AUTHORITY: Implementing and authorized by Section 10 of the Secretary of State Merit Employment Code [15 ILCS 310].

SOURCE: Emergency rule adopted December 29, 1977; amended at 3 Ill. Reg. 49, p. 159, effective October 1, 1979; amended at 4 Ill. Reg. 40, p. 219, effective December 1, 1980; amended at 6 Ill. Reg. 3302, effective March 16, 1982; amended at 6 Ill. Reg. 7494, effective June 16, 1982; amended at 7 Ill. Reg. 11526, effective September 7, 1983; codified at 8 Ill. Reg. 2653; recodified at 10 Ill. Reg. 15659; amended at 12 Ill. Reg. 6766, effective April 1, 1988; amended at 17 Ill. Reg. 1652, effective February 1, 1993; emergency amendment at 21 Ill. Reg. 1710, effective January 27, 1997, for a maximum of 150 days; amended at 21 Ill. Reg. 5937, effective April 24, 1997; emergency amendment at 27 Ill. Reg. 18259, effective November 17, 2003, for a maximum of 150 days; emergency expired April 14, 2004; amended at 28 Ill. Reg. 7676, effective May 24, 2004; emergency amendment at 32 Ill. Reg. 3013, effective February 13, 2008, for a maximum of 150 days; emergency amendment repealed at 32 Ill. Reg. 6659, effective April 2, 2008; amended at 32 Ill. Reg. 15017, effective September 8, 2008; amended at 35 Ill. Reg. 4278, effective March 1, 2011; amended at 36 Ill. Reg. 12125, effective July 16, 2012; amended at 36 Ill. Reg. 13945, effective September 1, 2012; amended at 37 Ill. Reg. 4282, effective April 1, 2013; amended at 39 Ill. Reg. 14182, effective October 19, 2015; amended at 46 Ill. Reg. 19704, effective November 23, 2022.

SUBPART A: INTRODUCTION

 

Section 420.10  Definitions

 

"Allocation":  The assignment of a position to a class based on duties, responsibilities and requirements.

 

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

 

"Certified Employee":  An employee who has successfully completed a required probationary period and attained certified status during the employee's most recent period of continuous service.

 

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

 

"Class":  A composite of positions that are sufficiently similar, in terms of duties and responsibilities, requiring the same or related knowledge, skills, abilities and licenses (if required) to fulfill them, and the same title, selection instrument, salary range or rate of pay that would apply equitably to each.  Example:  All Executive I positions in the Office of the Secretary of State are a class.

 

"Code":  The Secretary of State Merit Employment Code [15 ILCS 310].

 

"Commission":  The Secretary of State Merit Commission.

 

"Continuous Service":  The uninterrupted period of service from the date of original appointment to State service.

 

"Department of Personnel":  The Secretary of State Department of Personnel.

 

"Director of Personnel":  The Director of the Secretary of State Department of Personnel.

 

"Employee":  Any employee on the payroll as well as any employee on a leave of absence granted pursuant to this Part.

 

"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.

 

"Executive Security Officer":  A law enforcement officer charged with executive protective duties.

 

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

 

"Immediate Family":  Father, mother, brother, sister, son, daughter, spouse, parties to a marriage, domestic partners (established prior to 6-1-11) or party to a civil union, including adoptive and custodial relationships and "in-laws".

 

"Jurisdiction A":  The Section of the Code that deals with the classification and compensation of positions in the Office of the Secretary of State.

 

"Jurisdiction B":  The Section of the Code that deals with merit and fitness as it applies to positions in the Office of the Secretary of State.

 

"Jurisdiction C":  The Section of the Code that deals with the conditions of employment of positions of the Office of the Secretary of State.

 

"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 locally or regionally assigned to resolve Level 2 grievances.

 

"Organizational Entity":  An organization whose chief executive officer reports directly to the Secretary of State or the Assistant Secretary of State.

 

"Pay Plan":  The plan, authorized by the Secretary of State Merit Employment Code, that sets forth rules for salary treatment when processing personnel transactions and other compensation actions and identifies the various salary schedules.

 

"Pay Status":  An employee who is active on the payroll of the Office of the Secretary of State and who receives wages for hours worked, paid holidays and benefit time used.

 

"Position":  A set of duties, authorities and responsibilities.

 

"Position Description":  The official document that identifies the duties, responsibilities, location and reporting relationships of a position.

 

"Probationary Period":  A period of six calendar months (or 979 hours) immediately following an original appointment or reinstatement, or a period of three months (489.5 hours) following a promotion.

 

"Series":  A class series is composed of two or more individual classes that are directly related in type of work performed, responsibility exercised and background experience required, while differing in levels, difficulty and/or achievement of these same terms.  The classes of a series are similar in title and are usually sequential in nature from lowest to highest.  Example:  Executive I, II, III, IV and V are a class series.

 

"Sworn Personnel – Inter-Agency Assignment":  Employees of the Office, vested with police authority, who are assigned to an affiliated outside organization for a determined time frame to perform police officer duties.

 

"Time of Hostilities":  Any period of time during which a declaration of war by the United States Congress has been or is in effect or is recognized by the issuance of a Presidential Proclamation or Executive Order as defined in Section 10b.7 of the Secretary of State Merit Employment Code [15 ILCS 310/10b.7].

 

"Title":  A title is the name by which a class is known.  Example:  Executive I is a title.

 

"Unskilled Positions":  Positions whose primary requirement is that incumbents be of good physical condition.

 

(Source:  Amended at 39 Ill. Reg. 14182, effective October 19, 2015)

SUBPART B: CLASSIFICATION AND PAY

 

Section 420.200  Positions

 

A position is a set of duties and responsibilities requiring the appointment of one or more persons for the completion of those duties and responsibilities.  A written statement of the duties and responsibilities of each position shall be maintained by the Director of Personnel.  The following types of positions may be established in the Office of the Secretary of State.

 

a)         Exempt – Positions established in accordance with sections of the Merit Employment Code describing exempt positions as set forth in Section 420.310(i)(1).  If a certified employee accepts an appointment to a position exempt from Jurisdiction B of the Secretary of State Merit Employment Code, the employee will retain his/her original certified status.  If a certified employee's position is declared exempt from Jurisdiction B, certified status shall be retained in the position.

 

1)         A certified employee who accepts appointment to an exempt position will retain his or her certified status only for the highest class title in which certified status was achieved, regardless of the class title of the exempt position.

 

2)         With approval of the Director of Personnel, a certified employee may be removed from an exempt position by management directive in accordance with the provisions of Section 420.380 (Employee Transfers).  The employee may also accept a voluntary reduction in accordance with Section 420.410 or a promotion in accordance with Section 420.370, or may be removed from the position in accordance with Section 420.390 (Demotion) or Section 420.430(f) (Discharge of Certified Employee), if applicable.  The transaction to remove the employee from the position will be predicated on the class title in which the employee was certified prior to the exempt appointment.

 

b)         Permanent full-time or part-time positions for which the duties and responsibilities are performed on a regular continuous basis.  Any type of appointment described in Section 420.310(i)(1), (4) or (5) or 420.330(a) may be made to such a position.

           

c)         Temporary – Positions for which the duties and responsibilities are performed for not more than 6 months out of any 12-month period as set forth in Section 420.310(i)(10) or positions authorized by the Illinois Pension Code [40 ILCS 5/14-111] for a period not to exceed 75 working days in a calendar year.

 

d)         Permanent Intermittent – Positions for which the duties and responsibilities are performed on a regular or nonregular, continuous or noncontinuous basis for periods requiring less than full-time employment.  No appointment other than probationary and/or certified may be made to such a position.

 

e)         Trainee – For positions established in accordance with an approved training program as set forth in Section 420.320(a).

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.210  Position Classification

 

a)         Classification Plan:  The Director of Personnel 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.  It shall be the responsibility of the department directors to report to the Director of Personnel any significant changes in the duties of every position within their department.

 

b)         Allocation: 

 

1)         At the request of a department, or at the discretion of the Director of Personnel, including when it is evident that the duties of a position deviate from the class specification for that title, or upon reorganization of a department, a survey or audit, or such other investigation by the Department of Personnel shall be made to determine the proper allocation of any position to a class.  Upon written request of an employee, a survey or audit by the Director of Personnel shall be made to determine the proper allocation of the employee's position.  If the survey or audit does not demonstrate a substantial change in the duties and responsibilities as determined in a previous audit or the existing job description, a determination shall be made as to the proper allocation of the position from a review of the record rather than an individual desk audit.  After making such survey, audit, or other investigation, the Department of Personnel shall notify the department 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 of Personnel to give written notice to the incumbent of said position of its decision.

 

2)         An employee who has requested and received the results of an audit on his/her current position may request another review no sooner than 12 months following receipt of the prior audit result, and only if there is a change to his/her position duties and responsibilities.

 

c)         Reconsideration:

 

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

 

2)         After such investigation, the Director of Personnel 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 official personnel file. The effective date of the Director of Personnel's reconsidered decision shall be the same as the effective date of the original allocation decision by the Director of Personnel.

 

3)         An employee wishing to appeal the Director of Personnel's 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 of Personnel.

 

d)         Assignment 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 of Personnel 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, the employee is qualified for the position.  In the case of allocation to a class having a lower maximum salary or rate, due to loss of duties or responsibilities after appointment to such position, the pay of such employee shall not be required to be lowered for a period of one year after the position allocation, in accordance with the Secretary of State Pay Plan, Section 10.00(b) (on file in the Secretary of State's Department of Personnel).

 

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.

 

f)         Establishment of New Classes:  When positions are reclassified resulting from the establishment of a new class, and the duties and responsibilities of such positions remain essentially unchanged, incumbents who qualified under the requirements of the previous class will be considered qualified for the new class.

 

g)         Temporary Assignment:

 

1)         An employee may be directly assigned (relegated) to perform the duties and responsibilities of another position in a different classification than that to which the employee is incumbent.

 

2)         Temporary assignments shall not be considered the permanent duties and responsibilities of the employee and, therefore, shall not be considered in the proper allocation of the incumbent's position.

 

3)         Additional compensation for temporary assignment of an employee to duties and responsibilities of a higher class shall be in accordance with the applicable provisions of the Department of Personnel Pay Plan.  To be eligible for such additional compensation, the employee must be temporarily assigned in accordance with the operational needs of the department and may not become effective without the written approval of the Director of Personnel and acknowledgement by the employee.

 

4)         Temporary assignment of an employee shall not normally exceed 6 months.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.220  Pay Plan

 

a)         Establishment of Plan:  The Director of Personnel 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 in 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 service 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 Secretary of State.

 

c)         Approval of Pay Plan:  The Pay Plan and amendments to the Plan shall be prepared by the Director of Personnel.  After preparing the Pay Plan or any amendments, the Director of Personnel shall submit it to the Secretary of State.  The Pay Plan or amendments shall become effective only after approval by the Secretary of State.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

SUBPART C: MERIT AND FITNESS

 

Section 420.300  Application and Examination

 

a)         Examinations:

 

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

 

3)         Entrance examination shall mean the examination that resulted in the initial appointment of an applicant to a position in the Office of the Secretary of State.

 

4)         The Director of Personnel may rank applicants participating in competitive examinations on the basis of numeric or category ratings.  When numeric ratings are used, applicants will be ranked from the highest passing numeric score to the lowest passing numeric score.  When category ratings are used, applicants will be ranked by categories such as excellent, well-qualified and qualified.

 

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

 

c)         Veterans' Preference:  Preference in entrance examinations shall be granted to qualified persons who, while citizens of the United States, were members of the Armed Forces of the United States or the armed forces of allies of the United States in times of hostilities with a foreign country (as set forth in the Merit Employment Code Section 10b.7) and to certain other persons as set forth in this Section. To be eligible, an applicant must have proof of his/her service or discharge under honorable conditions. Preference shall be granted as follows:

 

1)         Three points or equivalent credit shall be added to the entrance examination grade for veterans who have served in the Armed Forces of the United States, in the Illinois National Guard, or any reserve component of the Armed Forces of the United States and:

 

A)         Served for at least 6 months and has been discharged under honorable conditions, or

 

B)         Has been discharged on the ground of hardship, or

 

C)         Was released from active duty because of a service connected disability.

 

2)         Five points or equivalent credit shall be added to the entrance examination grade for veterans who have served in the Armed Forces of the United States during time periods of hostility or who, as members of the Illinois National Guard or any reserve component of the Armed Forces of the United States, were called into active duty during time periods of hostility and served under one or more of the following conditions:

 

            A)        The veteran served a total of at least 6 months, or

 

B)        The veteran served for the duration of the hostilities regardless of the length of engagement, or

 

            C)        The veteran was discharged on the basis of hardship, or

 

D)        The veteran was released from active duty because of a service connected disability.

 

3)         Ten points or equivalent credit shall be added to the entrance examination grade for veterans who are currently receiving compensation from the United States Veterans' Administration or from such allied country for war service connected disabilities, or if the veteran is a recipient of the Purple Heart.

 

4)         If category ratings are used, the veteran eligibles in each category shall be preferred for appointment before the nonveteran eligibles in the same category.  Such preference may be disregarded if, during the interview process, an applicant fails to meet the minimum standards set prior to the interview.

 

5)         A surviving unremarried spouse of a veteran who suffered a service connected death or disability that prevents the veteran from qualifying for employment in a merit system with the State of Illinois shall be entitled to the same preference to which the veteran would have been entitled under this Section.

 

6)         Ten points or equivalent credit shall be added to the examination score for one parent of an unmarried veteran who suffered a service connected death or disability that prevents the veteran from qualifying for employment in a merit system with the State of Illinois.  The first parent to receive an appointment in an Illinois merit system shall be the parent entitled to the preference.

 

d)         Public Notice of Examinations:  The Director of Personnel shall publicly announce examinations at least two weeks in advance of the final date the examination will be given, except as otherwise noted.  Announcements may be advertised through the press, radio or other media.  Announcements shall be posted in a conspicuous place in the Department of Personnel in both Chicago and Springfield.  Announcements shall specify the date and manner in which an application for examination shall be made.  In place of individual announcements, the Director of Personnel may announce the examination process and testing locations and times by various means, including, but not limited to, using the Secretary of State's website, a brochure or a pamphlet.

 

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 of Personnel 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 Ratings − 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 the final earned rating or of the 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)         No applicant may retake a test or tests included within an examination until 14 calendar days have elapsed. 

 

2)         In all cases of retaking examinations, the candidate's highest valid grade on record for the title shall be used to determine the candidate's rank on the eligible list. The examination score retained will expire 12 months from the date of examination.

 

3)         Examination results are valid for 12 months from the original date of examination.  An examination shall not be regraded more than 12 months after the original test date.  Regraded examinations shall expire on the same date as the original examination.

 

h)         Removal of Examination Material From Premises:  Any applicant or unauthorized employee of the Office of the Secretary of State removing examination materials from the premises at which examinations are being administered or stored, in any manner whatsoever, shall be subject to prosecution and/or discipline up to and including discharge if the individual is an employee of the Office of the Secretary of State.

 

i)          Admission to Examinations:  All  persons who meet requirements established by the Director of Personnel may be admitted to competitive examinations and may be lawfully appointed to the position.  Following are the only criteria by which the Director of Personnel may reject the application of any person for admission to a test or decline to test or certify for employment:

 

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

 

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

 

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

 

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

 

5)         the applicant does not meet the United States Citizenship and Immigration Services regulations for permanent employment;

 

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

 

7)         the applicant has been convicted of a crime relevant to the duties and responsibilities of the class of the examination he/she is taking or the position to which he/she is being hired.

 

j)          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 of Personnel and only when there are fewer than three qualified residents of Illinois available, including statewide candidates or candidates on the eligibility list for the geographical area in which the position is located.

 

k)         Linguistic Requirements:  The Director of Personnel may establish linguistic options when it appears that this would benefit the operation of the office by increasing communication with those served by the Office of the Secretary of State.

 

l)          Authorization of Investigation:  The Director of Personnel shall, when a position is to be filled, require that an applicant seeking employment with the Office of the Secretary of State authorize an investigation to determine if the applicant has ever been convicted of a crime and, if so, the disposition of those convictions. 

 

m)        Confidentiality:  Any information concerning criminal convictions obtained by the Director of Personnel shall be confidential.  No information obtained from such investigation may be placed in any automated information system.  No information may be transmitted to anyone within or outside the Office of the Secretary of State, except as needed for the purposes set forth in subsection (l). Any violation of this subsection shall result in disciplinary action and possible civil action.

 

(Source:  Amended at 36 Ill. Reg. 13945, effective September 1, 2012)

 

Section 420.310  Appointment and Selection

 

a)         Eligible Lists:  The Department of Personnel 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 420.300(a).  The names of qualified applicants shall be arranged in the order of their relative excellence, whether by numerical grade or category grouping.  The length of time an eligible applicant's name may remain on the eligible list shall be established by the Director of Personnel.

 

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

 

c)         Geographical 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 examination or that may be made available at a later date. Unless otherwise noted in the examination announcement, applicants may select a statewide preference, but will not be considered for employment until all available candidates for the specific geographical location have been exhausted.

 

d)         Removal of Names From Eligible Lists:

 

1)         The Director of Personnel shall remove names from an eligible list for cause, including but not limited to any of the following reasons:

 

A)        Appointment of the eligible applicant from the eligible list;

 

B)        Death of an eligible applicant;

 

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

 

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

 

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

 

F)         Request of an eligible applicant to remove his/her name from the eligible list;

 

G)        The applicant's name has remained on the eligible list for 12 months; or

 

H)        The applicant has been discharged, terminated, or otherwise involuntarily separated from employment with the Office of the Secretary of State.

 

2)         The Director of Personnel may remove names from an eligible list, upon notice to the applicant, for reasons including but not limited to the following:

 

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

 

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

 

E)        Refusal of an eligible applicant to accept 3 separate offers of employment;

 

F)         After an eligible applicant has been passed over 3 times by the same department, the department may request removal of the eligible applicant from the list for good and sufficient cause;

 

G)        Poor work history of the eligible applicant;

 

H)        Former experience, history or background of the eligible applicant is not compatible with duties and responsibilities of the class;

 

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

 

J)         After eligible applicant accepts promotion;

 

K)        When a change in classification or testing standards, or another change, requires removal;

 

L)        Conviction of an eligible applicant of a felony or of a crime that is relevant to the position for which the person is testing or being hired; or

 

M)       Conviction of a crime involving alcohol or drugs.

 

e)         Replacement of Names on Eligible List:

 

1)         The Director of Personnel may restore a name to the same eligible list when that action would be in the best interest of the Office of the Secretary of State, including but not limited to:

 

A)        Names of eligible applicants who, upon removal from list for failure to reply due to powers beyond control, did not receive referral in time to respond in the prescribed amount of time;

 

B)        Names of veterans returning from active military service of not more than 4 years shall be restored to an eligible list for a period of 12 months for the same class if the request is made by the veteran within 90 days after discharge, or after release from hospitalization continuing after discharge but for not more than one year.  The eligible applicant 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;

 

C)        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.

 

2)         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 equal to the unexpired time remaining of the original eligibility, except as provided in subsection (e)(1)(B).

 

f)         Appointment from Eligible List:  When an appointment to a position is made from an eligible list resulting from an open competitive examination, the appointment shall be made from among those available persons with the 10 highest grades, if the list is in order of numeric examination grade. If the list is in category groupings, the appointment shall be made from among available persons in the highest ranking category in which there are  3 or more available eligibles, as well as those in all higher categories, except as provided for under subsection (g).

 

g)         Extension of Jurisdiction B:

 

1)         Employees in positions to which Jurisdiction B is extended pursuant to Sections 5d and 10d of the Merit Employment Code shall be continued in those positions and shall attain certified status in those positions provided they pass a qualifying examination prescribed by the Director of Personnel within 6 months after the jurisdiction is extended and provided that they satisfactorily complete their respective probationary periods.

 

2)         Appropriate standards for probationary appointments shall be prepared by the Director of Personnel and appointments of employees in accordance with subsection (g)(1) shall be without regard to eligible lists.  Further, these appointments shall be made without regard to the provisions of subsection (f).  Nothing in this subsection (g) shall preclude the reclassification or reallocation, as provided by this Part, of any position held by an incumbent.

 

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

 

1)         By appointment of an eligible applicant standing among the 10 highest scores on an eligible list that is numerically rated;

 

2)         By appointment of an eligible applicant from the highest ranking group of 3 or more available eligibles from an eligible list that is not numerically rated;

 

3)         By present employees (May 24, 1977) who have passed examinations in accordance with the Personnel Code [20 ILCS 415] under the Governor of Illinois and who having passed the probationary period shall be continued in their positions without further examination;

 

4)         By present employees (May 24, 1977) who having been promoted in accordance with the rules under the Personnel Code under the Governor of the State of Illinois (80 Ill. Adm. Code 302) shall be continued in their positions without further examination;

 

5)         By present employees (May 24, 1977) 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 9 months after May 24, 1977;

 

7)         By present employees (May 24, 1977) or past employees who have rights or privileges arising under the Personnel Code under the Governor of Illinois or through judicial process 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 420.370(b);

 

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.  These appointments may not be renewed;

 

10)         By temporary appointments to positions that are temporary or seasonal in nature as determined by the Director of Personnel.  These appointments shall not exceed 6 months out of any 12 month period or be temporary appointments to positions authorized by the Illinois Pension Code [40 ILCS 5/14-111] for a period not to exceed 75 working days in a calendar year. Temporary appointments may be made without regard to eligible lists;

 

11)         By provisional appointments to positions without competitive examination when there is no appropriate eligible list.  Provisional appointments may not exceed 6 months out of any 12 month period;

 

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

 

13)         By reinstatement of persons who formerly held certified status under the Code, the Personnel Code [20 ILCS 415], the State Universities Civil Service Act [110 ILCS 70], the Comptroller Merit Employment Code [15 ILCS 410], or the State Treasurer Employment Code [15 ILCS 510].  To be eligible for reinstatement, these persons shall have resigned while in good standing or shall have been laid off from employment within their respective merit systems, except as provided in Section 420.430(k);

 

14)         By reemployment of an employee whose name appears upon a reemployment list; the reemployment may be made to positions in the same or lower salary range as the 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 continuous service and performance records;

 

15)         By the appointment of trainees into training programs approved by the Director of Personnel; those 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;

 

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

 

17)         By the transfer of active, certified or probationary employees from the jurisdictions of the Personnel Code, the State Universities Civil Service Act, the Comptroller Merit Employment Code or the State Treasurer Employment Code, upon the approval of the Director of Personnel, to comparable positions of employment.  A person so transferred shall retain the same status under the Code as that which he or she held under previous merit employment.

 

i)          Appointments:  The following types of appointments may be made by the Director of Personnel.

 

1)         Exempt:  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 5d and 10d of the Code, the employee shall establish eligibility for the position by passing satisfactorily a qualifying examination prescribed by the Director of Personnel within 6 months after the extension of Jurisdiction B to the position.  In all other cases, if an exempt employee's position becomes subject to Jurisdiction B, the employee shall establish eligibility for the position within 6 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 calendar days, shall not be renewed, and may be made without regard to an eligible list.  Notices of terminations shall be reported to the Director of Personnel.

 

3)         Temporary:  For persons in positions to perform temporary or seasonal work to be filled for no more than 6 months out of any 12 month period, or for persons in positions authorized by Section 14-111 of the Illinois Pension Code to be filled for no more than 75 working days per calendar year.

 

4)         Provisional:  For persons in positions for which there are fewer than 10 available eligibles on the open competitive eligible list, if the list is in order of numeric examination grade, or fewer than 3 available eligibles, if the list is in category groupings.  No positions shall be filled by provisional appointment for more than 6 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 the positions shall be established within 90 days through successfully competing in the open competitive examination and receiving a probationary appointment according to subsection (i)(5).

 

5)         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.

           

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

             

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.320  Trainees

 

a)         Trainee Appointments:  The Director of Personnel may establish trainee or apprenticeship programs for new and/or incumbent employees in accordance with the Position Classification Plan (80 Ill. Adm. Code 410) or at the request of an operating 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 purposes, objectives, curriculum, benefits and duration.  Trainee or apprenticeship programs may be established for one or more of the following reasons and purposes and shall be for the duration stated in the class specifications:

 

1)         To develop qualified employees through an established program of supervised training and experience;

 

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

 

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)         In conjunction with Section 18c of the Secretary of State Merit Employment Code [15 ILCS 310/18c], to provide training or developmental work experience for persons with disabilities that would assist them in acquiring or augmenting employment skills and/or to provide employment opportunities of limited duration.

 

b)         Limitations on Trainee Appointments:

 

1)         Trainees appointed to a position in a trainee class after having qualified by open competitive examination in accordance with Section 420.300 may be promoted after successfully completing the prescribed trainee program and meeting the minimum education and experience requirements for the title for which they are training.  A 3 month probationary period will be served in accordance with Section 420.360(a)(2).

 

2)         Trainees appointed without open competitive examination may be promoted to the titles for which they are training after successfully completing the prescribed trainee program  and ranking among candidates in a reachable position for appointment on the appropriate open competitive eligible list.  A 3 month probationary period will be served in accordance with Section 420.360(a)(2).

 

3)         Trainees appointed to a trainee position without open competitive examination, whose positions are reallocated or reclassified to a non-trainee class during the trainee period, will be placed in provisional status in the class to which the position is allocated and shall establish eligibility for that position upon successful completion of an appropriate open competitive examination within 6 months from the effective date of the title change.

 

4)         Trainees appointed to a trainee position after having qualified by open competitive examination in accordance with Section 420.300, whose positions are reallocated or reclassified to a non-trainee class during the trainee period, will be placed in probationary status in the class to which the position was allocated and will serve a 6 month probationary period.

 

5)         Employee absences from work during a trainee period may, if necessary, extend the length of the trainee period by the length of the absences. If the trainee period is extended by absence due to suspension and the suspension is later reduced or rescinded, the time shall not extend the trainee period. The department may verify to the Director of Personnel that the employee satisfied the requirements of the trainee program, notwithstanding any absences during the trainee period. In no event is the trainee period to be extended beyond that allowed on the class specification for the trainee class. For purposes of this subsection (b)(5), a 12 month period shall be equal to 261 work days.

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.330  Intermittents

 

a)         Intermittent Positions:  The Director of Personnel 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 lieu of permanent positions, but intermittent employees may substitute for absent employees.  Appointments will be made to intermittent positions in the same manner as appointments to other permanent positions.

 

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

           

1)         Intermittents will work 800-1500 hours per year (12 month period).

 

A)        If, as a result of timekeeping error or omission in reporting hours worked, it is determined that an intermittent employee worked more than 1500 hours in the prescribed 12 month period, the employee shall immediately be placed in inactive status until the commencement of the next 12 month period, and the hours worked in the next 12 month period shall be reduced by the excess hours from the previous 12 month period.

 

B)        Intermittent employees offered less than 800 hours of work in any prescribed 12 month period shall be deemed suspended without cause and may grieve or appeal in accordance with the applicable rules regarding suspensions.

 

2)         There shall not be more than a 10% variance in hours scheduled from the current work schedule of employees in the same title and organizational unit in any 12-month period, unless approved by the Director of Personnel.  The Director will consider the operational needs of the department before approving work schedule changes.  Intermittent employees whose schedules vary more than 10% may grieve or appeal the schedule changes.  An effort will be made to balance the hours worked among intermittent employees of the same title within the same organizational unit.

 

3)         The continuous service of an intermittent employee shall be computed on the basis of hours worked, each 7½ 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)         Employees refusing to be scheduled 3 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.

 

c)         Nothing in this Section shall be deemed to prevent a legitimate reorganization to promote the efficiency of the agency.  In the event a reorganization temporarily precludes full compliance with this Section, management shall have 6 months in which to revise its schedules in order to bring the schedules into compliance.

 

d)         An annual review of the intermittent program will be made by the Director of Personnel to insure compliance with this Part.

 

(Source:  Amended at 36 Ill. Reg. 13945, effective September 1, 2012)

 

Section 420.340  Continuous Service

 

a)         Definition:

 

1)         Continuous service is the uninterrupted period of service from the date of original appointment to State service or to service in any other system participating in the Retirement Systems Reciprocal Act [40 ILCS 5/20], except as provided in subsection (f).

 

2)         Employees who have accrued continuous service in State service or who have accrued continuous service in a position covered by the Retirement Systems Reciprocal Act, and who have been transferred to or who have accepted an appointment to a position in the Office of the Secretary of State, shall be given credit for the earlier service to the extent determined by the Director of Personnel or required by law.  

 

3)         Intermittent and permanent part-time employees shall accrue continuous service on a prorated basis, determined by the number of hours worked per year.

 

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

 

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

 

2)         Discharge; provided, however, that continuous service shall not be interrupted if the employee is retained in the position after a hearing before the Merit Commission, or under other administrative review process, or by the court;

 

3)         Termination because an employee has not been reemployed within one year after layoff.

 

c)         Deductions from Continuous Service:  Except as provided in subsection (e), the following shall be deducted from, but not interrupt, continuous service:

 

1)         Time away from work for leaves of absence without pay totaling more than 30 days in any 12 month period;

 

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 after release from hospitalization continuing after discharge but for not more than one year.  The employee must provide evidence of satisfactory completion of training and military service when making application and must be qualified to perform the duties of the position.

 

2)         Subject to the provisions of Section 420.310(f), a veteran who returns to service with the Office of the Secretary of State after having been granted a leave of absence from provisional status shall be 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, if necessary, in an examination in the trainee class before granted allocation or noncompetitive promotion to a higher class.

 

           

e)         Accrual and Retention of Continuous Service During Certain Leaves:  During an educational, military, national service, disaster services, family leave (pursuant to Section 420.645), Family and Medical Leave (FMLA), disability leave, service connected disability leave or leave to accept a temporary, provisional, or emergency assignment in another class, an employee shall retain and accrue continuous service, provided an appropriate application to return is made pursuant to the requirements specified elsewhere in this Part.

 

f)         Limitation on Continuous Service:  Temporary and emergency employees employed after May 24, 1977 shall not accumulate continuous service except as provided in the State Employee Vacation Time Act [5 ILCS 360], unless the status is acquired as the result of taking a leave of absence to accept a temporary or emergency assignment.

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.350  Performance Evaluation Forms

 

a)                                            

The Director of Personnel shall prescribe the form used for performance evaluations.

 

b)         For an employee serving a 6 month probationary period, the department shall prepare and submit to the Department of Personnel 2 evaluations, one at the end of the third month of the employee's probationary period and another 15 days before the conclusion of the probationary period.

 

c)         For an employee serving a 3 month probationary period, the department shall prepare and submit to the Department of Personnel an evaluation form 2½ months after the commencement of the probationary period.

 

d)         For a certified employee, each department shall prepare an evaluation not less often than each time an employee receives a satisfactory or superior performance increase under the Department of Personnel's Pay Plan.

 

e)         A prepared employee evaluation shall not be considered completed or final for any purpose until the employing department director or designee has entered approval directly on the evaluation form by way of signature or other means of identification.

 

f)         For purposes of promotion, demotion, layoffs, transfers, reemployment, discipline, discharge, etc., the Director of Personnel and the employing department director shall give greater weight to an employee's most recent performance evaluation as opposed to earlier evaluations in considering any potential change in the employee's current status with the office.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.360  Probationary Status

 

a)         Probationary Period:

 

1)         A probationary period of 6 months (979 hours for intermittent and permanent part-time) 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 420.420(b);

 

C)        an employee who is appointed from an open competitive eligible list, whether or not it is considered an advancement in rank or grade.

 

2)         A probationary period of 3 months (489.5 hours for intermittent and permanent part-time) shall be served by an employee who is promoted.  A probationary employee who is demoted or one who accepts a voluntary reduction shall be required to serve a 3 month probationary period or the balance of the original probationary period, whichever is greater.  If the employee previously held certified status in the class to which demoted or voluntarily reduced, no probationary period will be required.  A probationary employee transferred during the probationary period shall serve that portion of the probationary period that was not completed at the time of transfer.  A probationary period shall not be deemed to be continued by the payment of any sum for vacation or other benefits during the probationary period.

 

3)         If an employee is absent from work for more than 15 working days during the probationary period, the absence shall serve to extend the probationary period by the length of the absence.  Any suspension shall extend the probationary period by the length of the suspension, except that, if the suspension is later reduced or rescinded, the reduced or rescinded time shall not extend the probationary period.

 

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

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.370  Promotions

 

a)         Definition:  The appointment of an employee who has held certified status during his/her current period of continuous service, with the approval of the Department of Personnel, to a vacant position in a class having higher qualifications, duties, responsibilities and maximum permissible salary or rate than the former class.

 

b)         Eligibility for Promotion:

 

1)         The Director of Personnel may approve the promotion of qualified employees who have established eligibility for the appropriate class through open competitive examinations in accordance with merit standards set forth in Section 420.300(a).

 

2)         The Director of Personnel may approve the promotion of qualified employees to a class for which the examination is closed, provided the employee meets the minimum requirements of the class.

 

3)         For promotional purposes, a passing examination grade for the appropriate class is valid for a 3 year period from the date of the examination. If the employee retakes the examination within the 3 year period, the most recent passing grade shall be the only one considered.

 

4)         Employees appointed to a trainee class for which an examination was required may be promoted to the title for which they are training by passing the appropriate examination or satisfying the requirements set forth in Section 420.320(b)(2).

 

c)         Limitations on Promotions:  No provisional, temporary, emergency or exempt employee may be promoted.  No probationary employee may be promoted unless the employee has previously held certified status during the 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)         An employee who is demoted or one who accepts a voluntary reduction, during a probationary period shall serve a probationary period as provided in Section 420.360(a) unless the employee 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.  The employee has the same rights to appeal as a certified employee.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.380  Employee Transfers

 

a)         Transfers:  A transfer is the assignment of an employee to a vacant position in the same class to which most recently appointed or to a position involving similar qualifications, duties, responsibilities and salary range.  Transfers shall not be made without prior approval of the Director of Personnel.

                       

b)         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 of Personnel.  An employee who refuses to accept a geographical transfer must report for duty at the new location but may make written appeal of the 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 the transfer was applied for by the employee.  Reasonable transportation and moving expenses shall be the lowest of 3 bids, unless the lowest bidder is not responsible or available. Notice of an approved management directed geographical transfer shall be served on the employee by the operating department in person or by certified mail, return receipt requested, at the employee's last address appearing in the official personnel file.

 

c)         Merit System Transfer:  An employee of the State of Illinois who holds certified or probationary status in a merit system other than the Secretary of State Merit Employment Code, including employees under jurisdiction of the Personnel Code, the State Universities Civil Service Act, the State Treasurer Employment Code or the Comptroller Merit Employment Code, may be transferred to a position that is subject to Jurisdiction B of the Merit Employment Code. The Director of Personnel will verify that the positions are comparable by comparing the qualifications, duties, responsibilities and salary range of the current position to those of the new position prior to approval.  The transferred employee shall retain the same status and shall be given credit for continuous service for uninterrupted service under the other merit systems.

 

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

 

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

 

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

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.390  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 the class from which the demotion was made for reasons of inability to perform the work of the class from which the demotion was made.

 

2)         Written statements of reason for demotion shall be filed by a department director or other administrative authority with the Director of Personnel or designee in the form and manner prescribed.  The written statement shall be signed and shall contain sufficient facts to show good cause for the demotion.  No demotion shall become effective without the prior approval of the Director of Personnel or designee.

 

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

 

c)         Employee Obligations:  Upon receipt by the employee of the approved statement of reasons for demotion or upon the effective date of the demotion, whichever is later, the employee shall leave the position to which assigned and report for duty to the position to which demoted.  The report shall be without prejudice to right of appeal under subsection (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 of the demotion, whichever is later, all salaries and benefits of the employee in the position in which assigned prior to receipt of the statement of reasons shall be adjusted to reflect the demotion.

 

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

 

f)         Demotion of Other Employees:  The Director of Personnel or designee may approve the demotion of probationary employees.  Notice of such demotion shall be served on the employee by the Director of Personnel or designee in person, or by certified mail, return receipt requested, at the employee's last address appearing in the official 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 420.360(a), a demoted probationary employee shall serve a new probationary period in the class to which he/she is demoted.

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.400  Layoffs and Reemployment

 

a)         For purposes of layoff and reemployment, Secretary of State continuous service shall mean the period of uninterrupted service from the date of entry into service with the Office of the Secretary of State, whether by appointment or transfer.

 

b)         Layoff Procedure:

 

1)         A department 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, county or other designation, layoffs shall be within organizational units justified by operations and approved prior to the layoff by the Director of Personnel.

 

2)         Based on class, department, county or other designation, layoffs shall be within organizational units justified by operations and approved prior to the layoff by the Director of Personnel. Within selected designations and organizational units, employees will be laid off in order of length of Secretary of State continuous service.

 

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

 

A)        A list of all employees in the selected designation and organizational unit showing status and total Secretary of State continuous service;

 

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

           

C)        An explanation of any layoff not in order of Secretary of State continuous service;

 

D)        An explanation of the organizational unit selected, identifying the department, division, facility, geographical location, operational needs and other elements deemed relevant by the department director.

 

c)         Order of Layoff:

 

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

 

A)        No certified or probationary employee may be laid off until all temporary, emergency, provisional and trainee 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 in accordance with the layoff plan submitted under subsection (b), consideration shall be given to performance records and Secretary of State continuous service.

 

3)         For purposes of this Section, "certified employee" shall mean any employee who has satisfactorily completed a required period of probation and/or attained certified status in any position during the employee's current period of continuous service.

 

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

 

e)         Disapproval:  The Director of Personnel may disapprove or modify any layoff plan that results in a disproportionate impact on any protected class, as defined by federal civil rights laws, judicial decisions and the Illinois Human Rights Act [775 ILCS 5], within the layoff unit.

 

f)         Notice of layoff to the affected employee shall be given within a reasonable time period after approval of the layoff plan by the Director of Personnel.

 

g)         Reemployment Lists:

 

1)         The Director of Personnel shall, before the effective date of layoff, approve and establish a reemployment list, by class and department and designated geographical area.  A certified employee who has been laid off shall be placed in order of length of Secretary of State continuous service on a reemployment list for recall to the first available assignment to a position in the class and department and designated geographical location or area in which the employee was assigned prior to being placed on the reemployment list.

 

2)         When circumstances warrant, at the discretion of the Director of Personnel, the reemployment list may be established by related classes whose duties are substantially similar to the class from which the employee was laid off.

 

3)         An employee whose name has been placed on the reemployment list will also be eligible for reinstatement in accordance with Section 420.420(b).

 

h)         Employment from Reemployment List:  Whenever there is any person available on a reemployment list for recall to a vacant position for the same class, department and geographical area, no permanent position may be filled by any of the following means:

 

1)         By probationary appointment from the appropriate open competitive list;

 

2)         By provisional appointment;

 

3)         By reinstatement of a former certified employee, except by an employee on the reemployment list; or

 

4)         By merit system transfer in.

 

i)          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 12 months; or

 

D)        The employee has been reinstated in accordance with Section 420.420(b).

 

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

 

j)          Laid Off Probationary Employee:

 

1)         The name of a probationary employee who is terminated as a result of layoff before the completion of the probationary period shall be returned to the eligible list with the same grade as when appointed, for the remainder of his/her one year eligibility.

 

2)         An employee serving a probationary period but otherwise certified as defined in subsection (c)(3), who is to be laid off, shall be given notice and may request a voluntary reduction pursuant to Section 420.410(a) and (c).  If no voluntary reduction is effected, the employee will be laid off and the employee's name placed on the reemployment list in order of continuous service for the department, work location and title in which last certified.

 

(Source:  Amended at 37 Ill. Reg. 4282, effective April 1, 2013)

 

Section 420.410  Voluntary Reduction

 

a)         Voluntary Reduction of Certified and Probationary Employees:

 

1)         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 voluntary reductions shall be in writing and shall be signed by the employee.  No reduction shall become effective without the written approval of the Director of Personnel.  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 that class, the individual's certification shall be terminated.

 

2)         A probationary employee who accepts a voluntary reduction to a position in which the employee has not held certified status shall serve the remainder of the probationary period, or a 3 month probationary period, whichever is greater.  If the employee previously held certified status in the class, no probationary period will be required.

 

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

 

c)         Employee Opportunity to Seek Voluntary Reduction:  A certified employee, as defined in Section 420.400(b)(3), who is subject to layoff as a result of the Director of Personnel's approval of a layoff plan shall be promptly notified 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 subsection (a).  An employee seeking voluntary reduction must submit a request in writing to the Director of Personnel prior to the proposed effective date of layoff.

 

d)         Order of Preference in Voluntary Reduction:  In the event a certified employee, as defined in Section 420.400(b)(3), requests voluntary reduction as a result of his/her pending layoff, the certified employee shall be preferred in continuous service order for any current vacant position in a lower class within the same department and location in which the employee is incumbent at the time of the layoff over any probationary or provisional employees, any applicant on an eligible list for the vacant position, and any certified employee requesting the reduction who is not subject to layoff.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.415  Sworn Personnel--Inter-Agency Assignment

 

a)         Definition:  The movement, either lateral or upward of an employee, by request of the operating department and with the approval of the Department of Personnel, to a vacant position especially created for an Inter-Agency assignment.  This movement shall not be considered the permanent position of the employee assigned.

 

b)         Eligibility for Inter-Agency Assignment:  The employee must be certified in a classification determined to be that of sworn personnel having police authority by the Director of Personnel.

 

c)         Limitations on Inter-Agency Assignments:

 

1)         Inter-Agency assignments are voluntary.

 

2)         The operating department must provide written notification of an assignment, and the employee must give written acceptance.

 

3)         The duration of the assignment is at the discretion of the operating department director, but it shall be terminated within 10 working days after receipt of a written request from the employee for termination.

 

4)         No provisional, temporary, emergency or exempt employee as referenced in Section 420.310(i) of this Part may be assigned.

 

d)         Rights of Assigned Employees:

 

1)         Assigned employees shall be placed on a Leave of Absence – Sworn Personnel – Inter-Agency Assignment in accordance with Section 420.665.

 

2)         Assigned employees shall retain status, continuous service and all accrued benefits.  Pay shall be consistent with the classification utilized for the assignment until the return to the official position.

 

e)         Temporary Assignment for Inter-Agency Assigned Employee's Position:  The operating department may temporarily assign another sworn employee to perform the duties of the position vacated by the assigned employee in accordance with Section 420.825.

 

(Source:  Added at 21 Ill. Reg. 5937, effective April 24, 1997)

 

Section 420.420  Resignation and Reinstatement

 

a)         Resignation:  An employee who voluntarily leaves the Office of the Secretary of State shall, except in emergency circumstances approved by the department director, give advance notice of intent not less than 15 calendar days before the departure's effective date.  Once a resignation has been submitted by the employee, and accepted by the employing department director or by the Department of Personnel, the resignation shall not be revoked unless the revocation is requested by the employee and the revocation is approved by the employing department director and the Director of Personnel.  Resignation in good standing shall mean that the employee gave the required notice or that the emergency circumstances justified failure to do so, and that the employee's conduct and work performance were satisfactory at the effective date of the resignation.

 

b)         Reinstatement:

 

1)         The Director of Personnel may reinstate an employee who was formerly certified under the Secretary of State Merit Employment Code and who resigned or terminated in good standing or whose name was placed on a reemployment list.  The reinstatement may be to a position in the class to which the employee was assigned prior to resignation, termination, downward allocation, transfer or layoff or to an equivalent or lower position in a related series.  The Director of Personnel may reinstate an employee who was formerly certified under a merit system, including the Personnel Code, the State Universities Civil Service Act, the State Treasurer Employment Code or the Comptroller Merit Employment Code.  A reinstated employee shall serve an additional 6 months 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 a position to which the employee is eligible for reemployment.  Reinstatement to a position in a lower pay grade than that for which the employee is eligible for reemployment shall have no effect on the employee's reemployment rights.  Reinstatement to an equal or higher position than that for which the employee is eligible for reemployment shall result in removal of the employee's name from the reemployment list upon satisfactory completion of the new probationary period.

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.430  Discipline, Discharge, and Termination

 

a)         Progressive Corrective Discipline:  Employees shall be subject to corrective discipline progressively utilizing counseling, warnings and/or suspensions, as the facts and circumstances dictate, prior to discharge, unless the facts and circumstances warrant immediate discharge or suspension.  If an employee's work or work-related conduct remains unacceptable after the application of progressive corrective discipline, the employee may be discharged in accordance with the appropriate following subsections.

 

b)         Discipline − Warning Notices:  A department director or designee may issue a warning notice as a disciplinary measure.  A copy of any warning notice shall be placed in the employee's official personnel file and may be used in considering further discipline, demotion, withholding of salary increases and other personnel transactions.  Any notice given shall bear the signature of the issuing official.

 

c)         Disciplinary Suspensions:  Written statements of reason for disciplinary suspensions without pay totaling not more than 30 calendar days in any 12 month period shall be filed by a department director or other administrative authority with the Director of Personnel or designee in the form and manner prescribed.  If the employee is certified, and subject to suspensions totaling more than 30 calendar days in any 12 month period, the department director or administrative authority shall file written charges for such suspension with the Director of Personnel or designee in the form and manner prescribed in the Merit Commission Rules (80 Ill. Adm. Code 50).  Before a disciplinary suspension shall be effective, a signed request containing a clear and concise statement of facts showing good cause to suspend the employee shall be approved by the Director of Personnel. The employee shall be informed in writing of the charges prior to the effective date of the proposed suspension and be provided with a reasonable summary of the evidence. The employee shall have 4 working days after being informed of the proposed suspension within which to address to the department director or designee written rebuttal of the reasons given for the suspension.  A decision not to suspend the employee or to reduce the suspension shall be rendered in writing to the employee and filed with the Director of Personnel.  Notice of such suspension imposed must also be filed immediately with the Director of Personnel.  If delay in the imposition of discipline will result in clear harm or damage to a department, the employee may be suspended prior to the review by the Director of Personnel.

 

d)         Suspension Pending Decision on Discharge:  A department may suspend an employee, without pay, for up to 30 days pending the decision of the operating department as to whether charges for discharge shall be filed against the employee.  The department shall, at the time of the suspension, provide the employee with written reasons for the suspension in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file. Notice of suspension must also be filed immediately with the Director of Personnel.  The department shall thereafter promptly investigate the facts and circumstances and render its decision.  Should the department determine that the facts and circumstances do not warrant disciplinary suspension or charges for discharge, the employee shall be made whole.  Should the department determine that a disciplinary suspension is appropriate, subsection (c) shall apply in its entirety.  Should the department determine that discharge of the employee is appropriate, subsection (f) shall apply in its entirety.

 

e)         Definition of Day for Suspension Purposes:  A day, for purposes of suspension, shall be defined as 7.5 hours, predicated on a 37.5 hour work week, unless the employee is in a position requiring a 40 hour week, in which case the day shall be 8.0 hours.  Intermittent and permanent part-time employees' day for purposes of suspension shall be prorated based on their work schedule.

 

f)         Discharge of Certified Employee:

 

1)         Discharge of a certified employee may be initiated by a department director or other administrative authority by filing written charges for discharge with the Director of Personnel in the form and manner prescribed by the Director of Personnel, as specified in the Merit Commission Rules.  Written charges shall contain a clear and concise statement of facts showing good cause for discharge  and other supporting documentation, if applicable.  No discharge of a certified employee shall be effective without the approval of the written charges for discharge by the Director of Personnel or designee.

 

2)         Before a discharge shall be effective, the certified employee shall receive a written copy of the charges and a copy of a reasonable summary of the evidence designed to give the employee sufficient information to respond to the charges against him or her, and have at least 4 working days within which to respond to the charges with reasons and evidence why discharge should not occur.  The certified employee's response, which should include matters in defense and/or mitigation, shall be presented to the Director of Personnel in writing before 4:30 p.m. on the fourth working day after the certified employee has received notice of the proposed discharge, counting the day of service as the first day.  The certified employee shall be suspended pending discharge for these four working days, and shall remain suspended until a final decision on discharge shall be made.  These 4 working days shall not increase the maximum suspension periods allowed pursuant to subsection (c). If the Director of Personnel has attempted service on the individual through mail or other carrier service and personal delivery and yet is unable to make service on the individual, the Director of Personnel may file a motion with the Secretary of State Merit Commission seeking a determination that service has been accomplished through due diligence.  The motion may be filed any time after 30 days have lapsed from the date service is first attempted on the individual. Service of the motion on the individual shall be by regular mail at the individual's last known address.  The motion shall set forth the actions of the Secretary of State's Office with respect to service on the individual. A hearing shall be scheduled within 10 days after the filing of the motion.  An order shall be entered at the conclusion of the hearing. If due diligence is shown, an order shall be entered stating that service has been attempted and accomplished for purposes of this subsection. The time period for the individual to appeal the dismissal with the Merit Commission begins on the date of the order.

 

3)         After receipt of the certified employee's response to the proposed discharge, the Director of Personnel or designee shall carefully consider all matters submitted by the employee.  The Director of Personnel or designee may consult with the employing department director before a final decision on discharge is made.  The Director of Personnel or designee shall make a decision within a reasonable time. If more than 10 working days is required, the employee shall be notified in writing by hand delivery, by certified mail, return receipt requested, by courier, or by process server.  The final notice of discharge shall contain a statement that the response of the certified employee was considered before a final decision was made, or that no response was submitted.  The procedures of subsections (f)(1) and (g) shall then apply.

 

g)         Notice to Employee:  Notice of approved charges for any disciplinary suspension or approved charges for discharge shall be served on the employee,  by hand delivery by Secretary of State personnel, by certified mail, return receipt requested, by courier, or by process server at the employee's last address appearing in the official personnel file. The notice shall also identify the employee's responsibility to return to the supervisor any items furnished the employee by the Office of the Secretary of State, including any Secretary of State identification, uniforms, keys, supplies, tools or property, and to leave the place of employment as of the effective date of the suspension or discharge pursuant to Section 420.435.

 

h)         Employee Obligations:  Upon receipt by the employee of charges for discharge, the employee shall return to the supervisor any items belonging to the State, pursuant to Section 420.435 and leave the place of employment.  The director of the employing department shall take action to insure compliance.

 

i)          Appeal by Employee:  A certified employee who has been served with approved charges for suspension totaling more than 30 calendar days in a 12 month period or approved charges for discharge may make a written request to the Merit Commission for hearing of those charges within 15 calendar days of receipt of written charges.

 

j)          Discharge or Suspension of Probationary Employee:  Discharge or suspension of a probationary employee may be initiated by filing written charges with the Director of Personnel in the form and manner prescribed by the Director of Personnel. Written charges shall contain a clear and concise statement of facts showing good cause for suspension or discharge and other supporting documentation if applicable. No suspension or discharge of a probationary employee shall be effective without the approval of the written charges by the Director of Personnel or designee.

 

k)         Reinstatement from Suspension or Discharge:  An employee who is reinstated following a period of suspension or discharge shall receive full compensation for that period.  Full compensation shall represent total pay, with any vacation and sick leave benefits the 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 unemployment compensation payments received during the period.

 

l)          Suspension or Discharge Resulting from Arrest and/or Criminal Indictment:

 

1)         The arrest or criminal indictment of any employee shall not be grounds for suspension or discharge. However, the facts of an arrest or criminal indictment made known to the Director of Personnel may be grounds for suspension or discharge if they meet one or more of the following criteria:

 

A)        Resulted from an employee's conduct in the course of employment;

 

B)        Occurred on or proximate to State premises and as a result of the employee's conduct, including conduct that may have violated standards of conduct; or

 

C)        Raises reasonable doubt concerning the employee's suitability for continued State employment in the present assignment or position based upon the severity and nature of the offense.

 

2)         If an employee is not subject to suspension or discharge under this Section, the Director of Personnel or designee may, depending upon the needs of the office or at the request of the employee, place the employee on indefinite leave status, without pay, pending a final court determination of innocence or guilt in accordance with Section 420.660.

 

m)        Termination of Noncertified Employee: No noncertified employee may be terminated without prior approval of the Director of Personnel. The noncertified employee has no recourse with this Part or the Merit Commission.

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.435  Return of State Property

 

Employee Obligations:  In cases of discharge, layoff, leave of absence, resignation, separation, suspension, and/or termination of employment, the employee shall leave the place of employment and return to the supervisor any State property or equipment furnished the employee by the Office of the Secretary of State.  This includes but is not limited to any Secretary of State identification, uniforms, keys, supplies, tools, cell phones, business cards, laptop computers or other property.  The director of the employing department shall take action to insure compliance.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

SUBPART D: CONDITIONS OF EMPLOYMENT

 

Section 420.600  Grievance Procedure

 

a)         Definition:  Any employee of the Office of the Secretary of State may grieve as to the application of the Merit Employment Code, this Part or any policy arising under this Part as to the impact of the applications upon the employee's employment condition or status.  The grievance must be filed on the form prescribed by the Director of Personnel.

 

b)         Limitation:  The Secretary of State Merit Employment Code, this Part and the official policy arising under this Part, the Pay Plan, and the Rules of the Merit Commission (80 Ill. Adm. Code 50) are not grievable matters. Terminations of noncertified employees, layoffs, charges seeking discharge, demotions, suspensions totaling more than 30 days in any 12 month period of certified employees, appeals of allocation of duties, or geographical transfers are not subject to the grievance procedure.

 

c)         Abandonment – Extension:  Failure of the grievant to comply with the form or time requirements of the grievance procedure shall result in forfeiture of the grievance, ending the grievance process. Failure of the employer to comply with the time requirements shall automatically advance the grievance to the next level.  The parties may mutually extend the time limits at any level of the procedure, except in cases of hearings arising from demotion or discharge of a certified employee.

 

d)         Representation:  Parties to a grievance may be represented by themselves or by a person of their own choosing at any level of the proceedings.

 

e)         Grievance Procedure – Level 1:

 

1)         Employees who believe that they are aggrieved may within 5 scheduled work days of knowledge of the circumstance giving rise to the grievance, present their grievance in writing on the prescribed form to their immediate supervisor and it shall contain a specific statement as to the nature of the grievance.  The supervisor shall attempt to adjust the problem, or, if he/she is  without authority to do so, he/she shall advise the employee as to the appropriate beginning level for institution of their grievances.

 

2)         Immediate supervisors who are authorized to resolve grievances shall note the receipt date of the grievances and shall make response within 10 working days.

 

f)         Grievance Procedure – Level 2:

 

1)         If an employee does not accept the response of an appropriate supervisor at Level 1, the employee may present the grievance to the department director or designee.  The grievance shall be submitted within 10 working days after the employee's official notification of the supervisor's decision at Level 1 and it shall contain a specific statement as to the nature of the grievance and as to the reason for rejecting the resolution of the immediate supervisor.

 

2)         The department director or designee shall note the receipt date of the grievance and shall make written response within 10 working days.  The written response shall be specific as to the reasons for approval or denial of the grievance.  In making a decision, the department director or designee may make an investigation of the problem.

 

g)         Grievance Procedure – Level 3:

 

1)         An aggrieved employee who does not accept the decision received at Level 2 may forward a written request on the prescribed form to the Director of Personnel.  The request shall be filed within 10 working days after the employee's receipt of the Level 2 decision and it shall be specific as to the reasons for rejection of that decision.

 

2)         The Director of Personnel or designee, in his or her discretion, shall review the matter on its face or cause a meeting of the parties.  Following the review, or upon receipt and review of the recommendation from the designee, the Director of Personnel shall release a decision to all of the parties.  The decision shall be in writing and shall be final and binding upon the parties.

 

3)         If a meeting is granted by the Director of Personnel under subsection (g)(2), the Director of Personnel or designee shall designate the location and time of grievance meetings and notify in writing all parties involved. The Director of Personnel or designee shall grant a continuance if either party demonstrates good cause.  At the meeting, the parties to a grievance may introduce such materials, documents and witnesses as are necessary to resolve the problem. A list of all witnesses anticipated to be called and documents to be presented shall be submitted to the Director of Personnel 5 working days prior to the meeting. Necessary documents maintained by the Office of the Secretary of State shall be reproduced without cost. Witnesses who are employees of the Office of the Secretary of State shall not be docked for absence from work while testifying at a grievance meeting. Should a dispute arise as to the necessity of certain appearances or of the reproduction of certain documents, the Director of Personnel shall be advised and shall resolve the dispute.

                                   

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.610  Sick Leave

 

a)         Sick Leave Definition: All employees, except those in emergency, permanent part-time, intermittent, per diem, or temporary status, unless the status is the result of accepting a nonpermanent working assignment in another class, shall accumulate sick leave at the rate of one day for each month's service.  Intermittent and permanent part-time employees shall accrue sick time on a prorated hourly basis determined by a ratio, the numerator of which shall be number of hours in pay status each month and the denominator of which shall be the number of normal work hours that month.

 

b)         Accumulation of Sick Leave:  Employees shall be allowed to carry over from year to year of continuous service any unused sick leave.  An employee shall retain any unused sick leave accumulated prior to December 1, 1980.

 

c)         Reinstatement of Sick Leave:

 

1)         On or after the effective date of this Section, accumulated sick leave available at the time an employee's continuous service is interrupted shall, upon verification, be reinstated to the employee's account upon return to full-time, regularly scheduled part-time, or intermittent employment, except in temporary or emergency status.  This reinstatement is applicable provided the interruption of service occurred not more than 5 years prior to the date the employee reenters service and provided the sick leave has not been credited by the appropriate retirement system towards retirement benefits.

 

2)         An employee with previous service for which sick leave was granted under provisions other than Jurisdiction C of the Code shall have the sick leave reinstated to the extent provided under this Section.

 

d)         Advancement of Sick Leave:  An employee with more than 2 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 and the Director of Personnel.  Advances will be charged against sick leave accumulated later in subsequent service.  No additional advance of sick time will be made until all previously advanced time is repaid.

 

            e)         Use of Sick Leave:

 

1)         Sick leave shall be used in the following order:

 

A)        Sick leave granted prior to January 1, 1984 will be used first;

 

B)        Sick leave granted beginning January 1, 1998 will be used second;

 

C)        Sick Leave granted from January 1, 1984 through December 31, 1997 will be used last.

 

2)         Sick leave may not be used in increments of less than ½ hour at a time, but in conjunction with the first ½ hour may be taken in additional 15-minute increments. Permanent part-time and intermittent employees may use sick time in 15-minute increments.

 

3)         Sick leave may be used for illness, disability or injury of the employee or 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, unless such time is used pursuant to the Family Medical Leave Act (29 USC 2601 et seq.).

 

4)         The employing department or the Department of Personnel shall, when there is apparent abuse, require evidence to substantiate that sick leave days were used for the purposes set forth in subsection (e)(3). For periods of absence of more than 5 consecutive workdays, the employee shall provide verification for the absence in accordance with the provisions of Section 420.760(b)(4). 

 

5)         Employees may be granted up to 3 days (a day being equal to his/her actual workday) of paid leave time, in addition to the use of sick time allowed in subsection (e)(3), to attend services and related events and make necessary arrangements upon the death of a member of his/her immediate family. For purposes of this subsection (e)(5), immediate family includes father/step-father, mother/step-mother, brother/step‑brother, sister/step-sister, son/step-son, daughter/step‑daughter, spouse, parties to a marriage, domestic partner (established prior to 6-1-11), party to a civil union, child (including adopted, custodial or in-law), grandparent, grandchild, parent-in-law, brother or sister-in-law, niece, nephew, aunt and uncle.  The employee may be required to provide documentation as to the necessity for absences covered by this subsection (e)(5).

 

f)         Payment in Lieu of Sick Leave:  

 

1)         Unless otherwise provided by law, upon separation of employment by means of resignation, retirement, death, indeterminate layoff, or discharge, and if the employee is not employed in another position in State service within 4 calendar days of the separation, an employee is entitled to be paid for unused sick leave which accrued on or after January 1, 1984 and prior to January 1, 1998 in accordance with subsection (e)(3).

 

2)         The amount of sick leave to be paid upon termination of employment will be determined as follows:  

 

A)        using time records from the employing department, the Department of Personnel will verify the employee's sick leave balance for sick leave earned, but not taken, in the period from January 1, 1984 up to and including December 31, 1997;

 

B)        the employees will be paid one-half of the amount of sick leave days determined in subsection (e)(2)(A), multiplied by the daily salary rate in effect at the time of separation.

 

3)         The method for computing the hourly or daily salary rate for sick leave qualifying for lump sum payment upon separation of employment shall be determined by Payroll.

 

4)         If an employee has a negative sick leave balance pursuant to subsection (d) when employment is separated, the employing department must submit this negative sick leave balance to Payroll, where one of the following will be applied:  

 

A)        Subtract the negative sick leave balance from the earning amount still due to the employee by the Secretary of State.

 

B)        Contact employing department, stating dollar amount of overpayment to employee.  The employing department then has the responsibility of contacting the employee regarding the dollar amount due to the Secretary of State, payable by personal check or money order.

 

C)        If no repayment occurs, Payroll will establish a lien against any State of Illinois monetary payment due to the employee through the Comptroller for the negative sick leave balance owed to the Secretary of State.

 

5)         An employee who is reemployed, reinstated or recalled from indeterminate layoff and who received lump sum payment in lieu of unused sick days will have the days restored by doing the following:

 

A)        The employee must notify the employing department to request restoration of the previously paid unused sick days to the employee's sick leave account; and

 

B)        The employee must repay the gross (total) amount paid by the State (before deductions) to the Secretary of State by personal check or money order.  The employing department will forward the employee's repayment to Payroll before unused sick days are returned to the employee's sick leave account.

 

g)         Pursuant to the Secretary of State Merit Employment Code [15 ILCS 310/10b.18], an employee who is also a veteran shall be permitted 4 days with pay per year to visit a veterans' hospital for examination of a military service connected disability. Upon submitting proof of the visit, the 4 days shall not be charged against any sick leave currently available to the employee.

 

(Source:  Amended at 39 Ill. Reg. 14182, effective October 19, 2015)

 

Section 420.620  Personal Leave

 

a)         All employees, except those in emergency, per diem or temporary status, shall be permitted 3 personal leave days with pay each calendar year.

 

b)         Partial Year Credit

 

1)         Employees entitled to receive personal leave who enter service during the calendar year shall be given credit for personal leave as follows:

 

January 1 through February 14	3 days or 22.5 hours
February 15 through April 15	2½ days or 18.75 hours
April 16 through June 15	2 days or 15.0 hours
June 16 through August 15	1½ days or 11.25 hours
August 16 through October 15	1 day or 7.5 hours
October 16 through December 15	½ day or 3.75 hours

 

2)         Personal leave time will not be available for use or credited to the employee's account for 90 days from the date of appointment for employees who are commencing a new period of continuous service.

 

c)         Personal leave may not be used in increments of less than ½ hour at a time, but in conjunction with the first ½ hour may be taken in additional 15-minute increments. Permanent part-time and intermittent employees may use personal leave time in 15-minute increments.

 

d)         Except for those emergency situations that preclude the making of prior arrangements, personal leave shall be scheduled in advance. Personal leave days may be used for personal reasons but shall not be used to extend a holiday or annual leave except as permitted in advance by the department through written approval.

 

e)         Unless subsection (b) applies, personal leave shall not accumulate from calendar year to calendar year, nor shall any employee be entitled to payment for unused personal leave upon separation from service, except as provided in Section 10c(2) of the Code.

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.630  On-The-Job Injury – Industrial Disease (Repealed)

 

 

(Source:  Repealed at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.640  Leaves of Absence Without Pay

 

Unless otherwise provided for in a specific leave and with prior approval of the Director of Personnel, leaves of absence may be granted without pay to employees for periods not to exceed 6 months.  Employees must provide proper documentation to support their request for leave prior to the approval of the leave.  Leaves may be extended for good cause by the department for additional 6 month periods, with the Director of Personnel's approval. An employee who returns from a leave granted under this Section shall have the rights set forth in Section 420.680.

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.645  Family Leave

 

This leave of absence shall be considered separate and apart from the Family and Medical Leave Act of 1993 (29 USC 2601 et seq.) leave and Family Military Leave Act [820 ILCS 151] leave.  When FMLA does not apply or the employee does not qualify under FMLA, an employee may request a family leave for the adoption of a child or for parental reasons or other family emergencies.  This leave can endure from one to 90 calendar days without pay and without deduction of continuous service.  If requested and approved by the employing department, an additional 90 days will be allowed.  However, the subsequent 90 to 180 calendar days will be deducted from continuous service.  This leave may be utilized, if requested and with prior approval by the employing department and the Department of Personnel, for additional leave after a disability leave for maternity purposes.  An employee who returns from a family leave shall have the rights set forth in Section 420.680.

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.650  Limitations on Leaves of Absence

 

No emergency or temporary employee shall be granted leaves of absence except as provided in Section 420.760(g) (on-the-job injury or illness) and Section 420.760(e) (disability).

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.660  Leaves of Absence – Special

 

The Director of Personnel may approve special leaves of absence with or without pay when those leaves would benefit the Office of the Secretary of State. An employee who returns from a leave granted under this Section shall have the rights set forth in Section 420.680.

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.665  Leaves Of Absence – Sworn Personnel – Inter-Agency Assignment

 

The Director of Personnel shall grant leaves of absence to sworn personnel for an Inter-Agency assignment accepted for the duration of the assignment. When an employee returns from this leave, the department shall return the employee to the same or similar position in the class in which the employee was incumbent prior to the commencement of such leave.

 

(Source:  Added at 21 Ill. Reg. 5937, effective April 24, 1997)

 

Section 420.670  Leaves of Absence – Special – Salary (Repealed)

 

(Source:  Repealed at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.680  Employee Rights After Leave

 

a)         When an employee returns from a leave of absence of 6 months or less, the department shall return the employee to the same or similar position in the class in which the employee was incumbent prior to the commencement of the leave.

 

b)         Except for those leaves granted under Sections 420.665, 420.705, 420.710 or 420.760(g) and when an employee returns from a leave or leaves exceeding 6 months and there is no vacant position available to the employee in the same class in which the employee was incumbent prior to the 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.

 

c)         Except for those leaves granted under Sections 420.665, 420.690, 420.710 or 420.760(g), an employee shall resign his/her employment or be terminated from employment once he/she has been continuously out on leave of absence for 2 calendar years.

 

(Source:  Amended at 39 Ill. Reg. 14182, effective October 19, 2015)

 

Section 420.690  Leave of Absence – Election to Public Office

 

Employees who are elected to public office will, upon request, be granted a leave of absence without pay for so long as the employee remains an elected officer or for a period of 5 years, whichever is shorter, and shall be returned to the same or comparable position from which the employee was on leave provided the request to return is made within 30 calendar days following termination of the elected office.  [15 ILCS 310/12]

 

(Source:  Amended at 46 Ill. Reg. 19704, effective November 23, 2022)

 

Section 420.700  Failure to Return from Leave of Absence

 

Failure to return from a leave of absence, extend the leave or voluntarily terminate employment within 5 working days after the expiration or termination date shall be considered grounds for disciplinary action, up to and including discharge for job abandonment in accordance with Section 420.430(f) and (j).

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.705  National Service Leave

 

a)         An employee who volunteers and is accepted for service, pursuant to the National Community Service Trust Act of 1993 (42 USC 12501 et seq.) in the overseas or domestic Peace Corps, Job Corps, AmeriCorps VISTA, or other equivalent national service program shall be given a leave of absence from his/her position for the duration of the service.

 

b)         Prior to granting a National Service Leave, an employee must provide acceptable documentation from the service agency as to the type and dates of service.

 

c)         Upon return from a National Service Leave, an employee shall be restored to the same or similar position, provided that the employee returns to employment within 90 days after termination of the service or release from hospitalization resulting from a disability incurred during the service.

 

(Source:  Added at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.710  Military Leave

 

a)         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, or as may be required by law.

 

b)         Upon return from military leave, the employee shall be restored to the same or similar position on making an application to the Director of Personnel within 90 days after separation from active duty, or after release from hospitalization continuing after discharge but for not more than one year. The employee must provide evidence of satisfactory completion of training and military service when making application and must be qualified to perform the duties of the position.

 

c)         Subject to the provisions of Section 420.310(f), a veteran who returns to service with the Office of the Secretary of State after having been granted a military leave of absence from provisional status shall be required to pass the same or similar examination for his/her position within the remaining balance of the 6 month provisional period or 90 days, whichever is greater.

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.715  Disaster Services Leave with Pay

 

In accordance with the Disaster Service Volunteer Leave Act [5 ILCS 335], a permanent employee who is a certified disaster service volunteer of the American Red Cross or assigned to the Illinois Emergency Management Agency in accordance with the Illinois Emergency Management Agency Act [20 ILCS 3305], the Emergency Management Assistance Compact Act [45 ILCS 151], or other applicable administrative rules, may be granted leave with pay for up to 20 working days in any 12 month period for disasters in the United States or its territories.  The leave may be granted upon request of the American Red Cross or the Illinois Emergency Management Agency. The leave is subject to the approval of the Director of Personnel based upon operational needs.  Proper documentation to support the request for leave must be submitted prior to the approval of the leave.  Disasters must be designated at a Level III or above in the American National Red Cross Regulations and Procedures.  No temporary or emergency employees shall be granted this leave. An employee who returns from a leave granted under this Section shall have the rights set forth in Section 420.680.

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.720  Leave for Annual Military Reserve Training or Special Duty

 

a)         Any 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 annual leave with pay for one full pay period during any one State fiscal year and such additions or extensions to fulfill the military reserve obligation.  These leaves will be granted without loss of continuous service or other accrued benefits.

 

b)         In the case of an emergency call-up (or order to State active duty) by the Governor, the leave shall be granted for the duration of the emergency with pay and without loss of seniority or other accrued benefit.  Military earnings for the emergency call-up paid under the Military Code of Illinois [20 ILCS 1805] must be submitted and assigned to the employing department, and the employing department shall return it to the payroll fund from which the employee's payroll check was drawn.  If military pay exceeds the employee's earnings for the period, the employing department shall return the difference to the employee.

 

c)         To be eligible for military reserve leave or emergency call-up pay, the employee must provide the employing department with a certificate, requiring the military reserve or emergency call-up duty, from the commanding officer of his/her unit prior to commencement of the duty.

 

d)         Any employee who is a member of any reserve component of the United States Armed Forces or of any reserve component of the Illinois State Militia shall be granted leave from State employment for any period actively spent in military service, including basic training and special or advanced training, whether or not within the State, and whether or not voluntary.

 

e)         During basic training and up to 60 days of special or advanced training, if the employee's compensation for military activities is less than his/her compensation as a State employee, he/she shall receive his/her regular compensation as a State employee minus the amount of his/her base pay for military activities.  During this training, the employee's continuous service and other benefits shall continue to accrue.

 

f)         An employee who returns from a leave granted under this Section shall have the rights set forth in Section 420.680.

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.730  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 employing department with certification by a responsible authority that the period of leave was actually used for such purpose.

 

Section 420.740  Leave to Take Exempt Position

 

The Director of Personnel may approve leaves of absence for certified employees who accept appointment in a position that is exempt from Jurisdiction B of the Merit Employment Code.  These 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 of the leave of absence, an employee shall be restored to the same or similar position with continuous service, including the period of the leave, upon making application to the employing department that granted the leave of absence.

 

(Source:  Former Section 420.740 repealed at 32 Ill. Reg. 15017, effective September 8, 2008; new Section added at 39 Ill. Reg. 14182, effective October 19, 2015)

 

Section 420.745  Blood/Organ/Tissue Donation Leave

 

In accordance with the Organ Donor Leave Act [5 ILCS 327], a permanent full-time, part-time or intermittent employee who has been employed with the Office of the Secretary of State for at least 6 months, with approval of the employing department, will be granted paid leave to donate an organ, bone marrow, blood or blood platelets under the following conditions:

 

a)         Up to 30 days in a 12 month period to serve as an organ or bone marrow donor. In order to be granted paid leave for organ or bone marrow donation, proper medical leave paperwork must be completed in advance of the leave.  Paid leave time does not apply to time off taken for the purpose of preliminary compatibility testing and/or screening for organ or bone marrow transplant.

 

b)          Up to 1 hour in a 56 day period to donate or attempt to donate blood, with prior approval from the immediate supervisor and proof of donation provided.

 

c)           Up to 2 hours or more, if necessary, to donate blood platelets in accordance with appropriate medical standards established by the Red Cross or other nationally-recognized standards, with prior approval from the immediate supervisor and proof of donation provided. Blood platelet donation may not be granted more than 24 times in a 12 month period.

 

d)          An employee will not be required to use accumulated benefit time before becoming eligible for a Blood/Organ/Tissue Donation Leave.

 

(Source:  Added at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.750  School Visitation Leave

 

Pursuant to the School Visitation Rights Act [820 ILCS 147], an employee with no other available Personal Leave, Vacation Leave, Compensatory Time, or Holiday Compensatory Time shall be granted up to 8 hours of time off without loss of pay or benefits during the school year to visit a dependent child's school for parent-teacher meetings or at the special request of the school authorities. Except in documented extenuating circumstances, an employee must request the time off at least 3 working days in advance. The employee must provide documentation from school authorities indicating the leave time was used for the purpose intended.

 

(Source:  Added at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.760  Non-service Connected and Service Connected Disability Leave

 

a)         Employees who are unable to perform a substantial portion of their regularly assigned duties due to temporary physical or mental disability shall, upon request, or approval of a claim under the Workers' Compensation Act [820 ILCS 305] or Workers' Occupational Diseases Act [820 ILCS 310], be granted a non-service or service-connected disability leave for the duration of the disability. A substantial portion of regularly assigned duties shall be those duties or responsibilities normally performed by the employee that constitute a significant portion of the employee's time or that constitute the factors differentiating that particular position from other positions, provided the balance of the duties can be reassigned by the department.

 

b)         In granting the leave, the Director of Personnel shall apply the following standards:

 

1)         As soon as the employee becomes aware of an impending period of disability, the employee shall notify the appropriate supervisor and provide a written statement by the attending physician or other authority of the approximate length of time the employee will be unable to perform regularly assigned duties;

 

2)         A request for disability leave shall be in writing, except when the department is advised by other appropriate means of the employee's disability. In this event, the employee's signature is not required;

 

3)         Except for service-connected disability as provided in subsection (g), the employee shall have exhausted available sick leave provided under Section 420.610 prior to being granted a disability leave; an employee may use other accrued paid time for this purpose, but is not required to do so;

 

4)         During a disability leave, the disabled employee shall provide written verification by a person licensed under the Medical Practice Act of 1987 [225 ILCS 60] or under similar laws of Illinois or of other states or countries, or by an individual authorized by a recognized religious denomination to treat by prayer or spiritual means.  The verification shall show the diagnosis, prognosis and expected duration of the disability and shall be made no less often than every 30 days during a period of disability, unless the nature of the disability precludes the need for such frequency of verification;

 

c)         Termination of Leave:

 

1)         Failure of an employee to provide verification of continued disability upon reasonable request shall, on due notice, cause termination of the leave.

 

2)         An employee's disability leave shall terminate when the employee is no longer temporarily disabled and is capable of performing  regularly assigned duties.

 

A)        An employee is no longer temporarily disabled when he/she is able to perform regularly assigned duties upon advice of the appropriate authority (i.e., attending physician, an impartial physician, or other authority).

 

B)        An employee is no longer temporarily disabled when he/she is found to be permanently disabled and unable to perform a substantial or significant portion of his/her regularly assigned duties by the appropriate authority, or in the absence of that authority, by the attending physician.

 

C)        If the department has reason to believe that an employee is able or unable to perform a substantial portion of the regularly assigned duties, it may seek and rely upon the decision of an impartial physician or other specialist licensed pursuant to the Medical Practice Act [225 ILCS 60] in the field of the alleged disability chosen by agreement of the parties or, in the absence of an agreement, upon the decision of an impartial physician or other specialist licensed pursuant to the Medical Practice Act who is selected by the Director of Personnel or SERS TRISTAR.

 

D)        In determining whether to approve a requested discharge of an employee for failure to return from a disability leave or for physical inability to perform the duties of a position, the Director of Personnel may seek and rely upon the advice of the State Employees Retirement System or other appropriate authority, including an impartial physician selected in accordance with subsection (c)(2)(C).

 

d)         An employee who returns from a disability leave shall have the rights set forth in Section 420.680 or subsection (g)(6), whichever applies.

 

e)         An employee who is on disability leave while in temporary or emergency status, except if that status results from a leave of absence to accept a temporary or emergency position, shall be eligible for disability leave for the balance of the appointment and shall earn or accrue no other benefit arising from this Part.

 

f)         Up to 12 weeks of leave time out of any 12 month period may be designated as leave time under the Family and Medical Leave Act (FMLA) (29 USC 2601 et seq.).  Designated FMLA leave time will run concurrently with the disability leave or workers' compensation grace time, provided the absence is due to a qualifying serious injury or illness.

 

g)         An employee who suffers an on-the-job injury or illness and is unable to perform a substantial portion of the regularly assigned duties in accordance with subsection (a) shall also be subject to the following:

 

1)         Upon request, an employee will be allowed full pay for 3 working days of absence without utilization of any accumulated sick leave or other benefits if a workers' compensation claim is filed and approved pursuant to the Workers' Compensation or Workers' Occupational Diseases Act.

 

2)         Starting with the 4^th working day of absence, the employee shall be permitted, but not required, to utilize accumulated sick leave or other benefit leave time, or may be granted a non-service disability leave of absence pending outcome of the employee's workers' compensation claim. During the leave granted under this subsection (g)(2), the employee may not apply for disability benefits with the Illinois State Employees Retirement System. The employee shall not be required to exhaust available sick time accumulated in accordance with Section 420.610 to be granted this leave.

 

3)         If the employee's workers' compensation claim is deemed subject to benefits provided in the Workers' Compensation or Workers' Occupational Diseases Act, the employee will be placed on a service-connected disability leave of absence. The employee shall not be required to exhaust available sick time accumulated in accordance with Section 420.610 to be granted this leave.

 

4)         In the event the injury or illness is not deemed subject to benefits under the Acts, the employee will be placed on a non-service disability leave of absence or may use accumulated benefit time to cover any absences related to the incident.

 

5)         In the event the injury or illness becomes the subject of an award by the Illinois Workers' Compensation Commission or a settlement contract is approved by the Illinois Workers' Compensation Commission that provides for payment of temporary total disability (TTD) to cover non-work time, the employee shall restore to the State the payment received as sick leave or other benefit leave time and the employee's leave account shall be credited with leave time equivalents.

 

6)         An employee who returns from a service-connected disability leave of absence shall be returned to the same or similar position in the same class in which the employee was incumbent at the time the leave commenced.

 

(Source:  Amended at 39 Ill. Reg. 14182, effective October 19, 2015)

 

Section 420.770  Attendance in Court

 

a)         Any permanent employee called for jury duty or subpoenaed by any legislative, judicial or administrative tribunal for purposes other than personal private litigation 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 the call or subpoena on accrued time off or personal leave and retain the full amount received for the service.

 

b)         Emergency or temporary employees shall be allowed time off without pay for such purpose and shall be allowed to retain the reimbursement received .

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.775  Victims' Economic Security and Safety Leave

 

In accordance with the Victims' Economic Safety and Security Act [820 ILCS 180], a permanent employee of the Office of the Secretary of State or a participant in a work assignment as a condition of receipt of federal or State income-based public assistance, who is a victim of domestic or sexual violence or has a family or household member who is a victim of domestic or sexual violence, shall be entitled to a total of 12 work weeks of unpaid leave in a 12 month period. The 12 month period shall commence with the effective date of the first date of leave. An employee who returns from a leave granted under this Section shall have the rights set forth in Section 420.680.

 

(Source:  Added at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.800  Vacation

 

a)         Eligibility:

 

1)         All employees in pay status shall earn vacation time.  Employees in emergency or temporary status shall not earn vacation time unless on leave of absence to accept  an emergency or temporary appointment. 

 

2)         Eligible employees shall earn vacation time in accordance with the following schedule:

 

A)        From the date of hire until the completion of 5 years of continuous service – 10 work days per year of employment.

 

B)        From the completion of 5 years of continuous service until the completion of 9 years of continuous service – 15 work days per year of employment.

 

C)        From the completion of 9 years of continuous service until the completion of 14 years of continuous service – 17 work days per year of employment.

 

D)        From the completion of 14 years of continuous service until the completion of 19 years of continuous service – 20 work days per year of employment.

 

E)        From the completion of 19 years of continuous service until the completion of 25 years of continuous service – 22 work days per year of employment.

 

F)         From the completion of 25 years of continuous service until the completion of 30 years of continuous service – 25 work days per year of employment.

 

G)        From the completion of 30 years of continuous service – 30 work days per year of employment.

 

3)         Vacation time may not be taken in increments of less than one hour at a time, but, in conjuction with the first one hour increment, may be taken in additional 15 minute increments.  Permanent part-time and intermittent employees may use vacation time in 15-minute increments.  Earned vacation time may be taken any time after the initial 6 month probationary period and shall not be accumulated for more than 24 months after the end of the calendar year in which it is earned, except as provided by subsection (b)(2).

 

4)         Vacation time earned, except by  intermittent and permanent part-time employees, shall be computed in work hours.  After an employee's earned vacation time has been so computed, if there remains a fractional balance, the earned vacation time will be rounded to the nearest quarter hour.

 

5)         Prorated Vacation for Intermittent and Permanent Part-Time Employees:  Intermittent and permanent part-time employees shall earn vacation in accordance with the schedule set forth in subsection (a)(2) on a prorated hourly basis determined by a ratio, the numerator of which shall be the hours in pay status each month and the denominator of which shall be the normal working hours for that month.  Vacation computed on an hourly basis may be used in hourly increments.

 

6)         Computation of vacation time of employees who have interrupted service qualifying for credit as defined in Section 420.340 shall be determined as though all previous  service is continuous with present service.

 

b)         Vacation Schedule and Loss of Earned Vacation:

 

1)         In establishing vacation schedules, the department shall consider both the employee's preference and the operating needs of the department.  In any event, upon request, vacation time must be scheduled so that it may be taken not later than 24 months after the expiration of the calendar year in which it was earned.  If an employee does not request and take accrued vacation within the 24 month period, vacation earned during that calendar year will be lost unless the provisions of subsection (b)(2) apply.

 

2)         If an employee is to lose earned vacation time in accordance with subsection (b)(1), and was unable to use that time due to operational needs, the vacation time scheduled for loss may be retained by the employee for up to 24 additional months if approved by the Personnel Director.

 

c)         Vacation Scheduling:

 

1)         All eligible employees shall request the scheduling of vacation time at least 2 weeks in advance, or in accordance with the scheduling provisions established by their department director.  Supervisors shall grant requested times unless a bona fide work-related reason exists for denial.

 

2)         When two or more employees simultaneously request the same vacation period and not all of them can be excused for the same period, the request of the employee with the greatest amount of continuous service shall be honored.

 

d)         Vacation − Unit Closing:  The Department of Personnel may suspend the operation of any work unit or position, workload permitting, for the purpose of vacation.

 

e)         Vacation Benefits on Death of Employee:

 

1)         Upon the death of an employee, the person or persons specified in Section 14a of  the State Finance Act [30 ILCS 105/14a] shall be entitled to receive, from the appropriation for personal services available for payment of the employee's compensation, the sum for any accrued vacation period to which the employee was entitled at the time of death.

 

2)         The sum shall be computed by multiplying the employee's daily or hourly rate by the number of days or hours of accrued vacation due.

 

f)         Payment in Lieu of Vacation:  

 

1)         Upon separation of employment by means of resignation, retirement, indeterminate layoff, or discharge, and if the employee is not employed in another position in State service within 4 calendar days after separation, an employee is entitled to be paid for any vacation earned but not taken or forfeited pursuant to subsection (b) or the Secretary of State Pay Plan.  No other payment in lieu of vacation shall be made except as provided by subsection (e).

 

2)         The payment provided in subsection (f)(1) shall not be deemed to extend the effective date of separation by the number of days represented by the payment.

 

3)         The payment provided in subsection (f)(1) shall be computed by multiplying the number of hours of accumulated vacation by the employee's hourly rate or as determined with Section 420.330 (Intermittents).

 

4)         The payment provided in this Section shall not be allowed if the purpose of the separation from employment and any subsequent reemployment is for the purpose of obtaining such payment.

 

(Source:  Amended at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.810  Work Schedules

 

Work Schedules:  Each operating director shall establish schedules of working hours and work days for his /her department.  No schedules of less than 37½ hours per week shall be approved as a regular workweek.  The schedules shall set out starting and quitting times, break times, lunch times and the work days that apply to the employees within the area of supervision.  Work schedules shall be submitted to the Director of Personnel for approval.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.820  Overtime

 

a)         Overtime:  For those positions approved by and designated on lists maintained by the Director of Personnel, authorized work in excess of an approved work schedule shall be overtime.  The work may be compensated for in cash or compensatory time as determined by the department, provided the designation is in accordance with the Fair Labor Standard Act(29 USC 201 et seq.).  Overtime work shall be distributed as equitably as possible among qualified employees competent to perform the services required when overtime is required, and employees shall be given as much advance notice as possible.  Except as required by law, time spent in travel shall not be considered as overtime.

 

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

 

c)         Compensatory Time Schedule:  Any compensatory time accumulated shall be scheduled upon the consideration of the employee's preference and operational needs of the department, but within the fiscal year that it is earned.  However, compensatory time earned in the last quarter of the fiscal year must be used by the end of the first quarter of the next fiscal year.

 

d)         Overtime Compensation in Cash:  Compensatory time not used within the fiscal year, except for time carried over in accordance with subsection (c), may be liquidated in cash.  Whenever it is not practical to liquidate an employee's overtime with compensatory time off, the employee shall be reimbursed in cash.  The payment shall be at a 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 Payable Upon Death:  Upon the death of an employee, the person or persons specified in Section 14a of the State Finance Act  shall be entitled to receive from the appropriation for personal services available for payment of the employee's compensation the sum for accrued overtime that would have been paid or allowed to the employee had the employee survived.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.825  Temporary Assignment (Repealed)

 

(Source:  Repealed at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.830  Holidays

 

a)         Authorized Holidays:  All scheduled employees shall have time off, with full salary payment, on the following holidays or dates when the holidays are observed:

 

            New Year's Day

 

            Martin Luther King Day

 

            Lincoln's Birthday

 

            Presidents' Day

           

            Memorial Day

 

            Independence Day

 

            Labor Day

 

            Columbus Day

 

            Veteran's Day

 

            Thanksgiving Day (which shall include the Friday immediately following)

 

Christmas Eve

 

            Christmas Day

 

            General Election Day (on which Members of the House of Representatives are elected)

 

            and any additional days proclaimed as holidays by the Governor or the Secretary of State of the State of Illinois or by the President of the United States.

 

b)         Holiday Observance:  Subject to any applicable federal or State laws, when employees are scheduled and required to work on a holiday, equivalent time off will be granted within the following 12 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, the employee's account will not be charged for accrued vacation time for that day.

 

d)         Eligibility for Holiday Pay:  To be eligible for holiday pay, the employee shall be in pay status for the total scheduled hours on 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.  Dock in pay approved in accordance with FMLA shall be deemed the same as pay status for purposes of this Section.

 

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

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.835  Notification of Absence

 

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

 

(Source:  Added at 32 Ill. Reg. 15017, effective September 8, 2008)

SUBPART E: GENERAL PROVISIONS

 

Section 420.1000  Records

 

a)         Performance Records:

 

1)         Performance records shall constitute all material in an employee's official personnel file, including, but not limited to, personnel transactions and related documents, performance evaluations, attendance records, disciplinary records, correspondence, and commendations, that, in the judgment of the Director of Personnel, is relevant to determining the appropriateness of proposed or recommended personnel transactions.

 

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

 

b)         Public Records:  Except as otherwise provided in this Section, the Freedom of Information Act [5 ILCS 140], the Personnel Records Review Act [820 ILCS 40] or other laws, all records of the Department of Personnel, including eligible lists, shall be public records and shall be available for inspection on request submitted to the Director of Personnel.

 

c)         Time and Manner of Inspection:

The records of the Department of Personnel 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 of Personnel.

           

d)         Employee Roster Files:  The Director of Personnel shall establish and maintain official personnel files for employees subject to the Code showing the name, gender, 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 to which the employee is assigned.

 

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

 

1)         Personal history and the official personnel file of an employee.  However, the employee or authorized agent may inspect the employee's personal history and official personnel file.

 

2)         Reports of medical, psychological and psychiatric examinations. However, employees may inspect reports pertaining to themselves.

 

3)         All parts of examinations.  However, an employee or applicant may inspect his/her own answer sheet.

 

4)         The identity, complete questionnaire, and other documents related to salary surveys. 

 

5)         No records of personnel transactions including requisitions and referrals will be made available until the transactions have been completed.  No personal history contained on the transactions shall be available for public inspection.

 

6)         Information concerning criminal convictions of applicants or employees, except as needed for purposes set forth in Section 420.300(l).

 

7)         All documentation in files pertaining to selection and appointment of new employees or movement of current employees to other positions.

 

f)         Attendance Records:  Each operating department shall maintain accurate, daily attendance records.  Employees shall have the right to review their attendance record on file in their operating department.

                       

g)         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 a blank form.  Any demand to sign an undated resignation or blank form shall entitle the employee to immediate appeal to the Director of Personnel.

 

h)         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, upon request, be given a copy of the form after the employee's signature is affixed.

 

i)          Reason for Separation:  Employees resigning from employment with the Office of the Secretary of State must set forth their reasons for resignation in writing. The document effecting a resignation shall contain or have attached the basis for the separation, including signature and effective date. Failure to include the basis for separation, however, shall not affect the ability to accept and process the separation request.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.1010  Benefits

 

a)         Portability of Certain Benefits:  Sick and vacation leave earned but not taken by employees in the course of State employment not subject to the Merit Employment Code shall be deemed to have been earned by them at the time they become subject to the Code to the extent the benefits are provided and would have been earned under this Part.

 

b)         Repayment of Benefit Time:  Unless otherwise provided by law, employees who return to employment in any capacity with the Office of the Secretary of State within 30 days after separation of previous employment must, as a condition of their new employment, repay the lump sum amount paid for accrued vacation, overtime and sick leave within 30 days after the new employment commences. The amount repaid shall be deposited into the fund from which the payment was made or the General Revenue Fund. Upon repayment, the accrued time shall be credited to the account of the employee.

 

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)

 

Section 420.1015  Proration of Rights and Benefits

 

Permanent part-time and intermittent employees shall have all rights and benefits granted by Jurisdictions A, B and C of the Code based on the proration of the part-time or intermittent scheduled hours against the normal 1957.5 hour work year.

 

(Source:  Added at 35 Ill. Reg. 4278, effective March 1, 2011)

 

Section 420.1020  Prohibition of Discrimination

 

a)         Discrimination, as defined by the Illinois Human Rights Act [775 ILCS 5], the Civil Rights Act of 1964 (42 USC 2000(d) et seq.), the Americans With Disabilities Act of 1990 (42 USC 12101 et seq.), the Genetic Information Nondiscrimination Act of 2008 (42 USC 2000(ff) et seq.), the Age Discrimination Act of 1967 (29 USC 621 et seq.), the Equal Pay Act of 1963 (29 USC 206 et seq.), or other federal or State law or regulation, against any person in recruitment, examination, appointment, training, promotion, retention, or any other personnel transaction, or because of membership in or activity on behalf of employee labor organizations, or any other non-merit factor is prohibited. The Director of Personnel will use bona fide occupational qualifications for consistency purposes in making employment decisions.

 

b)         Any applicant or employee who feels adversely affected in employment because of discrimination shall have resort to the grievance procedure established in Section 420.600.

 

(Source:  Amended at 36 Ill. Reg. 12125, effective July 16, 2012)

 

Section 420.1030  Other Provisions

 

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

 

b)         Policy:  The Director of Personnel shall promulgate policy necessary to obtain compliance with this Part and with the Code.

           

(Source:  Amended at 32 Ill. Reg. 15017, effective September 8, 2008)