempt employees in the same class and organizational unit are terminated;

 

B)        No certified employee may be laid off until all probationary employees in the same class and organizational unit are terminated.

 

2)         Within status groups and accordance with the layoff plan submitted under subsection (a) of this Section, consideration shall be given to performance records and continuous service as defined in Section 500.230(a).

 

c)         Effective Date of Layoff:  Unless extraordinary operating conditions or events are specified in the proposed layoff plan, no layoff shall be effective until 10 days after the Director's approval of the layoff plan.

 

d)         Disapproval:  The Director may disapprove any layoff plan which results in a disproportionate impact on affected employees within the same race, sex, or religious group.

 

e)         Reemployment Lists:

 

1)         The department shall establish and maintain a reemployment list, by class, department, county, or other designated geographical area approved by the Director before layoff.  A certified employee who has been laid off shall be placed in order of length of continuous service as defined in Section 500.230(a) on a reemployment list for recall to the first available assignment to a position in the class (or related classes with substantially similar requirements and duties), department, county, or other designated geographical location or area in which the employee was assigned prior to being placed on the reemployment list.  Where circumstances warrant, at the discretion of the Director, such reemployment list may be established by related classes whose duties are substantially similar to the class from which the employee was laid off.

 

2)         An employee whose name has been placed on the reemployment list will also be eligible for reinstatement in accordance with Section 500.290(b).

 

f)         Employment From Reemployment List:  Whenever there is any person available on a reemployment list for recall to a vacant position for the same class, or related classes where such have been established pursuant to subsection (e) of this Section, department, county, or other designated geographical area, no temporary, provisional, or probationary appointment shall be made to such vacancy.

 

g)         Removal of Names From Reemployment List:

 

1)         A laid off employee's name shall be removed from the reemployment list when:

 

A)        The employee is recalled from layoff;

 

B)        The employee refuses an offer of permanent reemployment;

 

C)        The employee's name has remained on the reemployment list for 24 months;

 

D)        The employee has been reinstated in accordance with Section 500.290(b).

 

2)         Offers of temporary, exempt, or emergency appointment shall not be considered as recall or reinstatement.

 

h)         Laid Off Probationary Employees:

 

1)         The name of an original entrance employee who is terminated as a result of layoff before the completion of the probationary period shall be returned to eligible list with the same grade as when appointed.

 

2)         An employee serving a probationary period subsequent to promotion from a position in which the employee was certified who is to be laid off shall be given notice, and may request a voluntary reduction pursuant to Section 500.285(a) and (c).  If no voluntary reduction is effected, the employee will be laid off and the employee's name placed in seniority order as provided in Section 500.230(a) on the reemployment list for the department, work location, and title in which certified.

 

i)          Reconsideration Request Laid Off Certified Employee:

 

1)         Within 15 calendar days of receipt of notice of a certified employee's layoff and without prejudice to the right to request voluntary reduction, such employee may directly petition the Director of Personnel in writing for reconsideration of the decision approving the layoff.

 

2)         In the event a request for reconsideration is made, the Director shall designate a hearing officer to hear, review, and investigate the application of this Part and the validity of the layoff and who shall submit findings to the Director for final determination.  Notice of the final decision of the Director shall be served on the employee in person or by certified mail, return receipt requested, to the employee's last address appearing in the personnel file.

 

(Source:  Amended at 21 Ill. Reg. 13294, effective September 15, 1997)

 

Section 500.285  Voluntary Reduction

 

a)         Voluntary Reduction of Certified and Probationary Employees:  Certified and probationary employees may voluntarily request or accept assignment to a vacant position in a class having a lower maximum permissible salary or rate.  All requests for or acceptances of such voluntary reductions shall be in writing and shall be signed by the employee and be directed to the head of the department in which the vacant position exists.  No reduction shall become effective without the written approval of the Director.  A certified employee who is assigned and accepts a voluntary reduction in grade shall be certified in the lower class without serving a probationary period; provided, however, if reduction results in return to a trainee class or other class for which there is no provision for certification in said class, the individual's certification shall be terminated.

 

b)         Limitations in Voluntary Reduction:  Temporary, emergency, and provisional employees shall not be granted a request for voluntary reduction.

 

c)         Employee Opportunity to Seek Voluntary Reduction:  A certified employee or an employee serving a probationary period subsequent to promotion from a position in which certified who is subject to layoff as a result of the Director's approval of a layoff plan shall be promptly notified thereof of the effective date of layoff and shall then be advised of the opportunity to request voluntary reduction to a current vacant position in accordance with Section 500.285(a).  An employee seeking voluntary reduction must request such in writing to the head of the employing department prior to the proposed effective date of layoff.

 

d)         Order of Preference in Voluntary Reduction:  In the event a certified employee or an employee serving a probationary period subsequent to promotion from a position in which the employee was certified requests voluntary reduction as a result of his/her pending layoff, the certified employee shall be preferred in seniority order for any current vacant position in a lower class within the same department and location in which the employee is then incumbent at the time of such layoff over any probationary or provisional employees, any applicant on an eligible list for such vacant position, and any certified employee requesting such reduction who is not subject to layoff.

 

Section 500.290  Resignation and Reinstatement

 

a)         Resignation:  An employee who voluntarily leaves the Office of the Comptroller shall, except in emergency circumstances approved by the Director, give advance notice of intent not less than 15 calendar days before its effective date.  Resignation in good standing shall mean that the employee gave the required notice, or that emergency circumstances justified failure to do so, and that the employee's conduct and work performance were satisfactory at the effective date thereof.

 

b)         Reinstatement:

 

1)         On request of a department head, the Director may reinstate an employee who was formerly certified under the Comptroller Merit Employment Code and who resigned or terminated in good standing or whose position was reallocated downward or who was laterally transferred or whose name was placed on a reemployment list.  Such reinstatement may be to a position in the class to which the employee was assigned prior to resignation, termination, downward allocation, lateral transfer, or layoff or to an equivalent or lower position in a related series.  The Director may reinstate an employee who was formerly certified under the "State Personnel Code," the Secretary of State Merit Employment Code or the University Civil Service System of Illinois.  A reinstated employee shall serve an additional six month probationary period in the position.  Requests for reinstatement shall be accompanied by the employee's performance records when available.

 

2)         A certified employee whose name appears on a reemployment list may be reinstated to a position other than the position to which the employee is eligible for reemployment.  If reinstated to a position in the same or a higher pay grade than that for which the employee is eligible for reemployment, then upon satisfactory completion of the new probationary period, the employee's name shall be removed from the reemployment list. If reinstated to a position in a lower pay grade than that for which the employee is eligible for reemployment, it shall have no effect on the employee's reemployment rights.

 

(Source:  Amended at 5 Ill. Reg. 890, effective January 9, 1981)

 

Section 500.295  Discipline, Discharge, and Demotion

 

a)         Progressive Corrective Discipline:  Unless grounds clearly are present warranting immediate discharge or suspension pending decision on discharge, employees shall be subject to corrective discipline progressively applied utilizing counseling, warnings, and/or suspensions, as the facts and circumstances dictate, prior to discharge.  If an employee's work or work-related conduct remains unacceptable after the application of progressive corrective discipline, such employee may be discharged in accordance with the appropriate rules below.

 

b)         Discipline – Written Warnings:  A department head or designee may warn an employee either orally or in writing as a disciplinary measure.  A copy of any written warning shall be placed in the employee's personnel file and it may be used in considering further discipline, demotion, withholding of salary increases, and other personnel transactions when such actions occur within 12 months of the date of issuance of the written warning. The employee shall sign one copy signifying he/she has received and read it and retain one copy for his/her own records.  The written warning shall bear the signature of the issuing official.

 

c)         Suspension Totaling Not More Than Thirty Days in Any Twelve Month Period:  Disciplinary suspensions without pay totaling not more than 30 days in any 12 month period may be imposed upon an employee by a department head or designee.  Unless delay in the imposition of discipline will result in clear harm or damage to a department, the employee shall be informed in writing of the proposed suspension and the reasons therefor at least 4 working days prior to the effective date of the proposed suspension and be provided with copies of pertinent documents on which the proposed suspension is based.  The employee shall have 2 working days after being informed of the proposed suspension within which to address to the department head written rebuttal to the reasons given for the suspension.  A decision of a department head or designee not to suspend the employee shall be rendered in writing before the proposed suspension date.  Written notice of any suspension imposed with the reasons therefor must be served upon the employee on a form prescribed by the Director on or before the effective date of the suspension in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.  The Personnel Director must be notified of any suspensions and copies of all written notices must be filed with the Director on the same day or prior to the date the suspension became effective.

 

d)         Suspension Totaling More Than Thirty Days in Any Twelve Month Period:  The department head or designee may, after complying with the procedures set forth in this subsection, initiate a disciplinary suspension of any employee totaling more than 30 days in any 12 month period and if such employee is certified, the department head shall file written charges for such suspension with the Director in the form and manner prescribed. Such written charges shall be signed by the department head or designee, and shall contain a clear and concise statement of facts showing good cause for such suspension.  The charges shall be accompanied by a copy of the employee's performance records.  Unless delay in the imposition of discipline will result in clear harm or damage to a department, the employee shall be informed in writing of the proposed suspension and the reasons therefor at least 4 working days prior to the effective date of the proposed suspension and be provided with copies of pertinent documents on which the proposed suspension is based.  The employee shall have 2 working days after being informed of the proposed suspension within which to address to the department head or designee written rebuttal to the reasons given for the suspension.  A decision of a department head or designee not to suspend the employee shall be rendered in writing before the proposed suspension date.  A copy of the written decision must be forwarded to the Director on the day the decision is rendered.

 

e)         Notice to Employee:  Notice of approved charges for a disciplinary suspension totaling more than 30 days in any 12 month period shall be served on a certified employee by the Director, in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

 

f)         Employee Obligations:  Upon receipt by the employee of a disciplinary suspension or charges for discharge, the employee shall leave the place of employment and if deemed appropriate by the department head, any housing or other accommodations furnished the employee by the Office of the Comptroller.

 

g)         Hearing – Suspension Thirty Calendar Days or More:  Employees who have been suspended for a period in excess of 30 calendar days in a 12 month period for cause may make a written request to the Commission for hearing thereof within 15 calendar days of receipt of written charges.

 

h)         Suspension Pending Decision on Discharge:  A department head or designee may suspend any employee for up to 30 days pending the decision of the department head whether charges for discharge shall be filed against such employee.  The department head shall at the time of such suspension provide the employee with written reasons therefor in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.  Notice of such suspension must also be filed immediately with the Director.  The Department head shall thereafter promptly investigate the facts and circumstances and render his/her decision.  Should the department head determine that the facts and circumstances do not warrant disciplinary suspension or charges for discharge, the employee shall be made whole.  Should the department head determine that a disciplinary suspension is appropriate, Section 500.295(c) or (d), as the case may be, shall apply in its entirety.  Should the department head determine that discharge of the employee is appropriate, Section 500.295(j) shall apply in its entirety.

 

i)          Approval of Director of Personnel:  No disciplinary suspension totaling more than 30 days in any 12 month period for a certified employee shall be effective without the approval of the Director.

 

j)          Discharge of Certified Employee:  The department head or his designee may initiate discharge of a certified employee by filing written charges for discharge with the Director in the form and manner prescribed by the Director.  Written charges shall be signed by the department head and shall contain a clear and concise statement of facts showing good cause for discharge and shall be accompanied by a copy of the employee's file and performance records.  No discharge of a certified employee shall be effective without the approval of the written charges for discharge by the Director.

 

k)         Notice to Employee:  Notice of approved charges for discharge shall be served on the employee by the Director, in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

 

l)          Appeal By Employee:  A certified employee who has been served with approved charges for suspension in excess of 30 days or discharge may appeal to the Merit Commission, provided such appeal is made in writing within 15 days of receipt of such approved charges.

 

m)        Discharge of Probationary Employee:  The Director may approve the discharge or suspension of a probationary employee at the request of a department head or designee.  In determining whether or not to approve the discharge of such employee, the Director shall consider the employee's employment record.

 

n)         Reinstatement From Suspension or Discharge:  An employee reinstated for the period for which he/she was suspended or discharged shall receive full compensation for such period.  Full compensation shall mean compensation such suspended or discharged employee would have earned in the position classification during the period of suspension or discharge less amounts earned by the employee from any other source and any unemployment compensation payments received during such period.

 

o)         Suspension or Discharge Resulting From Arrest or Criminal Indictment:

 

1)         The arrest or criminal indictment of any employee shall not be grounds for suspension or discharge unless the arrest or indictment and facts in support of either made known to the Director:

 

A)        Resulted from an employee's conduct in the course of employment duties, including a failure to perform such duties;

 

B)        Occurred on or proximate to State premises and as a result of the employee's conduct thereon;

 

C)        Raises reasonable doubt concerning the employee's suitability for continued State employment in the present assignment or position.

 

2)         If an employee is not subject to suspension or discharge under this subsection, the Director may, at the request of the employee, place such employee on indefinite leave status, without pay, pending a final court determination of innocence or guilt, subject to reimbursement of salary if acquitted.

 

p)         Prohibition of Discrimination:

 

1)         Discrimination against any person in recruitment, examination, appointment, training, promotion, retention, or any other personnel transaction, because of religion, race, national origin, sex, age, or any other non-merit factor is prohibited except where such may be a bona fide job qualification.

 

2)         Any applicant or employee who feels adversely affected in employment because of such discrimination shall have resort to the grievance procedure hereunder and may be joined in such procedure by the Equal Employment Opportunity Officer or designee where necessary or appropriate.

 

(Source:  Amended at 5 Ill. Reg. 890, effective January 9, 1981)

SUBPART D: CONDITIONS OF EMPLOYMENT

 

Section 500.310  Grievance Procedure

 

a)         Grievance – Definition:  Any employee of the Comptroller may grieve as to the application of the Merit Employment Code, this Part or any policy arising hereunder as to the impact of such application upon his/her employment condition or his/her status.

 

b)         Grievance Procedure – Limitation:

 

1)         The Rules of the Department and the official policy arising thereunder are not grievable matters.  Probationary terminations, charges seeking discharge, demotion, or suspensions totaling more than 30 days in any 12 month period of certified employees, appeals of allocation of duties, or transfers from one geographical area in the State to another are not subject to grievance procedure.

 

2)         An employee shall be allowed reasonable time with pay during working hours for the presentation of a grievance, provided the employee has obtained permission from his/her immediate supervisor and the employee's absence will not interfere with agency operations.

 

c)         Grievance Procedure – Abandonment – Extension:

 

1)         Failure of either party to comply with the form or time requirements of the grievance procedure shall resolve the matter in favor of the other. The parties may mutually extend the time limits in writing at any level of the procedure excepting in cases of hearings arising from demotion or discharge of a certified employee.

 

2)         An employee's failure to submit a grievance, or to submit or appeal it to the next level of this procedure within specified time limits therefore, shall mean that the employee has withdrawn the grievance or accepted the last answer given in the grievance procedure.

 

d)         Grievance Procedure – Steps of:

 

1)         Step 1:  A grieving employee shall present the grievance orally to the immediate supervisor explaining its nature and circumstances within 5 scheduled working days after learning of the circumstances or condition which gave rise to it.  The immediate supervisor shall answer within 5 scheduled working days of its presentation.

 

2)         Step 2:  If the grievance is not satisfactorily resolved or no answer is given within 5 scheduled working days of its presentation, the employee may, within 10 days of the date the Step 1 answer was due, submit the grievance to the next higher supervisor by reducing the grievance to writing on a form prescribed by the Department for such purpose and presenting it to the next higher supervisor or the person designated to act at this Step.  A written answer thereto shall be given within 5 working days of its receipt by such person.

 

3)         Step 3:  If the grievance is not satisfactorily resolved or no answer is given within 5 scheduled working days after its written submission at Step 2, the employee may, within 10 working days after the Step 2 answer was due, appeal the grievance to the head of the department by using the same or a different form.  Within 20 working days after the Step 3 appeal is filed, the head of the department shall render a written decision thereon, and shall serve a copy of said written decision upon the grievant.  Failure of the department head to render a written decision and to serve it upon the grieving employee within the specified time shall automatically move the grievance to Step 4.

 

4)         Step 4:  If the grievance is not satisfactorily resolved or no answer is given within the time limit set forth in Step 3, the employee may submit a copy of the written statement of grievance theretofor submitted in Step 3 within 10 working days from the date the decision was due to the Director of Personnel for review and final determination.

 

e)         Grievance Committee:

 

1)         The Director of Personnel shall appoint 10 employees of the State of Illinois to comprise a grievance committee panel to hear grievances.  In addition to State employees, the Director shall appoint persons to the panel who are not employees of the State of Illinois but who have knowledge and experience in personnel administration or employee relations.  Committees of 3 persons may be selected by the Director of Personnel from the grievance committee panel to hear employee grievances.  Not more than one panel member shall be selected from any one department, and no panel member shall be appointed to a committee which is convened to hear a grievance arising from the department in which the panelist is an employee.

 

2)         In addition to the 3 committee members appointed to hear a grievance, there shall be an employee of the Department present at all grievance hearings and deliberations thereon to assist the panel in its determination.  The Department employee shall act as secretary-chairperson of the committee, and shall be entitled to vote on its recommendations. Unless an expedited Step 4 procedure is agreed to by the parties pursuant to procedures and policies issued by the Director, the members of the grievance committee shall reduce their recommendations as to the disposition of the grievance to writing and submit them to the Director of Personnel.  A dissenting member of the committee may make separate recommendations.  All recommendations will bear the signature of the concurring committee members.

 

3)         Upon receipt of recommendations from a grievance committee, the Director shall approve, disapprove, or modify the panel recommendations, shall render a decision thereon in writing, and cause a copy of such decision to be served upon the parties.  The Director's decision shall be final.

 

4)         The written statement of the employee's grievance, the recommendations of the grievance committee, and the decision of the Director of Personnel thereon shall be made a part of the permanent record of the grieving employee in the files of the Department.

 

f)         Representation:  In discussions or meetings with the employer in Steps (2), (3) or (4) of the grievance procedure, the employee shall be entitled to be present and may be accompanied by a representative of his/her choice.

 

Section 500.320  Leave of Absence

 

a)         Sick Leave:  All employees, excepting those in emergency, intermittent, per diem, or temporary status unless such status is the result of accepting a non-permanent working assignment in another class, shall accumulate sick leave at the rate of one day for each month's service.  Intermittent employees shall accrue sick leave on a prorated basis.  Sick leave may be used for illness, disability, or injury of the employee, appointments with doctor, dentist, or other professional medical practitioner and also may be used for not more than 30 days in one calendar year in the event of serious illness, disability, injury, or death of a member of the employee's immediate family.  The Department may require evidence to substantiate that such leave days were used for the purposes herein set forth.

 

b)         Accumulation of Sick Leave:  Employees shall be allowed to carry over from year to year of continuous service any unused sick leave allowed under this Part and shall retain any unused sick leave accumulated prior to the effective date of this Part.

 

c)         Advancement of Sick Leave:  An employee with more than two years continuous service whose personnel records warrant it may be advanced sick leave with pay for not more than 10 working days with the written approval of the department head and the Director.  Such advances will be charged against sick leave accumulated later in subsequent service.  If an employee is terminated prior to repayment of advanced sick days, one day's pay for each day owed shall be retained by the agency or repaid by the employee.

 

d)         Leave for Personal Business:

 

1)         All employees, excepting those in emergency, per diem, or temporary status, shall be permitted 21 hours (or the equivalent 3 working days) of leave for personal business each calendar year with  pay.  Intermittent employees shall receive leave for personal business on a prorated basis.  Such personal days may be used for occurrences or observance of religious holidays, Christmas shopping, absence due to severe weather conditions, or for other similar personal reasons but shall not be used to extend a holiday or annual leave except as permitted in advance by the department head through prior written approval.  Employees entitled to receive such leave who enter service during the year shall be given credit for such leave at the rate of 3 ½ hours (½ day) for each two months service for the calendar year in which hired.  Such personal leave may not be used in increments of less than one hour at a time.  Except for those emergency situations which preclude the making of prior arrangements, such days off shall be scheduled sufficiently in advance to be consistent with operating needs of the employer.

 

2)         Personal leave shall not accumulate from calendar year to calendar year.

 

e)         On-The-Job Injury – Industrial Disease:  An employee who suffers an on-the-job injury or who contracts a service-connected disease shall be allowed full pay during the first calendar week of absence without utilization of any accumulated sick leave or other benefits.  Thereafter, the employee shall be permitted to utilize accumulated sick leave.  In the event such service-connected injury or illness becomes the subject of an award by the Industrial Commission, the employee shall restore to the State the dollar equivalent which duplicates payments received as sick leave days and the employee's sick leave account shall be credited with sick leave day equivalents.

 

f)         Leave of Absence Without Pay:  Unless otherwise provided in this Part, and with the prior approval of the Director, a department head may grant leaves of absence without pay to employees for periods not to exceed six months, and such leaves may be extended for good cause by the department head for additional six month periods with the Director's approval.  No emergency or temporary employee shall be granted a leave of absence except as provided in subsection (e) above.

 

g)         Leaves of Absence – Special:  The Director may grant special leaves of absence to employees for purposes of education, attendance at professional or union conventions, or for similar reasons wherein a benefit would accrue to the skills of the work force.

 

h)         Leaves of Absence – Special – Salary:  The Director shall determine for each special leave of absence that is approved, whether such leave shall be with or without pay, full or partial.

 

i)          Maternity Absence:

 

1)         Employees shall be granted leaves of absence to cover the period of their pregnancy.  The length of such leave shall not exceed six months but may be renewed pursuant to subsection (f) above.

 

A)        A pregnant employee shall inform her immediate supervisor and the Department of Personnel of her condition not later than three months prior to her expected date of delivery and shall present to the Department of Personnel a written statement signed by her physician stating the expected date of delivery.

 

B)        A pregnant employee may continue in regular employment so long as her physician, upon request by the Director, states in writing she is able to perform her normal work assignments.

 

C)        An employee who has been absent because of maternity leave may return to employment as soon as her physician advises the Department of Personnel in writing that she is then able to perform her normal work assignments.

 

D)        If the department head or Personnel Director has reason to believe that the employee is unable to perform her duties, he/she may seek and rely upon the decision of an impartial physician chosen by agreement of the parties.  In the absence of agreement of an impartial physician, the Director will select a physician who is to act as an impartial physician.

 

2)         Sick leave may be used to cover periods of absence during pregnancy and convalescence thereafter.

 

j)          Leave to Take Exempt Position:  The Director may approve leaves of absence for certified employees who accept appointment in a position which is exempt from Jurisdiction B of the Merit Employment Code.  Such leaves of absence may be for a period of one year or less and may be extended for additional one year periods.  At the expiration thereof, an employee shall be restored to the same or similar position upon making application to the department with continuous service including the period of such leave.

 

k)         Military, Job Corps, and Peace Corps Leave:  Leaves of absence shall be allowed employees who enter military service, the Peace Corps, or Job Corps as provided in Section 500.230(d) and (f) and as may be required by law.

 

l)          Leave For Annual Military Reserve Training or Special Duty:

 

1)         An employee who is a member of a reserve component of the Armed Services, the Illinois National Guard, or the Illinois Naval Militia shall be allowed leave with pay not to exceed one full pay period annually without loss of any other accrued benefit.

 

2)         If time required on any of the types of military service covered by this Part exceeds one full pay period in any one fiscal year, the employee shall be granted additional leave without pay by the employing department provided, however, that during periods of active service to meet emergencies as proclaimed by the Governor, the employee shall be granted a leave of absence with pay.  Upon receiving the sum paid for such service under the Illinois Military Code, the employee shall submit the warrant, or its equivalent, to the department to be returned to the fund in the State Treasury from which the original agency payroll warrant was drawn.  In the event the military pay is greater than the State compensation for the period of emergency call-up, the employee shall retain the military pay and return to the department the amount the agency paid the employee for the period.

 

3)         An employee shall provide the department with certification by the commanding officer of the employee's unit that all leave time was used for the purpose for which granted.

 

m)        Leave For Military Physical Examinations:  Any employee drafted into military service shall be allowed up to three days leave with pay to take a physical examination required by such draft.  Upon request, the employee must provide the department with certification by a responsible authority that the period of leave was actually used for such purpose.

 

n)         Leave of Absence – Election to Public Office:  Employees who are elected to public office shall, upon request, be granted a leave of absence without pay for so long as he/she remains an elected public officer and he/she shall be returned to the same or comparable position from which he/she was on leave providing he/she so requests within 30 calendar days following termination of his/her elected office.

 

o)         Employee Rights After Leave:  When an employee returns from a leave of absence of six months or less, the department shall return the employee to the same or similar position in the same class in which the employee was incumbent prior to the commencement of such leave.  Except for those leaves granted under subsections (j) and (k) of this Section, when an employee returns from a leave or leaves exceeding six months and there is no vacant position available to him/her in the same class in which the employee was incumbent prior to such leave or leaves commencing, the employee may be laid off without consideration of continuous service and if laid off, the employee's name shall be placed on the reemployment list.

 

p)         Failure to Return:  Failure to return from leave within five days after the expiration date may be cause for discharge.

 

q)         Attendance in Court:  Any permanent employee called for jury duty or subpoenaed by any legislative, judicial, or administrative tribunal, shall be allowed time away from work with pay for such purposes.  Upon receiving the sum paid for jury service or witness fee, the employee shall submit the warrant, or its equivalent, to the department to be returned to the fund in the State Treasury from which the original payroll warrant was drawn. Provided, however, an employee may elect to fulfill such call or subpoena on accrued time off and personal leave and retain the full amount received for such service.  Emergency or temporary employees shall be allowed time off without pay for such purpose and shall be allowed to retain the reimbursement received therefor.

 

(Source:  Amended at 21 Ill. Reg. 13294, effective September 15, 1997)

 

Section 500.330  Holidays

 

a)         Authorized Holidays:  All employees shall have time off, with full salary payment, on the following holidays:

 

            New Year's Day

 

            Martin Luther King Day

 

            Lincoln's Birthday

 

            Washington's Birthday

 

            Memorial Day

 

            Independence Day

 

            Labor Day

 

            Columbus Day

 

            Veterans' Day

 

            Thanksgiving Day

 

            Day after Thanksgiving

 

            Christmas Day

 

            General Election Day (on which members of the House of Representative are elected)

 

            and any additional days proclaimed as holidays or non-working days by the Comptroller of the State of Illinois or by the President of the United States.

 

b)         Holiday Observance:  Where employees are scheduled and required to work on a holiday, equivalent time off will be granted within the following twelve month period at a time convenient to the employee and consistent with the department's operating needs.

 

c)         Holiday During Vacation:  When a holiday falls on an employee's regularly scheduled work day during the employee's vacation period, an extra day shall be added to the employee's vacations.

 

d)         Eligibility for Holiday Pay:  To be eligible for holiday pay, the employee shall work the employee's last scheduled work day before the holiday and first scheduled work day after the holiday unless absence on either or both of these work days is for good cause and approved by the department head.  Intermittent employees are eligible for holiday pay under conditions stated in Section 500.225(b)(5).

 

e)         Holidays – Regional or Special:  The Comptroller or the Director may grant employees full or partial days off with pay to meet the unique needs of any region or area within the State.  Such special time off shall not accrue to any other employee in any other region or area of the State.

 

(Source:  Amended at 21 Ill. Reg. 13294, effective September 15, 1997)

 

Section 500.340  Vacation

 

a)         Eligibility:  Employees, except emergency, temporary, and those paid pursuant to Part II, Section 3, of the Pay Plan, shall earn vacation time. No employee on leave of absence may earn vacation except when the leave was for the purpose of accepting a temporary working assignment in another class.

 

b)         On and after July 1, 1979:  Eligible employees shall earn vacation time in accordance with the following schedule:

 

1)         From the date of hire until the completion of five years of continuous service:  10 working days per year of employment.

 

2)         From the completion of five years of continuous service until the completion of nine years of continuous service:  15 workdays per year of employment.

 

3)         From the completion of 9 years of continuous service until the completion of 14 years of continuous service:  17 workdays per year of employment.

 

4)         From the completion of 14 years of continuous service until the completion of 19 years of continuous service:  20 workdays per year of employment.

 

5)         From the completion of 19 years of continuous service until the completion of 25 years of continuous service:  22 workdays per year of employment.

 

6)         From the completion of 25 years of continuous service:  25 workdays per year of employment.

 

c)         Vacation time may be taken in increments of not less than ½  day at a time, any time after it is earned, provided the employee has at least six months of continuous service since latest date of hire.  Vacation time shall not be accumulated for more than 24 months after the end of the calendar year in which it is earned.

 

d)         Prorated vacation time for intermittent employees:  Intermittent employees shall earn vacation in accordance with the schedule set forth in subsection (b) of this Section on a prorated basis.

 

e)         Computation of vacation time of State employees who have interrupted continuous State service shall be determined as though all previous State service which qualified for earning of vacation benefits is continuous with present service.

 

(Source:  Amended at 21 Ill. Reg. 13294, effective September 15, 1997)

 

Section 500.350  Work Schedules

 

Each supervisor and/or department head shall prepare a schedule of working hours and work days pertaining to his/her work unit.  Such schedule shall set out starting and quitting times, break times, lunch time, and the work days that apply to the employees within his/her area of supervision.  Work schedules shall be submitted to the Director for his approval.  Upon approval, the schedules shall be posted and complied with by all of the employees within the work unit.

 

Section 500.360  Overtime

 

a)         Overtime:  For those positions approved by the Director and designated on lists maintained by the Director, authorized work in excess of an approved work schedule shall be overtime.  Such work may be compensated for in cash or compensatory time as determined by the department.  Overtime work shall be distributed as equitably as possible among qualified employees competent to perform the services required when overtime is required.  Employees shall be given as much advance notice as possible. Except where required by law, time spent in travel shall not be considered overtime.

 

b)         Compensatory Time:  An employee's overtime accumulation shall be liquidated by the utilization of compensatory time off, when such utilization is practical.  Where the approved work schedule is less than a 40 hour work week, overtime shall be compensated as a straight time rate.  Work in excess of a 40 hour week shall be compensated at time and one-half.

 

c)         Compensatory Time Schedule:  Compensatory time shall be scheduled at the employee's preference excepting in those circumstances where, with reasonable certainty, such absence would be harmful to the operation of his/her work unit.

 

d)         Overtime Compensation in Cash:  Whenever it is not practical to liquidate an employee's overtime with compensatory time off, the employee shall be reimbursed in cash.  Such payment shall be paid at straight-time rate for work in excess of the approved work schedule but less than a 40 hour work week.  Work in excess of a 40 hour work week shall be paid at time and one-half.

 

e)         Overtime – Accumulation:  All employee overtime compensation shall be liquidated within 45 calendar days of its accumulation.

 

f)         Overtime Payable Upon Death:  Upon the death of an employee, the person or persons specified in Section 14a of "An Act in relation to State finance," approved June 10, 1919, as now or hereafter amended (Ill. Rev. Stat. 1981, ch. 127, par. 150a), shall be entitled to receive from the appropriation for personal services theretofore available for payment of the employee's compensation such sum for accrued overtime as would have been paid or allowed to such employee had the employee survived.

 

(Source:  Amended at 5 Ill. Reg. 890, effective January 9, 1981)

SUBPART E: GENERAL PROVISIONS

 

Section 500.410  Public Records

 

Except as otherwise provided in this Subpart E, all records of the Department including eligible lists shall be public records and shall be available for inspection on written request to the Director.

 

Section 500.415  Time and Manner of Inspection

 

a)         The records of the Department shall be available for inspection during regularly scheduled hours of work.  Such records may be inspected only in the presence of an authorized employee of the Department.

 

b)         In the event the working conditions or the number of persons inspecting such records or the volume of records to be inspected interfere with the operations of the Department, the Director may schedule appointments for the inspection of such records.

 

Section 500.420  Employee Roster Files

 

The Director shall establish and maintain personnel files for employees subject to the Code showing the name, sex, county of residence, date of birth, date of original appointment to service, date of promotions, demotions, transfers, and other transactions, present position title, status, salary, and the operating department wherein the employee is assigned.

 

Section 500.425  Confidential Records

 

The following records of the Department of Personnel shall be confidential and not available for public inspection:

 

a)         Personal history of employee.  The employee or authorized agent may inspect the employee's personal history and personnel file; if authorization is in writing and signed by employee.

 

b)         Reports of medical, psychological, and psychiatric examinations.  An employee may inspect such reports pertaining to him/her.

 

c)         All parts of examinations.  An employee or applicant may inspect his/her own answer sheet.

 

d)         The identity, complete questionnaire, and other documents related to salary surveys.  Results of salary surveys shall be available.

 

e)         No records of personnel transactions including requisitions and referrals will be made available until such transactions have been completed.

 

Section 500.430  Attendance Records

 

Each operating department shall maintain accurate, daily attendance records.

 

Section 500.435  Notification of Absence

 

An employee shall, whenever possible, provide advance notice of absence from work.  Absence of an employee for 5 consecutive days without reporting to the department may be cause for discharge.

 

Section 500.440  Review of Attendance Records

 

An employee shall have the right to review his/her attendance record on file in his/her operating department or the Department of Personnel.

 

Section 500.445  Undated Forms

 

No supervisor or other person in a position of authority shall demand or request that an employee sign an undated resignation or any blank form.  No employee shall be required to sign such a form.  Any such demand shall entitle the employee to immediate appeal to the Director.

 

Section 500.450  Incomplete Forms

 

Any information placed on a form or any modification or alteration of existing information made on a form subsequent to having been signed by an employee shall be null and void insofar as it may affect the employee, the employee's position, or condition of employment.  Any employee required to sign any form prepared pursuant to this Part shall be given a copy of it at the time the employee's signature is affixed.

 

Section 500.455  Evaluation Forms

 

Employees shall be required to sign all evaluation forms to indicate they have read the evaluation and it has been discussed with them.

 

Section 500.460  Portability of Certain Benefits

 

Sick leave earned but not taken by employees in the course of employment not subject to the Merit Employment Code shall be deemed to have been earned by them at the time they become subject to such jurisdiction to the extent such benefits are provided and would have been earned hereunder.

 

Section 500.470  Effective Date of Rules

 

This Part and amendments thereto shall become effective 10 days after copies thereof have been filed with the Secretary of State – Index Division, except that, in case of emergency, Rules or amendments thereto may become effective immediately upon such filing if accompanied by a certificate executed by the Director pursuant to applicable provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

 

Section 500.475  Savings Clause

 

If any Section or part of any Section of this Part shall be held invalid, the remaining provisions of the Part shall have, and be given full force and effect as completely as if the invalidated part had not been included therein.

 

Section 500.480  Interpretation and Application of Rules

 

The Director of Personnel shall determine the proper interpretation and application of each Rule of the Department of Personnel.  The decision of the Director as to the proper interpretation or application of any such rule shall be final and binding upon all departments and employees affected thereby unless or until modified or reversed by the Commission or the courts.  All departments and employees shall comply with the Director's decision in the absence of a written opinion of the Attorney General or a written directive of the Commission declaring the Director's decision to be unlawful.

 

Section 500.485  Policy

 

The Director shall promulgate such policy as is necessary to obtain compliance with the Rules and with the Code.

 

Section 500.490  Retroactivity

 

This Part shall not be retroactive beyond the date of its effectiveness excepting as herein expressly stated.