Tenn. Comp. R. & Regs. 1120 — Human Resources

Chapter 1120-01 Definitions

Tenn. Comp. R. & Regs. 1120-01-.01 DEFINITIONS

The following definitions shall apply to terms as they appear in these Rules, unless the context clearly requires otherwise:

(1) Act. Tennessee Excellence, Accountability, and Management (“T.E.A.M.”) Act as codified in Tennessee Code Annotated, §§ 8-30-101 et seq.

(2) Active Pay Status. Term applied to an employee who is actually working or who is using paid leave other than paid terminal leave or sick leave bank grants.

(3) Agency. Any entity that employs and exercises authority over any employee in the state service in the executive branch.

(4) Appeal. A written complaint by a Preferred Service Employee concerning a disciplinary dismissal, involuntary demotion or suspension or by a state agency concerning a decision of the Commissioner in Step II of the appeals process.

(5) Applicant Assessment. An assessment designed to determine the qualifications, fitness, and ability of the applicant to perform the duties of the classification for which the applicant has applied. The assessment may consist of a written, oral, or physical exam, or a demonstration of skills, or any combination of such types. The assessment may also consist of an evaluation of education, experience, skill, ability, competency, knowledge, aptitude, capacity, character, and other qualifications as, in the judgment of the Commissioner or agency, may determine and measure the relative ability of the applicant.

(6) Appointing Authority. A commissioner, department, officer or agent having power to make appointments to, and separations from, positions in state service.

(7) Appointment. The official designation of a person to fill a position in the state service as an employee.

(8) Board. The Board of Appeals as established in T.C.A. § 8-30-108.

(9) Candidate. A person who has qualified for appointment to a position in the preferred service.

(10) Career Path. Provides an employee with career progression to develop and enhance knowledge, skills, abilities, and competencies. Agencies may use career path classifications when attracting or retaining competent employees for hard-to-fill occupations with complex duties. Career path positions provide employees with training opportunities designed to develop required job-related competencies.

(11) Classification/Class of Positions. A group of positions sufficiently alike in duties, authority and responsibilities such that the same general qualifications may reasonably be required and the same schedule of pay equitably applied to all positions in the group.

(12) Classification Specification. A description of a classification, including classification title, summary, distinguishing features, examples of duties and responsibilities, minimum qualifications, necessary special qualifications, and knowledge, skills, abilities, and competencies.

(13) Commissioner. The Commissioner of the Department of Human Resources.

(14) Compensation Plan. A series of salary ranges to which a class of positions are assigned so that classifications evaluated as substantially equal are assigned to the same salary range.

(15) Department. The Department of Human Resources (“DOHR”).

(16) Dismissal. The termination from the state service of an employee for causes related to performance of duties or conduct which may affect an employee’s ability to successfully fulfill the requirements of the job.

(17) Emergency Appointment. The appointment of a person to a position for a period, not to exceed one hundred twenty (120) days, in the event of an emergency.

(18) Equal Employment Opportunity Plan. A statistical document which identifies and analyzes patterns in the participation and utilization of certain groups in the workforce, based on federal and/or state law requirements.

(19) Executive Service. All positions in the state service not subject to the preferred service provisions of the Act.

(20) Executive Service Employee. An employee who holds a position in the executive service.

Executive service employees serve at the pleasure of the Appointing Authority and do not have the ability to appeal a suspension, involuntary demotion, or dismissal as defined in Rule 1120-11.

(21) Flex-Classification Position. A position in a classification series which may be filled with an employee qualified to perform the job at the entry/trainee level, intermediate/working level, or advanced working level.

(22) Full-Time. A position or an employee budgeted for or scheduled to work a full-time schedule as defined by the Commissioner and the Commissioner of Finance and Administration, usually one thousand nine hundred and fifty (1,950) hours or more per year.

(23) Gross Misconduct. Any job-related misconduct which may subject an employee to criminal prosecution.

(24) Initial Probation/Initial Probationary Period. The first probationary period an employee serves in an agency in a continuous period of employment prior to becoming a Preferred Service Employee in that agency.

(25) Interim Appointment. The appointment of a person to a position for a period not to exceed one (1) year.

(26) Involuntary Demotion. The change of an employee to a lower classification for causes related to performance of duties or conduct which affects an employee’s ability to successfully fulfill the requirements of the job.

(27) Lateral Reclassification. A change from a position in one classification to a position in another classification with the same salary grade and similar duties, authority, responsibilities, and qualification requirements.

(28) Layoff. A separation of an employee from state service as the result of a reduction in force.

(29) Legal Residence. The county or state in which an individual’s home is located and to which the individual plans to return if temporarily absent.

(30) Limited Term Appointment. The governor, the governor’s cabinet, and members of boards, commissions, agencies and authorities receive limited executive service appointments.

Limited term appointments do not require the use of a pool of candidates and are not eligible to accrue sick and annual leave.

(31) Major Portion of a Month. One-tenth (0.1) of one (1) hour over fifty percent (50%) of the regularly scheduled working hours.

(32) Manager. An employee who supervises, plans and coordinates the work of other supervisors or an employee who serves in a staff policy making or recommending capacity in an agency.

(33) Non-Preferred Employee. Employees who fall outside the provisions of the Act and serve in one of the following appointment types: interim, emergency, part-time, seasonal, temporary, or temporary employment of retired state employees. Employees in this category do not become Preferred Service Employees.

(34) Official Duty Station. The town, city or location where the majority of the employee’s duties are performed as designated by the agency.

(35) Part-Time. A position or an employee budgeted or scheduled to work a part-time schedule as defined by the Commissioner and the Commissioner of Finance and Administration, usually less than fifteen hundred sixty (1,560) hours per year.

(36) Pool of Candidates. A compilation of candidates who may be appointed to positions in accordance with these Rules, for example, in situations of appointment, promotion, or layoff.

(37) Position. A job consisting of assigned duties, authority, and responsibilities typically performed by one (1) person.

(38) Position Reclassification. A change in a job classification, typically resulting from a significant reassignment in job duties and responsibilities.

(39) Preferred Service. All officers and positions of employment in the state service that have been placed under the preferred service provisions of the Act.

(40) Preferred Service Employee. An employee who holds a position in an agency in the state service, in which the employee has successfully completed the initial probationary period.

(41) Probationary Period. A period of not less than one (1) year duration used to provide an employee with the opportunity to demonstrate ability to successfully adhere to the standards of performance and expected work outcomes required for the position.

(42) Promotion. The change of an employee to a classification at a higher salary grade or upward movement to a classification in the same salary grade within a classification series.

(43) Reallocation/Reallocated. A change from one classification to a new or existing classification based on a change in the nature or structure of the classification plan.

(44) Reduction in Force. Any job action due to a lack of funds, a reduction in spending authorization, lack of work, efficiency or other material change in duties or organization that may result in the layoff of one or more Preferred Service Employees.

(45) Referred Pool. The document or record containing the names of the applicants meeting minimum qualifications for a class of positions for consideration by an Appointing Authority in filling a vacancy.

(46) Regular Appointment. The appointment of a person to a regular position in either the preferred or executive service for an indeterminate period of time.

(47) Regular Position. A position which is funded on an annual basis and is expected to continue to receive funding.

(48) Salary Grade. A numeric/alpha value which defines the level of the job classification and designates the salary range for a class of positions.

(49) Salary Range. The minimum to the maximum rates of pay established for a class of positions.

(50) Seasonal Part-Time. A part-time position which is funded for a specific period of time, typically scheduled to work for a certain period and generally not exceeding thirty (30) hours per week or fifteen hundred sixty (1,560) hours per year.

(51) Seasonal Full-Time. A full-time position which is funded for an indeterminate amount of time, typically less than one (1) year, and is expected to continue to receive funding. These employees work thirty (30) hours or more per week, but shall work less than nineteen hundred fifty (1,950) hours per year.

(52) Service Anniversary Date/Month. The date in which an employee is hired and from which annual accrued leave is calculated. This date may be adjusted due to breaks in service.

(53) Sick Leave Bank. A pool of sick leave hours donated by member employees for use by qualifying members who are medically certified as unable to perform the duties of their jobs as a result of a personal illness, injury, accident, disability, medical condition, or quarantine.

(54) State. The State of Tennessee.

(55) State Employee. A person employed in a position in state government. For the purposes of these Rules only, “state employee” excludes employees of state universities and local education agencies.

(56) State Service. All officers and positions of trust or employment in the executive branch and all boards, commissions and agencies in state government except those specifically excluded by the Act.

(57) Subsequent Probation. The probationary period of a Preferred Service Employee who accepts another preferred service position within the same agency.

(58) Supervisor. An employee who oversees, directs, or manages the work, work flow, or employees in the performance of their daily duties. A supervisor shall be physically present in Tennessee while supervising employees working within Tennessee unless business reasons require out-of-state travel. Supervisors may conduct and/or review performance reviews/evaluations.

(59) Suspension. An enforced leave of absence for disciplinary purposes for such length of time as the Appointing Authority considers appropriate, not exceeding thirty (30) days in any twelve (12) month period.

(60) Temporary Appointment. The appointment of a person to a preferred service position for a temporary period, not to exceed six (6) months, until an appropriate pool has been established by the Department.

(61) Temporary Staffing Service. The utilization of a temporary staffing service vendor having a contract with the State managed by the Central Procurement Office (CPO) within the Department of General Services to provide short-term temporaries to perform the duties, for a period not to exceed ninety (90) days, of an existing preferred service position.

Temporaries are not considered employees of the State.

(62) Terminal Leave. The annual leave balance of a retiring employee. Any leave balance remaining after the employee’s last actual workday is considered terminal leave.

(63) Termination. Any action taken that officially separates an employee from the state service.

This includes employees who elect to resign, retire or who are dismissed from the state service.

(64) Time Period. Time period for most employees is defined as the work week beginning on Sunday and ending Saturday.

(65) Transfer. A change from one position in a classification to another position in the same classification.

(66) Voluntary Demotion. The change of an employee to a lower classification based on an employee’s request and the concurrence of the Appointing Authority.

(67) Workday. A scheduled day of work exclusive of holidays or other authorized leave days.

History

• Authority: T.C.A. §§ 8-30-101, et seq.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Amendment filed May 6, 1996; effective July 20, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023. Amendments filed July 11, 2024; effective October 9, 2024. Emergency rule filed April 17, 2025; effective through October 14, 2025. Amendments filed July 9, 2025; effective October 7, 2025.

Chapter 1120-02 Employment Practices

Tenn. Comp. R. & Regs. 1120-02-.01 RESPONSIBILITY

The Commissioner is responsible for administering the Act, these Rules, and establishing policies and procedures.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-107.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-02-.02 DIVISIONS OF STATE SERVICE

The state service is divided into the preferred service and the executive service.

History

• Authority: T.C.A. § 8-30-201.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-02-.03 APPLICATION FOR EMPLOYMENT

(1) Applying for Positions in the State Service. All open positions, regardless of their classification, must be posted in the applicant tracking system currently approved by the Department of Human Resources prior to filling the positions. For positions that are considered non-competitive, executive service, or internships, agencies must enter the relevant data in the applicant tracking system, even if the position has already been filled. All applications for employment in state service positions shall be made in a manner prescribed by the Commissioner, as applicable.

(2) Disqualification of Applicants. The Commissioner may strike the name of a person from the pool of candidates, if the Department determines that the applicant:

(a) Lacks any of the required minimum qualification requirements established for the position;

(b) Has previously been dismissed from state service for cause or gross misconduct;

(c) Has willfully or intentionally submitted false information or documents in support of any application or has intentionally omitted information in any application which materially affects eligibility for employment consideration;

(d) Has committed or attempted to commit a fraud or deception in connection with submitting an application or attempting to secure an appointment to state service;

(e) Has used or attempted to use political pressure or bribery to secure an advantage in assessment or appointment;

(f) Has directly or indirectly obtained information regarding an assessment to which the applicant was not entitled;

(g) Has failed to submit an application correctly or within the prescribed time limit;

(h) Has taken part in the compilation, administration, or correction of the assessment; or (i) Has otherwise violated provisions of this Rule or related policies established and distributed by the Commissioner.

(3) Notice of Removal from a Pool of Candidates. An applicant who is removed from a pool of candidates for any reason shall be notified in writing within ten (10) business days of removal. An applicant may submit additional information and/or documentation to clarify any discrepancies within a time prescribed by the Commissioner to avoid removal from a pool of candidates. However, any correction or clarification on an application will not invalidate any subsequent appointment for a position.

(4) Equal Employment Opportunities. The provisions of this section shall be administered consistent with the State’s equal employment opportunities policies and obligations. All actions taken pursuant to this chapter shall be in strict compliance with all applicable state and federal civil rights laws.

History

• Authority: T.C.A. §§ 8-30-101, 8-30-104, 8-30-105, 8-30-301, 8-30-303, 8-30-304, and 8-30-305.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.04 ASSESSMENTS

(1) Notice of Assessments. The Commissioner shall give public notice of all assessments, at least five (5) calendar days in advance of the closing date for receipt of applications, by posting notices throughout the State. Public notice of assessments shall specify the job title, minimum salary for the position, the minimum or preferred qualifications, the final date on which applications will be received, and other conditions of assessment necessary for the position.

(2) Evaluating Assessments. The Commissioner shall determine whether an applicant meets the minimum qualifications for the position. Applicants who meet the minimum qualifications shall be approved for placement in a pool of candidates.

(3) Determining Qualifications. The Commissioner shall establish a procedure for the evaluation of the education, training, and experience qualifications, including licenses, certifications, approved continuing education credits, and other factors as deemed appropriate by the Commissioner.

(4) Admission to Assessments. Assessments shall be open to all persons who meet the minimum qualifications and requirements specified in the respective public notices. Each applicant admitted to an assessment shall be notified of the time, date and place of the assessment. The Commissioner may request additional documentation from the applicant prior to the assessment.

(5) Written Assessments. A written assessment will be approved by the Appointing Authority with every precaution taken to prevent unauthorized persons from gaining knowledge of the nature or content of the tests. Written assessments shall be conducted in locations that are practical for proper administration. All applicants admitted to a written assessment shall adhere to the respective Department’s established testing rules and procedures. The Appointing Authority may take any appropriate action, up to and including criminal prosecution, against applicants who do not adhere to these established rules and procedures.

(6) Employees in Positions Added to the Preferred Service. If an executive service position is reassigned to the preferred service, the incumbent employee may, within one (1) year, be given an assessment in a manner prescribed by the Commissioner.

(7) Oral Assessments. When an oral evaluation is part of the assessment method for a position or class of positions, the Commissioner shall work with the Appointing Authority in establishing the examiners as needed.

(8) Notice of Assessment Results. The Commissioner shall notify each applicant in writing of the results of the assessment as soon as practicable. A manifest error in the assessment shall be corrected, if called to the attention of the Commissioner no later than one (1) month after the establishment of the pool of candidates. The correction, however, will not invalidate any appointment previously made from such pool of candidates.

(9) Rescheduling Assessments. When an applicant is unable to appear for a written assessment, the applicant may, upon satis factorily showing the cause of his failure to appear, be granted permission by the Commissioner to take the written assessment at a later date.

(10) Working Test Period. With input from the Division of Rehabilitation Services, Department of Human Services, the Commissioner may substitute a working test period in lieu of a written assessment for an applicant with a disability. The test period shall not exceed one (1) year.

The work test period runs concurrently with the employee’s probationary period as defined in

Tenn. Comp. R. & Regs. 1120-02-.05 POOLS OF CANDIDATES

(1) Establishment of Pools of Candidates. Upon request by the Appointing Authority, the Commissioner shall establish a pool of candidates for all job classifications within a time prescribed by the Commissioner. The Commissioner shall establish and maintain pools of candidates to meet the needs of the service.

(2) Supplementing Pools of Candidates. The Commissioner shall routinely review existing pools of candidates to determine whether there are an adequate number of applicants available to meet the needs of the service. When the Commissioner determines that a particular pool of candidates is inadequate or is likely to become inadequate, the Commissioner may order a supplemental assessment for the class of positions. The public announcement for supplemental assessments shall give notice of the dates when applications will be accepted and, when applicable, when written assessments will be administered.

(3) Duration of Pools of Candidates. At the time a pool of candidates is established, the Commissioner shall determine the period during which such pool shall remain in force.

Subject to the limitations of the Act and these Rules, the Commissioner may consolidate or cancel a pool of candidates at any time after it has been established.

(4) Removal and Notification of Names from a Pool of Candidates. Any appli cant whose name is removed from a pool of candidates for any reason shall receive written notice of such action within ten (10) business days of the date of removal.

(a) The name of an applicant may be removed or made inactive in a pool of candidates for a class of positions for any of the following:

1. An applicant receives a regular appointment to a vacancy in that class of positions;

2. An applicant declines an employment offer for the announced position;

3. An applicant fails to respond within four (4) calendar days of the date of an invitation to interview;

4. An applicant cannot be located;

5. An applicant falsifies any material fact;

6. An applicant has been convicted of a crime related to the position or class of positions for which he or she has applied; or 7. Any cause occurs as specified in the Act or Rules regarding the rejection or disqualification of applicants.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-305, and 8-30-306.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Rule was previously numbered 1120-02-.06 but was renumbered 1120-02-.05 with the deletion of original rule 1120-02-.04 filed January 18, 2023; effective April 18, 2023. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.06 CERTIFICATION AND USE OF POOLS OF CANDIDATES

(1) Certification of a Pool of Candidates. The Commissioner shall certify a pool of candidates containing applicants meeting the minimum qualifications for the position to be filled by the requesting agency.

(2) Referred Pool of Candidates. Upon the request of the Appointing Authority, the Commissioner may establish employment, promotional, statewide, departmental, divisional, unit or any other pool of candidates deemed necessary or appropriate. The Commissioner shall issue a policy that agencies may use in establishing referred pools of candidates.

(3) Request for Certification. When a vacancy occurs in one (1) or more established positions in a classification in the preferred service, the Appointing Authority may request a pool of candidates to fill the position(s) in a manner prescribed by the Commissioner.

(4) Methods of Certification. The Commissioner shall certify to the Appointing Authority the names of applicants from the appropriate referred pool of candidates for the classification.

When requesting a referred pool of candidates for a position with specified progression requirements, the Appointing Authority may request a referred pool of candidates for the entry/trainee level, intermediate/working level, or advanced working level.

(5) Interviewing Applicants from a Referred Pool of Candidates. If three (3) or more applicants are in the pool of candidates, the Appointing Authority shall offer an invitation to interview a minimum of three (3) applicants from the referred pool of candidates. If less than three (3) applicants are in the pool of candidates, the Appointing Authority shall invite each person in the pool of candidates to interview.

(6) Veterans’ Preference. When invitations to interview candidates are extended, whether for appointment or promotion, and the pool of candidates contains eligible Veterans or Veteran spouses in compliance with T.C.A. § 8-30-307, such persons shall be invited to interview. If a Veteran is in the pool of candidates, and if the minimum qualifications and the skills, abilities, competencies and knowledge of the Veteran and any another applicant being interviewed for the position are equal, preference shall be given to the Veteran for the position, consistent with the Department of Human Resources’ policy pertaining to Veterans’ Preference.

(7) Appointment from a Referred Pool of Candidates. Within thirty (30) calendar days after being referred a pool of candidates, the Appointing Authority shall appoint one (1) of the applicants in the pool of candidates. If no appointment is made from a referred pool of candidates, the pool of candidates shall expire upon the thirty-first (31st) day.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-305, 8-30-306, and 8-30-307.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Rule was previously numbered 1120-02-.07 but was renumbered 1120-02- .06 with the deletion of original rule 1120-02-.04 filed January 18, 2023; effective April 18, 2023. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.07 OTHER LISTS

(1) Layoff List. The Department shall maintain a list of all Preferred Service Employees affected by a reduction in force for a period of one (1) year following the employee’s date of layoff.

Employees so listed shall be notified of any job openings in the same job classification that the employee served immediately prior to layoff, shall be extended an invitation to apply for the job, and shall be granted an interview by the hiring agency upon application.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-305, and 8-30-306.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Rule was previously numbered 1120-02-.08 but was renumbered 1120-02-.07 with the deletion of original rule 1120-02-.04 filed January 18, 2023; effective April 18, 2023. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.08 FILLING POSITIONS

(1) Preferred Service Positions. All preferred service positions are regular full-time positions which may be filled by persons who are among the available applicants in a referred pool of candidates.

Preferred service positions may be fill ed on a full-time temporary basis outside the competitive process by qualified persons as determined by the Commissioner by temporary appointment, emergency appointment, or interim appointment. Preferred service positions may also be filled on a part-time basis with a seasonal appointment.

(2) Request to Fill Position. Whenever an Appointing Authority proposes to fill a preferred service position, executive service position, non-competitive position, or an internship position, the

authority shall submit to the Commissioner a statement showing the position to be filled, the duties for such position, the official duty station, the minimum qualifications, and preferred skills, abilities, competencies and knowledge of the person to be appointed. The statement shall also specify whether the position will be filled by an internal state candidate, and, if so, justifying the reason(s) for posting the vacancy as promotional.

(3) Executive Service Positions. All executive service positions are regular full-time positions, which may be filled by eligible applicants. The agency is not required to hire an applicant from a referred pool of candidates. However, all postings and candidates for executive service positio ns shall be recorded in the current enterprise applicant tracking system authorized by the Department. The posting of the position and the application process for executive service positions must be completed through the applicant tracking system.

Executive service employees are at-will and serve at the pleasure of the Appointing Authority.

(4) Non-Competitive Positions. For positions involving certain clerical, unskilled or semi-skilled labor, domestic, attendant, or custodial work, when the character or place of the work makes it impracticable to supply the needs of the service by appointments made in accordance with the provisions of the Act, the Commissioner may adopt, or authorize the use of, such other procedures as the Commissioner determines to be appropriate in order to meet the needs of the service.

(5) Overlap. An Appointing Authority may place more than one (1) employee in a single position in an overlap status subject to budgetary limitations and the approval of the Commissioner.

(6) Job Sharing. An Appointing Authority may place more than one (1) part-time employee in a single full-time position in a job sharing status subject to budgetary limitations and the approval of the Commissioner. Agencies are responsible for ensuring that the number of hours worked by all employees assigned to the position number do not exceed the maximum number of full-time hours assigned to that position in a fiscal year. Positions used for job sharing and employees who job share are not classified as preferred service.

(7) Mismatch. An Appointing Authority may request approval from the Commissioner to appoint an employee to a classification different from the classification of the position, provided the employee's classification is not higher than the classification of the position.

For preferred service appointments, the mismatch should be in the same or related classification series. The employee appointed should be able to meet the qualifications for the classification of the position upon attainment of additional education, experience, or credentials. Preferred service mismatches should not exceed one (1) year except for employees in a lower level position with a specified probationary period longer than one (1) year, or who have not otherwise met specified performance standards to progress to the next level.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-201, 8-30-305, and 8-30-309.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Rule was previously numbered

Tenn. Comp. R. & Regs. 1120-02-.09 APPOINTMENTS

(1) Regular Appointment. A regular appointment is an appointment to either a preferred, nonpreferred or executive service position for an indeterminate period of time. A regular appointment is expected to continue contingent upon satisfactory performance and conduct by the employee and upon continued funding, classification and utilization of the position by the State. In the executive service, a regular appointment is at-will and continues at the pleasure of the Appointing Authority.

(2) Emergency Appointment. An emergency appointment is an appointment to a full-time preferred service position for a period of service not to exceed one hundred twenty (120) days and may be made when conditions exist that necessitate an immediate short-term appointment. An emergency appointment may not be renewed, and no person may receive more than one (1) emergency appointment in a twelve (12) month period. Emergency appointments do not require the use of pools of candidates; however, emergency appointees shall meet the minimum qualifications for the class of positions appointed. Time served in an emergency appointment does not constitute creditable service for sick and annual leave accrual or service credit except for the purpose of longevity payments. Emergency appointments are not eligible for participation in the state insurance plan, but may be eligible for participation in the Tennessee Consolidated Retirement System (TCRS) as outlined in TCRS rules and policies.

(3) Interim Appointment. Based on written justification submitted by an Appointing Authority, the Commissioner may approve an interim appointment for a period not to exceed one (1) year.

Based on written justification submitted by an Appointing Authority, the Commissioner may approve an extension, up to one (1) year, if the Commissioner determines that such an extension is in the best interest of the State.

To be eligible for an interim appointment, the employee shall meet the minimum qualifications for the job classification to which the employee is appointed. If the interim appointment is made using a referred pool of candidates, the Appointing Authority may grant the employee a regular appointment in the position using the referred pool from which the interim appointment was made. Interim employees accrue leave under T.C.A. §§ 8-50-101, et seq.

Interim employees are not considered to be in the preferred service.

(4) Seasonal Appointment. Seasonal appointments do not require the use of pools of candidates.

Seasonal employees are not considered to be in the preferred service.

(5) Temporary Appointment. A temporary appointment is the appointment of a person to a preferred service position for a temporary period until an appropriate pool of candidates has been established. The term of a temporary appointment shall not to exceed six (6) months.

Temporary employees accrue leave under T.C.A. §§ 8-50-101, et seq. Temporary employees are not considered to be in the preferred service.

(6) Limited Term Appointment. The governor, the governor's cabinet, and members of boards, commissions, agencies and authorities receive limited term appointments pursuant to statute.

Limited term appointments do not require the use of pools of candidates and are classified as executive service. Limited term appointments do not accrue sick or annual leave.

(7) Temporary Employment of Retired State Employees. Retired State employees may temporarily return under certain conditions as outlined in the temporary employment form obtained from the Retirement Division of the Treasury Department. The retired employee may accept employment with a covered employer for up to one hundred twenty (120) days during a twelve (12) month period. These employees accrue leave under T.C.A. §§ 8-50-101, et seq., but are not considered to be in the preferred service.

(8) Appointments to Positions with Specified Progression Requirements. To fill the vacancy of a position with specified progression requirements, the Appointing Authority shall request from the Commissioner a referred pool of candidates for the entry/trainee level, intermediate/working level, or advanced working level classification. Any applicant appointed to a position from the referred pool of candidates shall serve a period of probationary employment as prescribed by the Commissioner for the classification. During the last month of the probationary period, the Appointing Authority shall certify to the Commissioner whether the employee has successfully completed the period of probationary employment and should, therefore, become a Preferred Service Employee in the position in the approved level classification without further assessment or certification. The employee shall be removed from the position if the probationary period is not successfully completed. Such notification should be made in the same manner as prescribed for any other period of probationary employment.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-201, 8-30-202, 8-30-305, 8-30-308, 8-30-309, and 8-30- 310.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Rule was previously numbered 1120-02-.11 but was renumbered 1120-02-.09 with the deletion of original rules 1120-02-.04 and 1120-02-.09 filed January 18, 2023; effective April 18, 2023. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.10 PROBATIONARY PERIOD

(1) Purpose of the Probationary Period. The probationary period is an essential part of the employment process used for the adjustment of an employee to a new position and to provide an employee with the opportunity to demonstrate to the Appointing Authority the employee’s ability to perform the defined work outcomes and behavior expectations.

(2) Probationary Period for the Preferred Service.

(a) For preferred service positions, a probationary period of at least one (1) year is required for all employees who receive regular appointments from a referred pool of candidates.

(b) The probationary period for a regular appointment may be reduced by the amount of time served in an emergency or interim appointment provided the appointment is for the same Appointing Authority in the same classification of positions and there is no break in service.

(c) Non-Preferred Service Employees do not serve a probationary period.

(d) Successful completion of a probationary period in a trainee or intermediate level classification satisfies the probationary period requirement necessary for a Preferred Service Employee when the position is deemed to be the working level classification.

(3) Duration of the Probationary Period. A period of probation is completed at the close of business or shift on the day the employee completes the number of months of probation required.

(4) Initial Probationary Period.

(a) Every person appointed to a position in the preferred service shall be subject to a probationary period of employment. The probationary period shall commence immediately upon appointment and shall continue for such time, not less than one (1) year, as shall be established by the Commissioner. At any time during the employee's probationary period the Appointing Authority may remove the employee if, in the opinion of the Appointing Authority, the employee's performance or conduct during the probationary period indicates that such employee is unable or unwilling to satisfactorily perform or is not satisfactorily performing the defined work outcomes and behavior expectations, or that the employee's habits, dependability, or conduct do not merit continuance in the service.

(b) Consistent with Rule 1120-11, during the initial probationary period, employees do not have the right to appeal disciplinary actions.

(c) During the last month of an employee's probationary period, the Appointing Authority shall notify the Commissioner in writing whether the performance and conduct of the employee have been satisfactory and whether continued employment is recommended.

(d) After successful completion of a probationary period, an employee becomes a Preferred Service Employee.

(5) Promotion During Probation. An employee promoted during the employee’s initial probation will begin a new probationary period with no appeal rights for not less than one (1) year.

(6) Subsequent Probationary Period.

(a) A Preferred Service Employee who accepts another preferred service position within the same agency shall serve a subsequent probation for a time period of not less than one (1) year.

(b) Preferred Service Employees serving a subsequent probation retain their ability to appeal an involuntary demotion, suspension, or termination from service; however, the employee may not appeal an involuntary demotion returning the employee to the immediately preceding former position.

(7) Working Test Period. The probationary period for an employee with a disability who is granted a substitution of the written and/or performance assessment shall run concurrently with the working test period as defined in Rule 1120-02-.05.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-201, 8-30-303, 8-30-308, and 8-30-312.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Rule was previously numbered 1120-02-.12 but was renumbered 1120- 02-.10 with the deletion of original rules 1120-02-.04 and 1120-02-.09 filed January 18, 2023; effective April 18, 2023. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.11 PROMOTIONS

(1) Methods of Making Promotions. A vacancy may be filled by the promotion of a qualified employee with the approval of the Commissioner. Promotions between departments or agencies shall be approved by the respective Appointing Authority in the individual departments and/or agencies. Promotions of employees to preferred service appointments shall be made by a process as determined by the Commissioner. If it is an open position, they must also be posted in the applicant tracking system as approved by the Department of Human Resources. Any employee who has been demoted may be promoted, at the discretion of the Appointing Authority and with the approval of the Commissioner, to a preferred service position in a classific ation without additional assessment or certification if the employee was a Preferred Service Employee in that classification in that agency.

(2) Promotion by Competitive Assessment. The Commissioner and the Appointing Authority may fill a vacancy by a promoti onal assessment. The promotional pool of candidates resulting from such assessment shall be established in accordance with the applicable provisions of this chapter.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-303, and 8-30-306.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019. Rule was previously numbered 1120-02-.13 but was renumbered 1120-02-.11 with the deletion of original rules 1120-02-.04 and 1120-02-.09 filed January 18, 2023; effective April 18, 2023. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.12 EMPLOYEE TRANSFER, LATERAL RECLASSIFICATION, INVOLUNTARY DEMOTION,

AND VOLUNTARY DEMOTION.

(1) Transfer. A transfer is authorized in accordance with the following:

(a) An Appointing Authority may transfer an employee from one position to another position in the same classification or rank in the same agency.

(b) An employee may be transferred from a position in one agency to a position in the same classification in another agency with the approval of both appointing authorities and the Commissioner.

(2) Lateral Reclassification. A lateral reclassification is authorized in accordance with the following:

(a) An Appointing Authority may laterally reclassify any employee who meets the minimum qualifications from one position to another position in another classification in the same agency with the approval of the Commissioner.

(b) A qualified employee may be laterally reclassified from a position in one agency to a position in another classification in another agency with the approval of both appointing authorities and the Commissioner.

(3) Involuntary Demotion. With the approval of the Commissioner, an agency may involuntarily demote an employee who has failed to render satisfactory service in the current position held but is considered worthy of employment. The agency shall noti fy the employee in writing of the effective date of the involuntary demotion and the appeal process, if applicable. The change of an employee from a position in one classification to a position in another classification is not considered an involuntary demotion if the change is the result of:

(a) The employee's request, with the concurrence of the department or agency;

(b) A change in the organizational structure of the government entity;

(c) Because of the abolishment of a position;

(d) A reduction in force;

(e) Organizational necessity; or (f) Compliance with T.C.A. § 8-30-205.

(4) Voluntary Demotion. A voluntary demotion occurs when an employee requests assignment to a lower classification and the Appointing Authority concurs. A voluntary demotion may require a salary reduction and the completion of an initial or subsequent probationary period, not to exceed twelve (12) months. A voluntary demotion cannot be appealed.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-312, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Rule was previously numbered 1120-02-.14 but was renumbered 1120-02-.12 with the deletion of original rules

Tenn. Comp. R. & Regs. 1120-02-.13 TENURE, EMPLOYEE RECLASSIFICATION, SUSPENSION, AND SEPARATION

(1) Tenure of Office. The continued employment of Preferred Service Employees is contingent on both satisfactory performance and satisfactory conduct. Satisfactory performance is evidenced by the employee's record of performance. This provision, however, does not prevent the layoff of an employee in accordance with a reduction in force plan approved by the Commissioner.

(2) Suspension. An Appointing Authority shall provide written notice upon suspending a Preferred Service Employee without pay for disciplinary purposes. Cumulative suspensions without pay shall not exceed thirty (30) work days in a twelve (12) month period. With approval from the Commissioner, an Appointing Authority may suspend an employee without pay for a period greater than thirty (30) work days, pending the appeal or the processing of an appeal or investigation. The agency shall place a copy of the written notice of the suspension in the employee’s human resources file.

(3) Reduction in Force. After written notice to the Commissioner, an Appointing Authority may implement a reduction in force, in accordance with the provisions of the Act. The Commissioner shall establish policies pertaining to reduction in force procedures.

(4) Resignations. An employee who resigns shall state the reasons in writing to the Appointing

Authority. To resign in good standing, the employee shall provide the resignation at least ten (10) business days prior to the effective date of separation, unless such period is waived by the Appointing Authority or Commissioner, who shall notify the Commissioner in writing. Any employee who does not provide such notice may be designated as having resigned not in good standing. A copy of the resignation shall be placed in the employee’s human resources file.

(5) Job Abandonment. Any employee who is absent from duty for more than three (3) consecutive work days without giving prior written or electronic notice to the Appointing

Authority or appropriate manager that specifies the reason for such absence, and without securing permission to be on leave, or who fails to report for duty or to the immediate supervisor or the Appointing Authority within two (2) work days after the expiration of any authorized leave of absence, is considered as having resigned not in good standing, absent extenuating circumstances beyond the control of the employee causing the employee’s absence or preventing the employee's return. An employee deemed to have resigned in accordance with these circumstances shall have the ability to appeal such action through the appeal procedure described herein.

(6) Dismissal. An Appointing Authority may dismiss a Preferred Service Employee for either unsatisfactory performance or unsatisfactory conduct. Executive service employees are atwill employees who serve at the pleasure of the Appointing Authority and do not have the ability to appeal a dismissal.

(7) Designation of Rehire Eligibility. When an employee separates from the state service through retirement, resignation, or dismissal, the Appointing Authority shall make a designation concerning the employee’s eligibility to be rehired by the agency or statewide, depending on the nature of the separation. All separating employees designated as ineligible for rehire statewide shall be informed in writing by the Appointing Authority of the designation and its effect on future employment in the state service.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, and 8-30-316.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2010. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Rule was previously numbered 1120-02-.15 but was renumbered 1120-02-.13 with the deletion of original rules 1120-02-.04 and 1120-02-.09 filed January 18, 2023; effective April 18, 2023. Amendments filed January 18, 2023; effective Apri l 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.14 CERTIFICATION OF PAYROLLS

(1) Certification of Payrolls. All payments for personal service to any person holding a position in the state service shall be submitted by the Appointing Authority to the Commissioner in a manner prescribed by the Commissioner and the Commissioner of Finance and Administration. The Commissioner shall certify the payroll before it may be honored by the Department of Finance and Administration. The Commissioner shall determine that the persons named on the payroll have been appointed or employed in accordance with the Act and applicable rules and that the salary rate is in accordance with the compensation plan before certification of that payroll for payment.

(2) Refusal to Certify. If the Commissioner determines that a person on the payroll has not been appointed or paid in conformity with the provisions of the Act and these Rules, the Commissioner shall refuse to certify payment for that employee. The removal of a name or item from the payroll shall serve as official notification to the Department of Finance and Administration that the drawing, signing, or issuing of any warrant by any disbursing officer of the State for the payment of salary or compensation to such person is unlawful.

(3) Illegal Payments. The Commissioner may bring an action to recover any sum paid contrary to any provisions of the Act or of any rule, regulation or order thereunder from:

(a) Any employee who made, approved or authorized such payment or who signed or countersigned a voucher, payroll, check or warrant for such payment;

(b) The sureties on the official bond of any such officer; or (c) Any employee who incorrectly or improperly received any payment from the State.

All moneys recovered in any such action shall be paid into the state treasury.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-210, and 8-30-211.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Rule was previously numbered 1120-02-.16 but was renumbered 1120-02-.14 with the deletion of original rules

Tenn. Comp. R. & Regs. 1120-02-.15 RECORDS AND REPORTS

(1) Employee Records. The Commissioner shall maintain employee records as necessary to carry out the intent and purpose of the Act and these Rules and shall cause to be maintained in each agency a human resources file on each active employee. These files shall be maintained in accordance with policy established by the Commissioner. The Commissioner may audit these files as necessary.

(2) Reports from Appointing Authorities. The appointing authorities shall report to the Commissioner in a manner prescribed by the Commissioner all changes in the employment status of employees under their jurisdiction. Upon request, the appointing authorities may also be required to make other reports regarding their employees to the Commissioner.

(3) Investigations. The Commissioner has the right to access, and if necessary, subpoena, the records, books, papers and other documents of any organizational unit pertinent to any investigation, which may be necessary.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-504.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Rule was previously numbered 1120-02-.17 but was renumbered 1120-02-.15 with the deletion of original rules

Tenn. Comp. R. & Regs. 1120-02-.16 REPEALED

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: Original rule filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012. Rule was previously numbered 1120-02-.18 but was renumbered 1120-02-.16 with the deletion of original rules 1120-02-.04 and 1120-02-.09 filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-02-.17 INTERNSHIPS AND AGENCY RESPONSIBILITIES

(1) Agencies who host interns must comply with all requirements as provided in the Department’s policy related to the State of Tennessee Internship Program.

(a) Agencies shall not discriminate against an applicant for an internship or intern based on race, color, national origin, age (40 and over), sex, religion, creed, disability, pregnancy, and Veteran’s status or any other category protected by state and/or federal civil rights law. Internships may be terminated at any time at the discretion of the agency’s Appointing Authority. There is no appeal procedure for termination of an internship.

(b) Agencies must ensure that interns meet all eligibility requirements and be authorized by the Appointing Authority, as listed in the policy.

(c) The internship, even though it includes actual operation of the facilities of the agency, must be similar to training which would be given in an educational environment.

(d) The internship experience must be for the benefit of the intern.

(e) The intern shall not displace regular employees but shall work under close supervision of their mentor.

(f) The agency that provides the internship shall derive no immediate advantage from the activities of the intern, and on occasion its operations may actually be impeded.

(g) The intern shall not be entitled to a job at the conclusion of the internship.

(2) Agencies who plan to hire an intern (paid or unpaid) shall notify the Department’s Executive Director of Recruitment at least ninety (90) business days in advance of the start of the internship. Agencies shall also comply with the Department’s requirements regarding posting and performance metrics and other reporting requirements throughout the internship. Any openings must be reported in the designated applicant tracking system.

History

• Authority: T.C.A. §§ 4-3-1703 and 8-30-104.
• Administrative History: New rule filed January 18, 2023; effective April 18, 2023

Chapter 1120-03 Classification

Tenn. Comp. R. & Regs. 1120-03-.01 CREATING A CLASSIFICATION PLAN

The Department shall create a classification plan, which categorizes positions sufficiently alike in duties, authority, and responsibilities, such that the same general qualifications may reasonably be required and the same schedule of pay equitably applied to all positions in the group.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-203, 8-30-204, 8-30-205, and 8-30-206.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-03-.02 CLASSIFICATION PLAN

The classification plan established and maintained by the Commissioner, in consultation with the appointing authorities, is a compilation of the officially authorized classifications of positions for the state service. The plan contains the classification specification for each classification in the preferred service which may be subdivided, grouped, or ranked as deemed proper by the Commissioner.

History

• Authority: T.C.A. § 8-30-203.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-03-.03 CLASSIFICATION SPECIFICATIONS

Classification specifications for preferred service shall include, at a minimum, the following:

(1) Classification title;

(2) Summary;

(3) Distinguishing features;

(4) Examples of duties and responsibilities;

(5) Minimum qualifications;

(6) Necessary special qualifications (where applicable); and (7) Knowledge, skills, abilities, and competencies.

History

• Authority: T.C.A. § 8-30-203.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-03-.04 USE OF CLASSIFICATION TITLES

The classification titles in the classification plan are used to designate all positions in the state service in all official records, vouchers, and communications concerning those positions. No person shall be appointed to, or employed in, a position within state service under a classification title which has not been approved by the Commissioner. This requirement does not preclude the use of working titles by employees in those positions when the use of working titles is helpful in the employee's performance of duties, authority, and responsibilities, as long as such working titles are authorized by the employee’s Appointing Authority.

History

• Authority: T.C.A. § 8-30-206.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-03-.05 POSITION CLASSIFICATION ACTIONS

(1) If an Appointing Authority makes a significant or permanent change to the duties, authority, and/or responsibilities assigned to a position, the Appointing Authority shall notify the Commissioner so that the Commissioner can determine if a position reclassification is necessary. If no appropriate classification exists, the Commissioner may establish a new classification.

(2) If a change in assigned duties, authority, and responsibilities results in reclassification of the position, the employee in the position shall be certified as an applicant in a pool of candidates and meet all requirements for an original appointment, reappointment, promotion, mismatch, reclassification, or demotion. If ineligible to continue in the position, the employee shall be transferred, reclassified or separated by appropriate action in accordance with the provisions of these Rules and the Act.

(3) The Commissioner may make changes to the classification plan as necessary to reflect changes to the duties, authority, or responsibilities of a job classification. If a preferred service classification is changed due to a modification in the structure of the classification plan, positions are reclassified. Employees who have become Preferred Service Employees in the reallocated positions may continue in those positions without further assessment or certification. Those employees who are not Preferred Service Employees shall meet the minimum qualifications of the new classification and shall appear on a referred pool of candidates.

(4) A position in the preferred service shall not be considered to have been abolished if the same or essentially similar duties, as determined by the Commissioner, are incorporated in a new position in the same agency within one (1) year after the effective date of the layoff that resulted in the position abolishment. Any Preferred Service Employee so affected by the abolishment of the position shall be offered the newly established position upon application.

The newly established position to which the employee returns shall not be placed in the executive service but shall remain in the preferred service.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-202, and 8-30-205.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-03-.06 REPEALED

History

• Authority: T. C.A. § 8-30-213.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011.

Tenn. Comp. R. & Regs. 1120-03-.07 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, 8-30-204, 8-30-210, 8-30-211, and 8-30-212.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011.

Chapter 1120-04 Compensation

Tenn. Comp. R. & Regs. 1120-04-.01 THE COMPENSATION PLAN

The Commissioner shall prepare a comprehensive compensation plan for all classifications in the state service. The plan shall be developed after consultation with appointing authorities and shall take into consideration the State's ability to effectively recruit, prevailing rates of pay for the services performed, comparable services in public and private employment, living costs, other benefits received by the employee, and the State’s financial condition and fiscal policies.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-04-.02 CHANGES TO THE COMPENSATION PLAN

The Commissioner shall, as needed, review the ability of the State to recruit and retain employees for the classifications within state service and may also survey prevailing rates of pay, both within and outside state government. The Commissioner may also make such changes to the compensation plan as the reviews and surveys indicate are prudent, subject to budgetary limitations and as approved by the Commissioner of Finance and Administration.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.03 APPOINTMENTS

The minimum rate of pay in the applicable salary range represents the typical entry rate payable to a person on first appointment to a position in a classification. However, the Commissioner may authorize appointments above the range minimum, when experience in recruiting and retaining employees for the classification or prevailing salary market data indicate persons are not available at lower rates or when the candidate appointed is exceptionally qualified for the position, including reappointments.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.04 PROMOTIONS

An employee who is promoted may receive a promotional salary increase pursuant to policy, provided however, that no employee may be paid at a rate less than the range minimum in the salary range for the new classification and that no employee in the Executive Service or Preferred Service shall receive a promotional salary increase which exceeds the range maximum in the salary range for the new classification. Employees may receive promotional increases of greater or lesser amounts upon recommendation of the Appointing Authority, subject to the approval of the Commissioner and budgetary limitations. The Commissioner shall establish a policy regarding promotions for persons in a position with specified progression requirements.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; eff ective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.05 INVOLUNTARY DEMOTIONS

An employee who is involuntarily demoted may receive a salary reduction. Employees who are involuntarily demoted shall be paid within the salary range for the new classification. Involuntarily demoted employees may receive a salary reduction of a greater or lesser amount upon recommendation of the Appointing Authority, subject to the approval of the Commissioner and budgetary limitations.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-207, 8-30-312, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.06 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-207, and 8-30-312.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Repeal filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-04-.07 VOLUNTARY DEMOTIONS

An employee who accepts a voluntary demotion will typically receive a reduction in salary in accordance with established policy, rules, and procedures.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-312.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.08 EMPLOYEE TRANSFER AND LATERAL RECLASSIFICATION

An employee who is transferred or laterally reclassified shall not generally receive a salary change as a result of such action.

An employee may receive a salary increase based on the availability of agency funding and as long as the range maximum is not exceeded by the new salary.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-312.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.09 RATES ABOVE SPECIFIED SALARY RANGE

The Commissioner may approve payment at a rate above that assigned to the employee's position in the compensation plan when he or she determines it to be in the interest of the State. Employees who receive salary adjustments required by law or who receive salary differentials authorized by these Rules may be paid at a salary rate higher than the maximum of the salary range of their classification. Employees who receive an involuntary demotion may have a salary rate above the maximum if recommended by the Appointing Authority and approved by the Commissioner. Such employees are eligible for longevity pay and other increases as specified by law or

rule, if otherwise eligible.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.10 SALARY GRADE ADJUSTMENTS

The Commissioner may adjust the salary grades of classifications to recognize changes in the duties, responsibilities, and authority. The Commissioner may also establish new salary ranges as a result of a competitive market analysis or a study focusing on recruiting and retaining employees in specific job classifications. The salary grade changes are subject to budgetary limitations and approval by the Commissioner of Finance and Administration. Any employee whose salary is below the minimum of the new salary range shall be adjusted at least to the new minimum. Any employee whose salary is above the maximum of the new salary range shall not receive an increase, unless approved by the Commissioner.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-04-.11 SALARY INCREASES FOR OBTAINING PROFESSIONAL CERTIFICATION OR

COLLEGE DEGREE. Subject to budgetary limitations, any employee who obtains a nationally recognized professional certification or a college degree from an accredited college or university within their occupational field may be eligible for a salary increase, as approved by both the Commissioner and the Commissioner of Finance and Administration. Any administrative assistant or administrative professional, or any employee performing closely related administrative support duties within state government who successfully passes the certified administrative professional examination sponsored by the International Association of Administrative Professionals shall be granted the salary increase as outlined in T.C.A. § 8- 50-102 and policy.

History

• Authority: T.C.A. § 8-50-102.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.12 LONGEVITY

The Commissioner shall establish a policy concerning the calculation and payment of longevity. Employees of the executive branch in the state service, as defined by T.C.A. § 8- 30-102, hired after June 30, 2015, are not eligible to receive longevity pay.

History

• Authority: T.C.A. § 8-23-206.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-04-.13 SALARY ADJUSTMENTS

The Commissioner shall establish a policy for adjusting an employee’s salary rate based on equity or for permanently assuming duties of greater scope and complexity. Subject to budgetary limitations, the Commissioner may approve such permanent salary adjustments based upon justification submitted by the Appointing Authority.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.14 TEMPORARY ADJUSTMENTS TO SALARY OR BONUS PAYMENTS

Subject to budgetary limitations, the Commissioner may approve temporary salary differentials or bonus payments for employees assuming duties of greater scope or complexity. Salary differentials shall be periodically reviewed and approved by the Commissioner.

Subject to budgetary limitations, the Commissioner may approve incentive bonus payments based upon justification submitted by the Appointing Authority. Such payments shall not be made to compensate the employee for additional work hours.

The Commissioner shall establish a policy specifying the terms and conditions under which such temporary salary differentials or bonus payments may be paid.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-04-.15 ASSIGNING DUTIES OF A HIGHER LEVEL CLASSIFICATION

No preferred service employee shall be assigned to perform the majority of the duties and responsibilities of a position in a higher-level classification than that of the position occupied by the employee, without the written approval of the Appointing Authority. When an employee is so assigned, the duration shall not exceed ninety (90) days without the written approval of the Commissioner. The total length of the assignment shall be limited to a period of twelve (12) months.

The Commissioner, in consultation with the Commissioner of Finance and Administration, shall establish a policy under which an employee who is assigned to perform the majority of the duties and responsibilities of a higher-level classification shall receive additional compensation for such assignment.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-209.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Amendment filed October 25, 1995, effective February 28, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.16 FAIR LABOR STANDARDS ACT

The Commissioner, in compliance with the Fair Labor Standards Act, shall designate the classifications which receive cash overtime, classifications which receive compensatory overtime, and classifications which receive no overtime.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-208, 29 U.S.C. §§ 201, et seq., and 29 C.F.R. Part 5.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987 effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-04-.17 PERFORMANCE PAY

The Commissioner shall establish guidelines to govern the distribution of any funds, which may be available for performance pay for members of the state service.

(1) The guidelines shall establish objectively measurable criteria, which ensure that the performance pay system:

(a) Rewards above-average performance;

(b) Improves efficiency;

(c) Encourages participation in programs that improves job performance and skills; and (d) Does not permit, facilitate or promote discrimination on account of race, color, national origin, age (40 and over), sex, pregnancy, disability, religion or creed, Veteran’s status, or political opinions or affiliations.

(2) Such guidelines shall also provide that performance pay funds are consistently distributed in a fair and equitable manner.

(3) All employees shall be eligible for performance pay if the employee satisfies the criteria established in the guidelines.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-207.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-04-.18 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, 8-30-204, and 8-30-224.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed January 8, 1991; effective May 1, 1991. Amendment filed August 25, 1994; effective December 29, 1994. Repeal filed December 14, 2010; effective May 31, 2011.

Tenn. Comp. R. & Regs. 1120-04-.19 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, and 8-30-204.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011.

Chapter 1120-05 Performance Management

Tenn. Comp. R. & Regs. 1120-05-.01 PERFORMANCE REVIEWS

Each agency shall provide written plans detailing the standards of performance and the expected outcomes for all employees and shall periodically review the results on dates and in such manner as prescribed by the Commissioner.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-05-.02 EMPLOYEES TO BE REVIEWED

The performance of all employees in the state service shall be reviewed in a manner subject to this Rule and the policies of the department.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-05-.03 PERFORMANCE MANAGEMENT REVIEW PROCESS

An agency shall conduct, at a minimum, the following performance review procedure for eligible employees:

(1) Individual Performance Plan. The supervisor and the employee shall have an initial discussion for the purpose of explaining and clarifying the performance management process, defined work outcomes and behavioral expectations for which performance shall be reviewed, and the expected performance necessary to maintain or achieve an acceptable rating. Defined employee work outcomes and behavior expectations shall be specific, measurable, achievable, relevant to the strategic objective of the employee’s state agency or division and time sensitive.

(2) Periodic Reviews. Supervisors shall provide periodic reviews of performance to provide constructive feedback, discuss means of enhancing performance results and, if appropriate, to discuss the consequences of unsatisfactory performance. Employees shall receive a minimum of two (2) periodic reviews during the review cycle or as prescribed by the Commissioner.

(3) Annual Review. Employees shall receive an annual written review of the expected performance standards at the end of the performance cycle.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed January 8, 1991; effective May 1, 1991. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019.

Tenn. Comp. R. & Regs. 1120-05-.04 USE IN MAKING HUMAN RESOURCES DECISIONS

Performance reviews may be used as follows:

(1) To determine salary increases and decreases within the limits established by the compensation plan;

(2) As a factor in making or denying promotions; and (3) As a means of determining employees:

(a) Who are candidates for promotion or transfer; or (b) Who, because of a low job performance reviews, are candidates for demotion, suspension, dismissal or reduction in force.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-05-.05 RECORDS

Each agency shall record the performance review of each employee in a manner prescribed by the Commissioner. Performance evaluations of all employees shall not be considered public records under T.C.A. § 10-7-503. Nothing in this section shall be construed to limit access to these records by law enforcement agencies, courts, or other governmental agencies performing official functions.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-05-.06 TRAINING

Each supervisor responsible for conducting and/or reviewing the performance of any employee shall complete all training programs specified by the Commissioner as set forth in policy.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-05-.07 ADMINISTRATIVE REVIEW

An employee who receives a completed annual performance review may file a request for administrative review based on procedural violations as follows:

(1) Appointing Authority. Within fourteen (14) calendar days of receipt of the annual review, an employee may file a written request for administrative review, along with all relevant documentation, to the Appointing Authority. The Appointing Authority shall respond in writing to the employee within fourteen (14) calendar days of receipt of the request.

(2) Department Administrative Review. Within fourteen (14) calendar days of the receipt of the Appointing Authority’s written decision, an employee may file a written request for administrative review, along with all relevant documentation, to the Commissioner. The Commissioner shall issue a written response within fourteen (14) calendar days. The decision of the Commissioner shall be final and not subject to further review. Performance ratings are not eligible for administrative reviews.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-05-.08 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, and 8-30-204.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011.

Tenn. Comp. R. & Regs. 1120-05-.09 REPEALED

History

• Authority: T.C.A. § 8-30-328.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. New rule filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011.

Chapter 1120-06 Attendance and Leave

Tenn. Comp. R. & Regs. 1120-06-.01 RESPONSIBILITY

It is the employee’s responsibility to request appropriate leave and the immediate supervisor shall be responsible for approving such leave.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.02 REGULAR WORK SCHEDULE

The regular schedule for most employees is 8:00 a.m. to 4:30 p.m., Monday through Friday. Local conditions may cause these hours to vary, but an employee scheduled to work seven and a half (7.5) hours per day, Monday through Friday, is considered to be on a regular work schedule. Any agency may use irregular work schedules and vary its work hours and work days at the discretion of the Appointing Authority. Any work schedule can be modified as necessary to provide a reasonable accommodation for an employee with a disability, as determined by the Appointing

Authority. Any full-time schedules other than thirty-seven and a half (37.5) hours per week shall be approved in advance by the Commissioner and the Commissioner of Finance and Administration.

History

• Authority: T.C.A. §§ 4-4-105, 8-30-104, 8-30-105, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.03 WORKWEEK

The standard workweek for accounting purposes begins at 12:01 a.m.

Sunday and runs one hundred sixty-eight (168) continuous hours with seven (7) consecutive twenty-four (24) hour periods to 12:01 a.m. the following Sunday. Variation to this standard workweek shall be submitted to and approved by the Commissioner.

History

• Authority: T.C.A. §§ 4-4-105, 8-30-104, 8-30-105, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.04 CASH OVERTIME AND/OR ACCRUAL OF COMPENSATORY TIME

The Fair Labor Standards Act (FLSA) mandates that non-exempt employees receive additional compensation in certain circumstances. In addition, T.C.A. § 8-23-201 provides that additional compensation may be paid to certain state employees who work in excess of regularly scheduled hours at the direction of an appropriate manager. The Commissioner shall establish policy and procedures for administering overtime payments to include the following:

(1) Exempt Non-Compensatory Time Employees. Employees defined as “exempt noncompensatory time” by the Commissioner shall not be eligible to receive any compensation for hours worked beyond their regular schedule. However, if an exempt non-compensatory time employee is scheduled to work on a legal holiday, the Appointing Authority may grant discretionary leave with pay equal to the hours worked on a legal holiday.

(2) Exempt Employees. Employees defined as “exempt” by the FLSA may receive regular compensatory time for hours worked beyond their regular schedule provided that it was at the direction of the Appointing Authority or other appropriate supervisor or manager. The Commissioner shall determine the exempt classifications that are eligible for this regular compensatory time. Exempt employees may accumulate a maximum of four hundred and eighty (480) hours of regular compensatory time. Regular compensatory time is earned on an hour-for-hour basis and is distinct from premium compensatory time authorized by the FLSA.

(3) Non-Exempt Employees. Employees defined as “non-exempt” by the FLSA shall receive premium compensation for all hours spent performing the principal duties assigned to them provided the assignment was at the direction of the Appointing Authority or other appropriate supervisor or manager. Non-public safety employees who are non-exempt may accumulate no more than two hundred and forty (240) hours of premium compensatory time. Their total compensatory time (regular and premium compensatory time) may not exceed four hundred and eighty (480) hours. Public safety employees who are non-exempt may accumulate a maximum of four hundred and eighty (480) hours of premium compensatory time.

(4) Exceptions. Individual exceptions to this rule shall be recommended by the Appointing

Authority and approved in advance by the Commissioner and the Commissioner of Finance and Administration. Such recommended exceptions shall be consistent with state and federal law and established after consultation with the Comptroller of the Treasury and the Attorney General’s Office.

History

• Authority: T.C.A. §§ 8-23-201, 8-30-104, 8-30-105, 8-30-208, and 29 U.S.C. §§ 201, et seq.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-06-.05 COMPENSATORY TIME

Compensatory time is leave credit earned by an exempt or nonexempt employee when hours are worked beyond their regular schedule and not compensated in cash.

Compensatory time is generally accrued on a weekly basis. The Commissioner shall establish policy and procedures to include the following:

(1) Use of Compensatory Time. The use of compensatory time is subject to the approval of the Appointing Authority or a designated manager in the same manner as annual leave. An employee who has accrued compensatory time and requests use of that time shall be permitted to use such time off within a reasonable period after making the request. When a request for compensatory time off is received, it shall be honored unless to do so would be unduly disruptive to the agency’s operations. Mere inconvenience is an insufficient basis for denial. An agency should reasonably and in good faith anticipate that the employee’s request would impose an unreasonable burden on the agency’s ability to provide services of acceptable quality and quantity for the public during the time requested without the use of the employee’s services.

A “reasonable period” shall be determined by considering the customary work practices within the agency based on the facts and circumstances in each case. Such practices include, but are not limited to, the following:

(a) The normal schedule of work, (b) Anticipated peak workloads based on past experience, (c) Emergency requirements for staff and services, and (d) The availability of qualified substitute staff.

The use of compensatory time in lieu of cash payment for overtime by non-exempt employees shall be pursuant to some form of agreement or understanding between the employer and the employee (or the representative of the employee) reached prior to the performance of the work.

(2) Compensatory Time Transferable. An employee’s compensatory time shall be transferred between state service agencies. If an employee in a state service agency transfers to another state agency outside the state service which does not accept the employee’s compensatory time balance, the state service agency shall compensate the transferring employee for the value of the employee’s compensatory time balance. The value of the compensatory time accrued by an exempt employee is calculated based on the employee’s regular hourly rate in the state service agency at the time of transfer.

(3) Use of Compensatory Time Before Annual Leave. Accumulated compensatory time shall be used before annual leave unless an employee’s accumulated annual leave balance is within two (2) days of the maximum accrual allowed for the employee as provided in these rules.

(4) Payment of Compensatory Time at Separation. Generally, an agency shall make a lump sum payment for accrued compensatory time when an employee separates from state service. If, however, a retiring employee requests terminal leave, that employee shall use accrued compensatory time prior to terminal leave. Terminal leave is the annual leave balance of a retiring employee. Any annual leave balance remaining after the employee’s last working day is considered terminal leave.

(5) Amount Earned and Maximum Accumulation. Non-public safety employees who are nonexempt may accumulate a maximum of two hundred and forty (240) hours of premium compensatory overtime. Public safety employees who are non-exempt may accumulate a maximum of four hundred and eighty (480) hours of premium compensatory overtime. Totals for regular and premium compensatory overtime shall be added together and no employee shall be allowed to exceed a total accumulation of both regular and/or premium compensatory overtime over four hundred and eighty (480) hours. Any variation to this maximum accrual limit shall be approved in advance by the Commissioner and the Commissioner of Finance and Administration.

Any exempt or non-exempt employee who earns authorized overtime credit in excess of the maximum accrual shall be paid cash for those hours on an hour-for-hour basis unless the Fair Labor Standards Act requires payment at a premium rate.

Non-exempt employees are permitted to receive premium (time and one-half) compensatory overtime in lieu of premium cash overtime if the agency lacks the necessary funds or if the employee requests compensatory time instead of cash and the Appointing Authority approves the request. Premium compensatory overtime occurs when a non-exempt employee, who is authorized to receive compensatory overtime in lieu of cash, physically works more than forty hours (40) during a work week. The employee shall be compensated at one and a half times the hours actually worked above forty (40).

History

• Authority: T.C.A. §§ 8-23-201, 8-30-104, 8-30-105, 8-30-406, 8-50-801, and 29 U.S.C. §§ 201, et seq.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.06 LUNCH PERIOD

All employees, except those specifically excluded in T.C.A. § 4-4-105, are allowed a one (1) hour unpaid lunch (meal) period. If a supervisor requires an employee to work during any part of their one (1) hour meal period, the employee is considered to be at work and shall be compensated accordingly.

The authorized meal period shall be taken during the work shift and shall not be used to alter arrival or departure time by not using the meal period or any part thereof.

Certain employees cannot be relieved of duties to have a meal period during their work shift. An employee on a “fixed post” assignment may not leave their work station. These employees are considered to be at work even if they are able to eat a meal during their work shift and shall be compensated accordingly.

History

• Authority: T.C.A. §§ 4-4-105, 8-30-104, 8-30-105, 8-30-406, and 29 U.S.C. §§ 201, et seq.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.07 REST AND WELLNESS BREAKS

Appointing authorities, at their discretion, may allow their employees two (2) rest or wellness breaks, of fifteen (15) minutes duration each, during a workday.

These rest or wellness breaks are a privilege and not a right and should be taken at times that do not interfere with service to the public. A rest or wellness break shall not be used to alter arrival or departure time, used in conjunction with the lunch hour, used with any type of leave, or be accumulated for usage at a later time. Wellness breaks can be combined into one (1) thirty (30) minute break with the approval of employee’s supervisor.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-06-.08 BREAK TIME FOR NURSING EMPLOYEES

An employee who needs to express breast milk for the nursing child shall be allowed a reasonable break time and a space to do so that is not a bathroom, is shielded from view, and is free from intrusion from coworkers and the public. Break time for nursing employees shall, if possible, run concurrently with any break time already provided to the employee and shall not be used to alter the employee’s scheduled arrival or departure time.

History

• Authority: T.C.A. §§ 4-4-105, 50-1-305, and Patient Protection and Affordable Care Act (P.L. 111-148).
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-06-.09 ABSENCE DUE TO SPECIFIC CIRCUMSTANCES

The Commissioner shall establish policy concerning absences for:

(1) Inclement weather;

(2) Public health emergency;

(3) State emergency; and (4) Uninhabitable building.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.10 ELIGIBILITY TO ACCRUE LEAVE

An eligible employee accrues annual and sick leave based upon hours worked, excluding overtime, pursuant to T.C.A. § 8-50-801 and T.C.A. § 8-50-802.

Leave is accrued on a regular workday basis. One day of leave is equivalent to seven and one-half (7.5) hours for employees on a thirty-seven and one-half (37.5) hour per workweek schedule. One day of leave is equal to eight (8) hours for employees on a forty (40) hour per workweek schedule. Employees on other workweek schedules as approved by the Commissioner accrue based on those schedules.

Employees changing from one schedule to another shall have their hourly balances adjusted accordingly.

Employees who work fifteen hundred sixty (1,560) hours in a year and work the major portion of the month are eligible to accrue leave, except for those listed in T.C.A. § 8-50-801(e).

History

• Authority: T.C.A. §§ 8-23-101, 8-50-801, and 8-50-802.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-06-.11 ANNUAL LEAVE

The Commissioner shall establish policy and procedures for administering annual leave in accordance with T.C.A. § 8-50-801.

(1) Amount Earned and Maximum Accumulation. Eligible employees will accrue, at minimum, twelve (12) annual leave days on the first day of their service anniversary month. Newly hired employees will accrue the same amount on the date of hire and then annually on the first day of their service anniversary month. The amount of annual days accrued will depend on the employee’s amount of creditable service. Employees should consult the Department’s attendance and leave resources for more information on their particular service group’s accumulation schedule.

(2) Temporary (employees with less than six (6) months of service), emergency, and limited term full-time employees are eligible to receive longevity, if hired before June 30, 2015, but are not eligible to accrue annual or sick leave.

(3) Creditable Service. Any month, which was a part of a fifteen hundred sixty (1,560) hours or greater annual schedule, in which an employee is scheduled to work a full month, and actually works one-tenth of one (1) hour more than half the scheduled hours, shall be creditable for maximum accumulation purposes.

(4) Transfer of Annual Leave to Sick Leave. Leave earned in excess of the maximum allowable accumulation based on years of service as defined in T.C.A. § 8-50-801 shall be transferred to the employee’s sick leave account annually on the last day of the month preceding the employee’s service anniversary month.

(5) Annual Leave Paid as a Lump Sum. When separating from the state service, an employee shall be paid for any annual leave accumulation in a lump sum unless that employee is dismissed or terminated from state service for gross misconduct, or resigns from the state service to avoid dismissal for gross misconduct, or was guilty of gross misconduct prior to leaving the state service. In cases involving gross misconduct, the employee forfeits all accumulated annual leave.

(6) Annual Leave Returned as a Result of Separation. Employees who separate within their first year of employment may see their lump sum payment reduced if the number of annual days used exceeds the number of months worked (subject to federal minimum wage requirements). An employee’s credit for service will also be reduced proportionally.

(7) Annual Leave as Terminal Leave Prior to Retirement. An employee may use annual leave as terminal leave when retiring from state employment or may receive a lump sum payment for annual leave balances.

(8) Employee Meetings. Annual leave may be used to attend meetings of employee associations which are qualified for payroll dues deduction. Except as enumerated in T.C.A. § 8-50-110, leave allowed for this purpose cannot exceed two (2) days per year.

(9) Annual Leave Transferable. Unless there is a break in service, annual leave shall be transferred to and shall be accepted from state agencies and higher education institutions, legislative and judicial branches.

History

• Authority: T.C.A. §§ 8-50-110, 8-50-801, 8-50-803, and 8-50-807.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023. Amendments filed July 11, 2024; effective October 9, 2024.

Tenn. Comp. R. & Regs. 1120-06-.12 SICK LEAVE

Sick leave is accrued by an employee at the rate of twelve (12) days per year on the first day of the employee’s service anniversary month. Newly hired employees will accrue the same amount on the date of hire and then annually on the first day of their service anniversary month.

The Commissioner shall establish policy and procedures governing the use of sick leave.

(1) Use of Sick Leave. An Appointing Authority may grant an eligible employee sick leave for any of the following reasons:

(a) Personal illness;

(b) Disability due to accident;

(c) Exposure to a contagious disease;

(d) Maternity or paternity leave;

(e) Medical and dental appointments;

(f) Illness or death in the immediate family, or others who, at the discretion of the Appointing Authority, have a relationship which merits similar consideration;

(g) Birth and care of an infant child; and (h) Adoption.

(2) Reinstatement of Accumulated Sick Leave. Employees who work on a full-time continuous

basis for one (1) full year or more, leave in good standing, and return to work shall be credited with and may use paid sick leave accumulated prior to separation immediately upon certification of the previous balance from the appropriate agency. Persons hired from state higher education institutions and persons who were teachers with local school boards in Tennessee are also included under this provision.

(3) Sick Leave Transferable. Unless there is a break in service, sick leave shall be transferred to and shall be accepted from state agencies and higher education institutions, legislative and judicial branches.

(4) Required Documentation. Any employee may be required to present evidence to an Appointing Authority, the Commissioner, or any other appropriate authority, to support the reason for any absence for which sick leave was taken.

(5) Doctor’s Certification of Absence. Sick leave may not be denied to any employee who furnishes a statement of a licensed physician or accredited Christian Science practitioner in support of the reason for such absence. Additional documentation may be required if there is substantial evidence of sick leave abuse by the employee.

(6) Sick Leave During Terminal Leave. Sick leave may not be used as terminal leave. An employee presenting evidence of an illness during terminal leave may utilize sick leave up to the original separation date.

History

• Authority: T.C.A. §§ 4-21-408, 8-50-801, 8-50-802, 8-50-803, 8-50-804, 8-50-806, and 8-50-807.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023. Amendments filed July 11, 2024; effective October 9, 2024.

Tenn. Comp. R. & Regs. 1120-06-.13 BEREAVEMENT LEAVE

(1) The officers and employees of the various agencies, boards, and departments of state government shall be granted three (3) work days paid leave in the event of death of such officers’ or employees’ spouse, child, step-child, parents, siblings, grandparents, grandchildren, stepparents, foster parents, or parents-in-law without charge to the affected officers’ or employees’ accumulated leave accounts. One (1) day of leave is equivalent to seven and a half (7.5) hours for employees on a thirty-seven and a half (37.5) hour per workweek schedule. One (1) day of leave is equivalent to eight (8) hours for employees on a forty (40) hour per workweek schedule. One (1) day of leave is equivalent to twelve (12) hours for the Department of Military firefighters.

(2) This rule shall not be construed to increase the total number of leave days provided in Rules of the Department of Human Resources for the death of a family member as defined herein.

History

• Authority: T.C.A. § 8-50-113.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.14 SPECIAL LEAVE

Special leave is leave without pay. At the discretion and upon recommendation of the Appointing Authority, the Commissioner may approve requests for special leave in accordance with policy and procedure.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.15 HOLIDAYS

The General Assembly, by law, establishes legal holidays which are observed by the closing of State offices. The Governor, upon request by the Commissioner, may also establish additional time off for observance of holidays. The following days have been designated by the General Assembly as legal holidays:

New Year’s Day January 1 Martin Luther King, Jr. Day Third Monday in January President’s Day Third Monday in February Good Friday Friday before Easter Memorial Day Last Monday in May Juneteenth June 19 Independence Day July 4 Labor Day First Monday in September Columbus Day Second Monday in October Veteran’s Day November 11 Thanksgiving Day Fourth Thursday in November Christmas Day December 25 The Governor may, at his discretion, substitute the Friday after the fourth (4th) Thursday in November for Columbus Day. Employees who are ineligible to accrue leave are not eligible for holiday pay.

History

• Authority: T.C.A. §§ 8-30-406 and 15-1-101.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed October 25, 2023; effective January 23, 2024.

Tenn. Comp. R. & Regs. 1120-06-.16 CIVIL LEAVE

The Commissioner shall establish policy and procedures for state employees to be excused from their job duties when involved in civil or criminal proceedings as a juror.

History

• Authority: T.C.A. § 22-4-106.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.17 EDUCATIONAL LEAVE

The Commissioner shall establish policy and procedures for state employees to be placed on educational leave for participation in full-time continuing education as defined in Rules of the Department of Human Resources 1120-08.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.18 MILITARY LEAVE

(1) Military Leave with Pay. A leave of absence with pay, not to exceed twenty (20) working days in any one year, shall be granted to employees who are members of the reserve components of the Armed Forces of the United States, including members of the Tennessee National Guard, for periods they are engaged in the performance of duty or training activities in the service of the State or the Federal Government while under competent orders. Holidays and scheduled off duty days do not count toward the twenty (20) days allowed. During the period of approved paid military leave, the employee incurs no loss of service time and continues to earn regular annual leave and sick leave. There shall be no loss of rights or benefits to which the employee is otherwise entitled. Military leave with pay shall be granted for regularly scheduled monthly training for reservists or national guardsmen.

(2) Military Leave without Pay. Leave without pay shall be granted for periods of active duty or training activity with the Armed Forces of the United States, its reserve components, or the Tennessee National Guard for authorized periods beyond the twenty (20) working days of paid leave in a calendar year. In addition, leave without pay may be granted for regularly scheduled monthly training for reservists or national guardsmen and to employees entering the regular components of the Armed Forces of the United States as a result of military conscription or for a period of voluntary enlistment. During the period of leave without pay for military service, the employee retains all accumulated annual and sick leave, retirement status, and continues to earn time toward seniority, retirement and longevity pay, if otherwise eligible. Continuation in the State’s insurance programs, if elected, shall be granted subject to appropriate state insurance program provisions.

(3) Air Force Auxiliary Civil Air Patrol Leave. A leave of absence with pay, not to exceed fifteen (15) working days in any one calendar year, shall be granted to employees who are members of the United States Air Force Auxiliary Civil Air Patrol and who participate in a training program for the civil air patrol, or in emergency and disaster services, as defined in T.C.A. § 58-2-101, if the leave of absence is at the request of the employee’s wing commander or the wing commander’s designated representative. In addition, leave without pay shall be granted to employees on Civil Air Patrol Leave. During the period of leave without pay, the employee retains all accumulated annual and sick leave, retirement status, and continues to earn time toward seniority, retirement and longevity pay, if otherwise eligible. Continuation in the State’s insurance programs, if elected, shall be granted subject to appropriate insurance program provisions.

(4) Additional Leave Related to a Service-Connected Disability. In addition to the sick leave granted under T.C.A. § 8-50-802, an employee veteran with a service-connected disability of thirty percent (30%) or more shall receive thirty-six (36) hours of leave each year to be used to attend appointments related to the service-connected disability.

Such leave remaining at the end of the year may not be carried forward to the subsequent year. The year for leave under this provision will run from July 1st to June 30th of each year.

To receive approval, employees requesting such leave shall provide to their agency human resources office information related to the service-connected disability and documentation related to the service-connected disability appointment(s).

History

• Authority: T.C.A. §§ 8-33-105, 8-33-109, 8-50-802, and 42-7-102.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-06-.19 ADMINISTRATIVE LEAVE FOR DISASTER RELIEF

A state employee who is a certified disaster service volunteer of the American Red Cross may be granted leave from work with pay for a period not to exceed fifteen (15) workdays in each year to participate in special disaster relief services for the American Red Cross. The employee shall be released from work for this function upon written request of the American Red Cross for the services of that employee, and upon written approval of that employee’s Appointing Authority.

History

• Authority: T.C.A. § 8-50-810.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-06-.20 PARENTAL LEAVE

(1) An employee who has been employed for at least twelve (12) consecutive months as a fulltime employee, may be absent from such employment for a period not to exceed four (4) months for adoption, pregnancy, childbirth and nursing an infant, where applicable. With regard to adoption, the four (4) month period shall begin at the time an employee receives custody of the child.

(2) An employee on parental leave for the following qualifying reasons will be granted six (6) weeks of absence from work with pay:

(a) The birth of the employee’s child and to bond with the newborn child within one (1) year of birth or;

(b) The placement of a child with the employee for adoption and to bond with the newly placed child within one (1) year of placement.

(3) The paid leave does not count against an employee’s annual, sick, or compensatory leave.

For the purpose of calculating an anniversary date, this absence from work is considered fulltime employment. Additionally, an eligible employee may receive no more than six (6) workweeks of paid leave for any twelve-month period, even if there is more than one (1) qualifying birth or adoption.

(4) Leave granted under this rule must count toward the eligible employee’s use of leave required to be provided by the State as an employer under the FMLA (29 U.S.C. § 2601, et seq.) and § 4-21-408, to the extent eligible.

(5) An employee may use sick leave and annual leave for a period not to exceed said employee’s accumulated sick leave and annual leave balance, or twelve (12) weeks, whichever is less.

(6) When an employee adopts a child, an Appointing Authority has the discretion to grant additional special leave not to exceed one (1) year.

(7) The Commissioner shall establish procedures pertaining to parental leave.

History

• Authority: T.C.A. §§ 4-21-408, 8-30-104, 8-30-105, 8-30-406, 8-50-801, 8-50-802, and 8-50-806.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed October 25, 2023; effective January 23, 2024.

Tenn. Comp. R. & Regs. 1120-06-.21 FAMILY AND MEDICAL LEAVE

The Commissioner shall establish procedures for implementing the provisions and requirements of the Family and Medical Leave Act (FMLA).

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-406, 29 U.S.C. §§ 201, et seq., and 29 C.F.R. Part 825.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.22 DIVISION OF CLAIMS ADMINISTRATION LEAVE

The Division of Claims Administration is responsible for determining whether an employee is eligible for workers’ compensation due to a job related injury or illness.

(1) Workers’ Compensation Pay. An employee may not receive workers’ compensation pay for any period that the employee used sick, annual, or compensatory leave.

(2) Effect on Anniversary Dates. Time served on Division of Claims Administration leave shall not affect the employee’s longevity, if eligible, salary or service anniversary date.

(3) Assault Pay. Employees who are injured in the line of duty, as the result of an assault which disables them from performing their jobs, shall be allowed to remain on the regular payroll for a period not to exceed twenty-eight (28) calendar days subject to approval by the Commissioner. Such disability shall have occurred no later than twenty-eight (28) calendar days from the date of injury. If the same injury results in an employee being unable to perform his job for more than twenty-eight (28) calendar days and provided that a proper claim has been filed with the Division of Claims Administration within ten (10) calendar days of the date of injury, the employee may receive the difference between his regular salary and the weekly compensation rate awarded by the Division of Claims Administration for an additional sixty-two (62) calendar days. Thus, an employee who is disabled as a result of an assault may receive full pay through a combination of regular payroll and Division of Claims Administration compensation for a total of ninety (90) calendar days before being reduced to the usual lost time rate of the Division of Claims Administration or using accumulated sick, annual or compensatory leave.

(4) Injured in the Line of Duty. A commissioned member of the Tennessee Department of Safety, a driver’s license examiner, correctional officer or youth service officer who is injured in the line of duty, and whose injury disables him from performing his regular duties, whether such disability is temporary or permanent, shall be retained upon the regular payroll until the employee’s claim for compensation for such disability is determined by the Division of Claims Administration. The Governor and the Attorney General shall approve the request of the Appointing Authority.

History

• Authority: T.C.A. §§ 8-50-111 and 68-102-402.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 5, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-06-.23 TERMINAL LEAVE

A retiring employee may elect terminal leave unless the employee is retiring from state service to avoid dismissal for gross misconduct.

(1) Employees Subject to State Retirement. Employees who are members of the Tennessee Consolidated Retirement System and are entitled to terminal leave shall be compensated for their terminal leave prior to the effective date of their retirement.

(2) Termination of Benefits. On the date terminal leave begins, an employee shall:

(a) Cease to be in a leave earning status.

(b) Cease to be eligible for salary increases or salary adjustments. The salary rate in effect on the day before the employee begins terminal leave shall be used to determine terminal leave payments.

(3) Accounting for Terminal Leave:

(a) Saturdays, Sundays and Legal Holidays. Saturdays, Sundays and official holidays shall not be used in computing terminal leave unless such days are considered as workdays for the employee in the employee’s job assignment. To be paid for a holiday while on terminal leave an employee shall be on terminal leave past the holiday.

(b) Beginning and Ending of Terminal Leave Period. Terminal leave shall begin the next workday following the last day in active pay status. Active pay status is a term applied to an employee who is actually working or who is using paid leave other than paid terminal leave or sick leave bank leave. The day after the last day of terminal leave shall be the employee’s official date of separation.

History

• Authority: T.C.A. §§ 8-50-801, 8-50-807, and 8-50-808.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-06-.24 ACCRUED LEAVE BALANCES PAID AT DEATH

Leave balances of deceased employees shall be paid as lump sum payments. Any outstanding leave balance (sick, annual, or compensatory) will be paid to a beneficiary designated by the employee or, if none, the beneficiary designated for receipt of retirement benefits with the Tennessee Consolidated Retirement System, or, if no beneficiary has been designated in either instance, the deceased employee’s estate.

History

• Authority: T.C.A. §§ 8-50-807 and 8-50-808.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-06-.25 PAID LEAVE FOR EXCUSED ABSENCES

A full-time employee may be granted leave with pay for the following excused absences:

(1) State Assessment or State Job Interview. An agency may require written verification that the employee was at a state administered assessment or at a state job interview.

(2) Elections. Any person entitled to vote in an election held in this state shall be granted paid leave on the day of the election not to exceed three (3) hours in accordance with established procedures. If the work schedule of an employee begins three (3) or more hours after the opening of the polls or ends three (3) or more hours before closing of the polls of the county where the employee is registered to vote, paid leave shall not be granted. The Commissioner may specify the hours during which the employee may be absent. Application for such absence shall be made to the employee’s Appointing Authority before twelve o’clock (12:00) noon of the day before the election.

(3) Voting Machine Technician. A voting machine technician appointed by the county election commission who performs such duties on a part-time basis and who is a full-time state employee shall be excused without pay from the employee’s assigned duties for the day(s) required for the performance of the technician’s duties. No employee being excused under this section shall be required to use annual or compensatory leave to perform the technician’s duties. An employee may request compensatory or annual leave in lieu of time without pay.

(4) Blood Donation. Employees participating in a state-sponsored blood drive will be considered on duty during the time necessary to give blood, plus a reasonable length of time for recovery. Any time away from the job beyond that point, due to complications, must be charged as sick, compensatory, or annual leave. Employees with rare or special blood types contacted by the American Red Cross and its counterparts in other areas of the state and asked to donate blood will be considered on duty during the time required. Employees donating platelets through the Pheresis Program should be granted “administrative leave with pay” for the time required, working permitting. The difference in policy for Pheresis donors is necessary due to the frequency one may give platelets versus whole blood (every two (2) weeks versus every fifty-six (56) days).

(5) Employee Assistance Program (EAP). Employees are to be excused to receive up to ten (10) hours per year to attend EAP sponsored programs or counseling. While supervisors may maintain informal records of employees’ attendance at EAP sponsored programs or counseling, no formal documentation should be maintained in the employee’s personnel file.

EAP counseling sessions are considered confidential. For this reason, employees should be considered “on duty” during the time EAP programs or counseling occur, and this time coded as working time on the employee’s attendance and leave record (up to ten (10) hours).

Should the employee be referred by an EAP counselor to other professional services for additional counseling or treatment, any further time off should be coded as compensatory, annual, or sick leave, as appropriate.

(6) Health Services. Administrative leave with pay may be granted for an employee to attend state-sponsored health promotion-related programs and activities.

(7) State Group Insurance Appeals. Employees may appeal state group insurance plan decisions when they feel benefits were not provided in accordance with the plan document.

In addition to a review of the written record, employees may make a personal presentation as

part of their appeal. Employees should contact the Benefits Administration’s hotline or their agency’s Benefits Coordinator. If an employee chooses to appear in person and is successful in the appeal, it is appropriate to code the employee’s timesheet as regular time worked.

(8) Appearance at Appeal Discussions & Hearings. The Step I Appeal Discussion is the first step of the disciplinary appeals process for preferred service employees and involves the participation of the affected employee. When an employee appears at a Step I Appeal Discussion, the employee’s timesheet will be coded as regular time worked. If the employee fails to participate or appear for the scheduled Step I Appeal Discussion, without prior notice and absent extenuating circumstances, the employee’s time will be coded as leave without pay. The Board of Appeals (Step III Appeal) hearing serves as the final step of the appeals process for preferred service employees. When an employee appears at the Board of Appeals as a requirement of participation, the employee’s timesheet will be coded as regular time worked.

(9) Discretionary. An Appointing Authority may grant discretionary leave with pay to an employee for a period of time not to exceed ten (10) working days when it is considered necessary for the welfare of the employee or the proper operation of the agency. The Commissioner shall approve any period of discretionary leave that exceeds ten (10) working days. The Appointing Authority shall submit such requests in writing directly to the Commissioner.

History

• Authority: T.C.A. §§ 2-1-106, 2-9-103, 8-30-104, and 8-30-406.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023. Amendments filed July 11, 2024; effective October 9, 2024.

Tenn. Comp. R. & Regs. 1120-06-.26 RESPONSIBILITY FOR RECORDS AND REPORTS

The Commissioner shall designate a manner for documenting official attendance and leave information for employees in state service.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-406, and 10-7-504.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Chapter 1120-07 Equal Employment Opportunities

Tenn. Comp. R. & Regs. 1120-07-.01 STATEMENT OF POLICY

The State of Tennessee is firmly committed to the principle of fair and equal employment opportunities for its citizens and strives to protect the rights and opportunities of all people to seek, obtain, and hold employment without being subjected to illegal discrimination or illegal harassment in the workplace. It is the state’s policy to provide an environment free of discrimination or harassment of an individual because of that person’s race, color, national origin, age (40 and over), sex, pregnancy, religion, creed, disability, veteran’s status, or any other category protected by state and/or federal civil rights laws.

History

• Authority: T.C.A. §§ 8-30-101, 8-30-104, 8-30-105, 8-30-303, 8-30-307, 8-50-103, and 8-50-104; 29 U.S.C. § 623; 29 U.S.C. § 794; 38 U.S.C. § 4311(a); 42 U.S.C. § 2000e, et seq.; 42 U.S.C. 2000ff, et seq.; 42 U.S.C. 12101, et seq.; 20 C.F.R. Part 1002.210; and 29 C.F.R. Parts 1600 through 1699.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-07-.02 AGENCY RESPONSIBILITIES

In demonstrating the agency’s commitment to the equal employment opportunities policy, each Appointing Authority in state service shall:

(1) Be held responsible for compliance with the state law, policy, and executive orders pertaining to Equal Employment Opportunities (EEO), Americans with Disabilities Amendments Act (ADAAA), EEO Planning, and Uniformed Services Employment and Reemployment Rights Act (USERRA);

(2) Adopt the equal employment opportunity compliance policy prepared by the Department of Human Resources and inform employees of the agency’s commitment to that policy;

(3) Designate an employee to coordinate equal employment programs within that agency;

(4) Ensure supervisory personnel have participated in any required training that will enhance their role in carrying out the agency’s equal employment opportunities policies;

(5) Maintain processes for internal investigations of workplace discrimination or harassment complaints conducted pursuant to the state’s policy; and (6) Submit to the Commissioner a completed equal employment opportunity plan annually in a manner prescribed by the Commissioner.

History

• Authority: T.C.A. §§ 8-30-101, 8-30-104, 8-30-105, 8-30-303, 8-30-307, 8-50-103, and 8-50-104; 29 U.S.C. § 623; 38 U.S.C. § 4311(a); 42 U.S.C. § 2000e, et seq.; 42 U.S.C. 2000ff, et seq.; 42 U.S.C. 12101, et seq.; 20 C.F.R. Part 1002.210; and 29 C.F.R. Parts 1600 through 1695.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-07-.03 DEPARTMENT OF HUMAN RESOURCES’ RESPONSIBILITIES

(1) The Commissioner shall represent the Governor in matters relating to equal employment opportunities in the state service;

(2) The Department shall periodically review employment practices to ensure that these practices are not discriminatory;

(3) The Commissioner shall establish appropriate guidelines and procedures governing the preparation and submission of the Equal Employment Opportunity Plan by each agency;

(4) The Department shall provide training and technical assistance in the development, implementation and monitoring of agencies’ equal employment programs;

(5) The Department shall provide training and technical assistance to employees and agencies regarding compliance with EEO, ADAAA, EEO Planning, and USERRA;

(6) The Department shall inform any person claiming unlawful discrimination or harassment of the appropriate procedures for pursuing a complaint.

(7) The Department shall report to the Governor the equal employment opportunity activities of each department, agency and commission in the state service; and (8) The Department shall inform the Governor when instances occur of non-compliance or failure to demonstrate good faith efforts under this rule.

History

• Authority: T.C.A. §§ 8-30-101, 8-30-104, 8-30-105, 8-30-303, 8-30-307, 8-50-103, and 8-50-104; 29 U.S.C. § 623; 38 U.S.C. § 4311(a); 42 U.S.C. § 2000e, et seq.; 42 U.S.C. 2000ff, et seq.; 42 U.S.C. 12101, et seq.; 20 C.F.R. Part 1002.210; and 29 C.F.R. Parts 1600 through 1695.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-07-.04 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, 8-30-204, 8-30-206, 8-30-207, 8-30-221, 8-30-222, 8-50-103, and 8-50-103(a).
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.).) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011.

Tenn. Comp. R. & Regs. 1120-07-.05 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, 8-30-204, 8-30-205, 8-30-206, 8-30-207, 8-30-221, 8-30-222, and 8-50-103(a).
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011.

Tenn. Comp. R. & Regs. 1120-07-.06 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, 8-30-204, 8-30-205, 8-30-206, 8-30-207, 8-30-221, 8-30-222, and 8-50-103(a).
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Repeal filed December 14, 2010; effective May 31, 2011.

Chapter 1120-08 Learning and Development

Tenn. Comp. R. & Regs. 1120-08-.01 LEARNING AND DEVELOPMENT PROVIDED BY THE DEPARTMENT

The Department shall serve as the State’s exclusive provider of learning and development programs for state employees.

(1) The Department shall exclusively provide education which:

(a) Improves productivity, effectiveness, and efficiency of government service by enhancing employee performance through performance management;

(b) Assists employees in developing professional skills;

(c) Offers agencies talent management; and (d) Develops managers and supervisors in effective management and leadership practices.

(2) The Department shall approve any non-technical training and education provided by an agency prior to implementation to determine if the programs can be offered by the Department.

(3) The Department shall approve any requests for non-technical out-service training or continuing education as described herein.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-08-.02 RESPONSIBILITY FOR LEARNING AND DEVELOPMENT

The Department is responsible for statewide planning, coordination, and review of learning and development programs as well as direct delivery of initiatives, trainings, conferences and/or workshops as identified herein.

Each state agency shall maintain a record of every employee’s learning and development activities in a manner identified by the Commissioner. Such records shall b e submitted to the Department on a regular

basis as established by policy.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-08-.03 MANDATORY EDUCATION

Employees are required to attend certain learning and development workshops provided by the Department as identified in policy.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-313.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; December 29, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-08-.04 REQUESTS FOR CONTINUING EDUCATION, LEARNING AND DEVELOPMENT

Upon the identification of a specialized technical need by the agency, an employee may be eligible for continuing education from higher education, vocational, and professional institutions. Agencies shall submit requests for continuing education for courses not offered by the Department to the Commissioner for approval.

Employees, in consultation with the agency, may select one of the following continuing education options:

(1) Full-time Education. Full-time education lasts for more than eighty (80) work days and may require residency at an institution or facility. During the program, the employee is relieved of regular job responsibilities;

(2) Part-time Education. Part-time education lasts for less than eighty (80) work days and is held during the employee’s regular work hours. The employee maintains regular job responsibilities during this program;

(3) Short-term Learning. Short-term learning consists of seminars, short courses, and educational workshops that last for less than eighty (80) work days. The employee maintains regular job responsibilities during this program; and (4) After Work Hours Education or Learning. After work hours education, learning and development consists of seminars, short courses, and educational workshops and is held outside the employee’s scheduled shift. The employee maintains regular job responsibilities during this program.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-08-.05 CONTINUING EDUCATION, LEARNING AND DEVELOPMENT

All state employees are eligible to participate in continuing education, learning, and development related to their current job assignment, subject to the recommendation of the Appointing Authority and the approval of the Commissioner and the Commissioner of Finance and Administration.

(1) Criteria. The Commissioner may approve continuing education, learning, and development based on any of the following criteria:

(a) Lack of availability of programs offered by the Department;

(b) Job relatedness;

(c) Cost-effectiveness; or (d) Availability of programs in public Tennessee higher education institutions.

(2) Appointing Authority Responsibilities. The Appointing Authority shall:

(a) Submit to the Commissioner, in advance, an approval request for each employee to attend continuing education, learning, and development;

(b) Monitor employee attendance and performance; and (c) Document completion and maintain a public record.

(3) Salary and Related Expenses. In the event the Appointing Authority grants reimbursement to the employee for salary and related expenses, the Appointing Authority shall approve, in advance, reimbursement for the following and submit the authorization to the Commissioner:

(a) Travel. Reimbursement shall be for travel in accordance with the State's comprehensive travel regulations;

(b) Tuition. The Appointing Authority shall determine and approve tuition reimbursement subject to the approval of Finance and Administration; and (c) Salary. Salary payment is based on the following types of continuing education and learning:

1. Full-time. Employees in full-time education shall receive seventy-five percent (75%) of their regular salary. When the State requires an employee to obtain additional education, employee compensation is possible at full salary with the prior approval of the Commissioner and the Commissioner of Finance and Administration. If an employee receives salary assistance through scholarships, fellowships, grants or other outside sources, the total amount received from the State and outside sources during the continuing education period shall not exceed the employee's regular salary. The employee shall submit a notarized statement of salary funding and sources to the Appointing Authority.

2. Part-time. Employees in part-time education shall receive their regular salary.

3. Short-term. Employees in short-term learning shall receive their regular salary.

4. After work hours. An employee in after work hours education or learning is not eligible for additional salary payment.

(d) Distribution of salary. The Appointing Authority is responsible for payment of the employee’s reimbursement for salary. Distribution is contingent upon completion of the program and shall be documented by the attended institution.

(4) Employment status during full-time continuing education, learning and development.

(a) Leave Status. An employee engaged in authorized full-time continuing education, learning, and development is on educational leave during the period approved by the Appointing Authority. The Appointing Authority must approve any extension of this leave. An employee shall not accrue sick or annual leave during this period.

(b) Salary Increases and Adjustments. If eligible, an employee in full-time continuing education, learning, and development shall continue to receive any salary increases or adjustments permitted by law.

(c) Continuous Service. Full-time continuing education, learning, and development shall not interrupt continuous service for purposes of service credit.

(d) Payroll Deductions. All prior authorized deductions shall continue during full-time continuing education, learning, and development provided the adjusted salary covers the deductions.

(e) State Contributions. Contributions from the State to the employee's insurance premiums and retirement account shall continue.

(5) Employee’s Responsibilities.

(a) An employee in full-time continuing education, learning and development shall contractually agree to work for the agency for twelve (12) months or twice the total educational leave, whichever is greater. If the employee fails to fulfill the contract, the employee shall reimburse the State for expenses incurred during the full-time continuing education, learning and development, including salaries and wages paid by the State. Neither sick nor terminal leave shall be used to reduce the reimbursement period.

(b) An employee in continuing education, learning and development shall be held to the same attendance and performance standards as other work assignments. An employee shall reimburse the State for all costs, including salary, resulting from unexcused absences and incompletion of a learning and development program.

Collection of reimbursement is the responsibility of the agency.

(c) If an activity in continuing education, learning and development is terminated prior to completion, either at the convenience of the State or because of death, prolonged illness, disability, or similar conditions beyond the control of the employee, neither the employee nor the employee’s estate may be responsible for reimbursement of expenses.

(d) If an employee is discharged for any cause from the State or the educational institution, relief of financial obligation is in the sole discretion of the Appointing Authority, and is not subject to appeal.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; December 29, 1994. Repeal filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-08-.06 CONTINUING EDUCATION CREDITS

The Department may request continuing education credits for continuing education, learning, and development which meet national standards of the issuing body. These credits will be communicated to employees as appropriate.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: Original rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-08-.07 CERTIFICATION

The Department shall provide certifications as established by law and as determined by the Department.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: Original rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-08-.08 EXCLUSIONS

Attendance at conferences, symposiums, conventions, official meetings, and expositions provided by profession-based organizations or associations does not require approval by the Commissioner.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: Original rule filed July 5, 2012; effective October 3, 2012.

Chapter 1120-09 Programs Administered by the Department of Human Resources

Tenn. Comp. R. & Regs. 1120-09-.01 REPEALED

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Repeal filed July 11, 2024; effective October 9, 2024.

Tenn. Comp. R. & Regs. 1120-09-.02 SICK LEAVE BANK

The Department shall administer a bank which grants paid sick leave to qualifying members who have exhausted all their personal sick, compensatory, and annual leave balances and who are medically certified as unable to perform the duties of their jobs as a result of a personal illness, injury, accident, disability, medical condition, or quarantine; or illness of the member’s minor child. The Sick Leave Bank Board shall:

(1) Establish the criteria for distributing sick leave from the bank;

(2) Hear appeals of denials of request for sick leave; and (3) Prescribe the form and manner of participation in the bank.

History

• Authority: T.C.A. §§ 8-50-901 through 8-50-910.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023. Amendments filed October 25, 2023; effective January 23, 2024.

Tenn. Comp. R. & Regs. 1120-09-.03 EMPLOYEE SERVICE AWARDS

(1) The Department shall provide a consistent and uniform system through which employees shall receive appropriate recognition for their service to state government. Each participating agency shall verify eligible employees’ length of service and submit a request for awards to the appropriate vendor.

(2) Service award credit shall be given for the same periods of employment in state government as are recognized by the Tennessee Consolidated Retirement System for retirement credit, excluding any service credit recognized by the Tennessee Consolidated Retirement System for service in local governments or the public school systems other than State owned and operated schools.

(3) Service awards shall be presented following five (5) years of creditable service and at each increment of five (5) years thereafter.

(4) Awards provided by the Department shall be at the discretion of the Commissioner.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 11, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-09-.04 EMPLOYEE SUGGESTION AWARD PROGRAM

(1) The Department shall administer and establish policy governing the administration of the Employee Suggestion Award Program (ESAP) in accordance with T.C.A. §§ 4-27-101, et seq.

(2) The ESAP board, made up of members in accordance with T.C.A. § 4-27-102, shall meet quarterly to establish criteria for making awards, evaluate employee suggestions, and approve awards.

(3) The board will consider the following factors when making determinations about employee awards and suggestions:

(a) Severity of the present problem;

(b) Effectiveness of the suggestion offered;

(c) The need to encourage improvement in state operations; and (d) Ingenuity of the suggestion.

(4) The Department shall annually send ESAP program information to all state employees via electronic mail notification. The notice shall consist of:

(a) Information about the program;

(b) Information on how to submit suggestions; and (c) Information regarding the criteria for suggestions and cash awards.

(5) Cash or honorary awards may be made to state employees and retired state employees whose adopted suggestions will result in substantial savings or improvement in state operations. Any cash awards shall be awarded based on actual realized savings and must be submitted and approved by the agency where employee has made the suggestion. All cash awards shall comply with T.C.A. §§ 4-27-101, et seq.

(6) Pursuant to T.C.A. § 4-27-104, the following levels of management are ineligible to receive cash awards under the program:

(a) Governor’s staff, department commissioner, or equivalent;

(b) Assistant or deputy commissioner, assistant to commissioner, major fiscal and administrative policy department staff or equivalent;

(c) Director or division chief, including the full line division chief to a statewide program; includes chief of division supervising several line service units or equivalent; and (d) Assistant to director or division chief, section chief, or head of a major departmental function or equivalent.

History

• Authority: T.C.A. §§ 4-27-101 through 4-27-105, 8-30-104, and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repealed and new rule filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-09-.05 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, and 8-30-204.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repealed and new rule filed August 25, 1994; effective December 29, 1994. Repeal filed December 14, 2010; effective May 31, 2011.

Tenn. Comp. R. & Regs. 1120-09-.06 REPEALED

History

• Authority: T.C.A. §§ 4-27-101, et seq., 8-30-202, 8-30-203, and 8-30-204.
• Administrative History: (For history prior to January 2, 1988, see pages 1–2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011.

Chapter 1120-10 Disciplinary Action

Tenn. Comp. R. & Regs. 1120-10-.01 DISCIPLINE

Each supervisor is responsible for maintaining the proper job performance level, conduct, and discipline of the employees under his or her supervision. When corrective action is necessary, the supervisor should administer disciplinary action at the step appropriate to the infraction, conduct, or performance, as determined by the supervisor.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-10-.02 CAUSES FOR DISCIPLINARY ACTION

Causes for disciplinary action fall into two (2) categories:

(1) Causes relating to performance of duties; or (2) Causes relating to conduct which may affect an employee's ability to successfully fulfill the requirements of the job.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-10-.03 EXAMPLES OF DISCIPLINARY OFFENSES

The following are examples of acts that may warrant disciplinary action. This list is not exclusive and shall not be construed to limit an Appointing

Authority’s discretion in disciplinary matters:

(1) Inefficiency in the performance of duties;

(2) Incompetency in the performance of duties;

(3) Negligence in the performance of duties;

(4) Misconduct involving public officials and employees pursuant to T.C.A. Title 39, Chapter 16,

Part 4;

(5) Careless, negligent, or improper use of state property or equipment;

(6) Failure to maintain satisfactory and harmonious working relationships with the public and fellow employees;

(7) Habitual improper use of sick leave;

(8) Habitual pattern of failure to report for duty at the assigned time and place;

(9) Failure to obtain or maintain a current license or certificate or other qualification required by law or rule as a condition of continued employment;

(10) Gross misconduct;

(11) Conduct unbecoming of an employee in state service;

(12) Conviction of a felony;

(13) Willful abuse or misappropriation of state funds, property or equipment;

(14) Falsification of an official document relating to or affecting employment;

(15) Participation in any action that would in any way seriously disrupt or disturb the normal operation of the agency, institution, department, or any other segment of the state service or that would interfere with the ability of management to manage;

(16) Trespassing on the property of any state officer or employee for the purpose of harassment;

(17) Damage or destruction of state property;

(18) Acts that would endanger the lives and property of others;

(19) Possession of unauthorized firearms, lethal weapons, alcohol or illegal drugs on the job;

(20) Brutality in the performance of duties;

(21) Refusal to accept a reasonable and proper assignment from an authorized supervisor (insubordination);

(22) Reporting to work under the influence of alcohol or illegal drugs, or partaking of such on the job;

(23) Sleeping or failure to remain alert during duty hours;

(24) Unauthorized disclosure of confidential information;

(25) Political activity prohibited by T.C.A., Title 2, Chapter 19 (the “Little Hatch Act”) or by U.S.C., Title 5, Chapter 15 (the “Federal Hatch Act”); and (26) For the good of the service as outlined in T.C.A. § 8-30-316.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319 and 5 U.S.C. §§ 1501-1508.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-10-.04 TYPES OF DISCIPLINARY ACTIONS

Corrective actions may include the following, but are not limited to:

(1) Oral Warning.

(a) The supervisor shall meet with the employee to:

1. Review with the employee the expected performance and/or conduct;

2. Explain to the employee why the employee’s performance and/or conduct does not meet expectations;

3. Provide the employee an opportunity to explain his or her performance and/or conduct;

4. Make suggestions for employee action to correct the performance and/or conduct;

5. Inform the employee that the discussion shall be documented in writing covering the significant points of the discussion; and 6. Provide the employee with written follow-up documenting the date of the discussion and other necessary information regarding expectations for improvement.

(b) Written follow-up to an oral warning should not be construed as a written warning as described in paragraph (2) of this rule and shall not be maintained as part of the employee’s official human resources file.

(2) Written Warning.

(a) The supervisor shall meet with the employee and shall:

1. Review with the employee the expected performance and/or conduct;

2. Explain to the employee why the employee’s performance and/or conduct does not meet expectations;

3. Provide the employee an opportunity to explain his or her performance and/or conduct;

4. Make suggestions for employee action to correct the performance and/or conduct;

5. Explain to the employee that future performance and/or conduct issues may lead to further disciplinary action; and 6. Inform the employee that the discussion shall be documented in writing covering the significant points of the discussion.

A copy of the written warning shall be placed in the employee's human resources file.

After a period of two (2) years, an employee may submit a written request to expunge the written warning from the employee’s file. Such request shall be granted, provided that the employee has had no further disciplinary actions with respect to the performance, conduct, and/or discipline during the two (2) year period. The request shall not be considered a part of the employee’s human resources file.

(b) Request for Review of a Written Warning. A Preferred Service Employee who wishes to contest a written warning may request a review of the warning. The employee shall submit a written request for review to the Appointing Authority no later than fourteen (14) calendar days from receipt of the written warning. The request for review should include documentation of any mitigating circumstances causing the employee to believe that the warning is undeserved. The Appointing Authority shall provide a written decision to the employee within fifteen (15) calendar days of receipt of request for review. The Appointing Authority’s written decision is final and not subject to appeal. If the Appointing Authority fails to provide a written decision within the prescribed time, the written warning shall be removed from the employee’s file.

(c) Written Warnings Void After Two Years With Exceptions. Pursuant to T.C.A. § 8-30- 319(c), any written warning or written follow-up to an oral warning issued to an employee is void and of no effect after a period of two (2) years if the employee has not been the subject of further disciplinary action with respect to the same area of performance, conduct, or discipline within the two (2) year period.

(d) Written Warning as a Result of Participation in the Appeals Process. Any written warning that is issued as the result of a modification of a dismissal, involuntary demotion, or suspension during Step I, or II, as provided in T.C.A. § 8-30-318, shall not be eligible for administrative review and is final.

(3) Suspension Without Pay.

(a) An Appointing Authority may suspend an employee without pay, for disciplinary purposes, for such length of time as the authority considers appropriate, not to exceed thirty (30) days in any twelve (12) month period. With the approval of the Commissioner, an employee may be suspended for a longer period pending the appeal or the processing of an appeal in accordance with this chapter.

(b) Any employee who is suspended shall receive a written notice from the Appointing

Authority that contains the following:

1. An account of the circumstances which led to the suspension, including the basis of the discipl inary action;

2. The beginning and ending dates of the suspension; and 3. Inf ormation to the employee concerning the appeal process as outlined in these rules.

(c) A copy of the notice shall be placed in the employee’s human resources file.

(d) The ability to appeal for suspension of one (1) or two (2) days is limited to the Appointing Authority under Step I and the Commissioner under Step II of the appeal process. An employee cannot appeal a one (1) or two (2) day suspension to the Board of Appeals.

(4) Dismissal.

(a) An Appointing Authority may dismiss any employee for performance and/or conduct.

(b) The Appointing Authority shall submit written notice to the employee and copy the Department at the time an employee is dismissed. The notice shall specify the cir cumstances leading to the dismissal, including the basis of the disciplinary action, and inform the employee of the appeal process, if applicable. The notice shall become

part of the employee’s human resources file.

The date of this written notification, if hand-delivered, shall serve as the beginning date for the appeal period. If the written notification is sent via certified mail, the beginning date for the appeal period shall be three (3) calendar days following the date the written notification was sent, or in the alternative, the date the employee signed for it. An employee shall continue to receive compensation for ten (10) calendar days following the date of notification but is not required to report to work during this period. The employee's accumulated annual leave balance may be used during this period only if the dismissal was for gross misconduct.

(c) When the dismissal is for gross misconduct, the written notice shall describe the jobrelated misconduct and provide applicable section(s) of Tennessee Code Annotated or other relevant law under which the employee may be criminally prosecuted. The notice shall also include information regarding the employee’s ineligibility for COBRA as well as any additional restrictions of benefits.

(5) Involuntary Demotion.

(a) If the Appointing Authority determines that an employee’s ability to satisfactorily perform the required duties of the position is beyond the capabilities of the employee or the employee has been compromised by conduct that renders the employee ineffective, the Appointing Authority may involuntarily demote the employee to another position.

(b) The Appointing Authority shall submit written notice to the employee and copy the Department at the time a Preferred Service Employee is involuntarily demoted. The notice shall specify the circumstances leading to the involuntary demotion, including the basis of the disciplinary action, and inform the employee of the appeal process, if applicable. The notice shall become part of the employee’s human resources file.

The date of this written notification, if hand-delivered, shall serve as the beginning date for the appeal period. If the written notification is sent via certified mail, the beginning date for the appeal period shall be three (3) calendar days following the date the written notification was sent, or in the alternative, the date the employee signed for it.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 3, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-10-.05 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-10-.06 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed May 6, 1996; effective July 20, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011.

Tenn. Comp. R. & Regs. 1120-10-.07 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-10-.08 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, 8-30-313, 8-30-315, 8-30-316, 8-30-318, and 8-30-319.
• Administrative History: New rule filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012.

Chapter 1120-11 Appeals

Tenn. Comp. R. & Regs. 1120-11-.01 APPEAL

(1) A preferred service employee who is dismissed, involuntarily demoted, or suspended may file an appeal concerning the merits of the disciplinary action.

(2) An executive service employee does not have standing to file an appeal under this chapter.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-318.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-11-.02 RESPONSIBILITY

(1) The Commissioner is responsible for providing and maintaining the basic standards and guidelines for implementing this chapter.

(2) Appointing authorities are responsible for the proper implementation of this chapter throughout their respective agencies and are responsible for ensuring that all employees and supervisors are made aware of the provisions of this chapter.

(3) The Appointing Authority shall notify an employee of the appeal process, if applicable, and relevant.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-318.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-11-.03 BASIC STANDARDS

(1) An employee who files an appeal under this chapter must do so no later than fourteen (14) calendar days after the date the employee receives, or by the exercise of reasonable diligence should have become aware of, written notice of a dismissal, involuntary demotion, or suspension. If an employee fails to file an appeal within the fourteen (14) calendar day period, the ability to appeal as defined in this chapter lapses and is deemed to have been waived in its entirety by the employee. For purposes of tolling, all references to days throughout this chapter are considered calendar days, excluding State holidays.

(2) An appeal is considered filed when the Appointing Authority, the Commissioner, or the Board, depending on whether the appeal is being made under Step I, II or III as provided in Rule

Tenn. Comp. R. & Regs. 1120-11-.04 PROCEDURAL STEPS IN APPEAL

There shall be three (3) steps in the appeal process as follows:

(1) Step I – Appointing Authority Level (a) The employee submits a written appeal to the Appointing Authority within fourteen (14) calendar days after the date the employee receives written notice of a dismissal, involuntary demotion, or suspension. The written appeal must detail why the discipline issued was in error and should be overturned or reduced, and include any relevant documentation.

(b) The Appointing Authority or designee shall conduct any investigation considered necessary, meet with the employee in person, or through virtual telecommunication means, if applicable, along with the supervisor who issued the discipline or an agency representative, and issue a written decision not later than twenty (20) calendar days after the date the Appointing Authority receives the appeal. Agencies must ensure that the supervisor or agency representative has sufficient knowledge to participate in the Step I Appeal Discussion.

(c) Prior to the Step I Appeal Discussion, the Appointing Authority or designee must make all reasonable efforts to provide to the employee a copy of any and all documents or other evidence in the Appointing Authority or designee’s possession that is relative to the discussion, including, but not limited to, reports, videos, and records. Where not practicable, or subject to confidentiality provisions, the employee shall be provided the documents at the time of the Step I Appeal Discussion and given a reasonable amount of time to review during the discussion. Any documents or evidence not provided to the employee prior to, or at, the Step I Appeal Discussion, must not be considered by the Appointing Authority or designee for purposes of issuing a decision, except for the all owance of information below in subparagraph 1120-11-.04(d). If applicable, the employee must acknowledge in writing that the employee was presented with the evidence.

(d) Prio r to issuing a Step I Appeal Decision, the Appointing Authority or designee may independently collect new evidence regarding a factual issue raised during the Step I Appeal Discussion. If independent information is collected by the Appointing Authority or designee between the discussion and the issuance of the Step I Appeal Decision, the agency shall provide the employee with a copy of the information as soon as practicable. The employee shall have the opportunity to respond with a written statement to the information provided within three (3) business days. The Appointing

Authority or designee shall not issue a Step I Appeal Decision until the employee has been afforded the opportunity to respond to any new evidence or information, unless doing so violates the twenty (20) calendar day timeframe.

(e) For purposes of any proceeding under this rule, information or evidence that is part of a criminal investigation or prosecution by any law enforcement agency, or is otherwise deemed confidential under existing law, shall not be provided to the employee in advance of the discussion. Provided, however, that such information will be made available for the employee to review during the discussion or other fixed time, if such information is to be relied upon in issuing the decision. Agencies may also provide a substantive summary of otherwise confi dential information, consistent with state laws involving criminal investigation or prosecution by any law enforcement agency.

(f) The Appointing Authority shall have full authority to overturn, reduce, or amend the disciplinary action based on informatio n gathered at the Step I Appeal Discussion or information obtained afterwards, including reinstatement of leave and awards of back pay, if appropriate.

(g) If the Appointing Authority does not issue a Step I Appeal Decision within twenty (20) calendar days after the Appointing Authority receives the appeal, the employee may appeal to the Commissioner by filing the appeal in accordance with Step II. However, should the agency issue a Step I Appeal Decision, albeit late, it may be used at Step II, consistent with requirements listed in subparagraph 1120-11-.04(2)(c) of this rule.

(h) The presence of observers is in the discretion of the Appointing Authority or designee.

Representatives and attorneys may not represent the parties at the Step I Appeal.

However, if the agency has more than one (1) representative actively participating at the discussion, excluding the Appointing Authority or designee, the employee may have a non-lawyer representative participate in the discussion.

(2) Step II – Commissioner of the Department of Human Resources (a) If the Appointing Authority does not find in favor of the employee, the employee may appeal to the Commissioner by submitting a written appeal and all relevant documentation no later than fourteen (14) calendar days after receipt of the Appointing

Authority’s Step I Appeal Decision, or, in the event a Step I Appeal Decision was not issued, from the date the Step I Appeal Decision was due, via email to DOHR.Step2Appeals@tn.gov, or to:

Commissioner Tennessee Department of Human Resources Seventeenth Floor, William R. Snodgrass Tennessee Tower 312 Rosa L. Parks Boulevard Nashville, TN 37243 (b) It is the duty of the employee to provide written argument as to why the Step I Appeal Decision was in error and ought to be overturned or reduced. An employee failing to provide such information to the Commissioner within the all otted timeframe shall be considered in default and forfeits the ability to appeal to Step III.

(c) The Commissioner or designee shall review the appeal, any relevant accompanying documentation, and the Appointing Authority’s decision, if any. The Commissioner shall issue a decision, in writing, not later than thirty (30) calendar days after the date the appeal was filed with the Commissioner. Prior to issuing a Step II Appeal Decision, the Commissioner may independently obtain new evidence or information regarding factual issues raised during the Step I or II Appeal. If independent information is collected by the Commissioner, the Commissioner must provide the employee with a copy of the information as soon as practicable. If the information obtained is confidential, the employee shall be allowed to view the information as soon as practicable, but will not be provided with a hard copy. The employee shall have the opportunity to respond with a written statement to the information provided within three (3) business days. The Commissioner shall not issue a decision until the employee has been afforded the opportunity to respond to any new evidence or informatio n, unless doing so violates the thi rty (30) day timeframe.

(d) If the Commissioner does not issue a decision within thirty (30) calendar days after the Commissioner receives the appeal, the agency or the employee may appeal to the Board in accordance with Step III. However, if a Step II Appeal Decision is issued, albeit late, it may be used at Step III, consistent with requirements listed below in paragraph 1120-11-.04(3).

(3) Step III – Board of Appeals (a) The employee or state agency may appeal in writing to the Board of Appeals not later than fourteen (14) calendar days after the date the employee, or in the case of a state agency, the state agency receives written notice of the action taken by the Commissioner. In the event the Commissioner does not issue a timely Step II Appeal Decision, the employee or agency will have fourteen (14) calendar days to appeal from the date the decision was otherwise due. The written appeal may be sent via email to DOHR.Step3Appeals@tn.gov, or mail to:

Board of Appeals c/o Tennessee Department of Human Resources Seventeenth Floor, William R. Snodgrass Tennessee Tower 312 Rosa L. Parks Boulevard Nashville, TN 37243 (b) An appeal by either party shall stay the Step II Appeal Decision and the original disciplinary action will remain in effect until a final determination of the Board.

(c) Within ten (10) calendar days after the receipt of the appeal, the Administrative Law Judge (ALJ) assigned to assist the Board shall determine whether all procedural requirements were completed properly and in a timely manner. If a procedural requirement has not been met, the appeal shall be dismissed. If the procedural requirements have been met, the Board shall conduct proceedings in accordance with the Uniform Administrative Procedures Act as modified herein. The appealing party, whether it be the employee or state agency, bears the burden of proof during any Board of Appeals proceeding.

(d) For purposes of this section, procedural requirements shall be construed to mean the procedural requirements at Step III of the appeal process.

(e) Each hearing under this chapter shall occur before a panel of at least three (3) members of the Board, assisted by one (1) ALJ. The ALJ shall assist at the hearing by ruling on questions of the admissibility of evidence, swearing-in witnesses, advising members of the Board on the law of the case, and ensuring that the proceedings are carried out in accordance with this chapter and other applicable law. An ALJ, upon timely motion, may decide any procedural question of law.

At no time shall the ALJ take part in the determination of a question of fact.

(f) The Board shall issue its final decision in each proceeding no later than one hundred twenty (120) calendar days after the date of the filing of the appeal with the Board.

(g) The Board shall have full authority to overturn, reduce, or amend the disciplinary action based on the information submitted for consideration, including reinstatement of leave and awards of back pay, if appropriate.

(4) In order to ensure that the Board issues its final decision no later than one hundred twenty (120) calendar days after the date of the filing of the appeal, the following conditions shall be imposed on hearings before the Board:

(a) The parties shall participate in a pre-hearing conference no later than twenty (20) calendar days after the filing of the appeal. At the pre-hearing conference, a hearing date shall be set.

(b) All discovery shall be completed no later than sixty (60) calendar days after the filing of the appeal.

(c) All motions, both dispositive and non-dispositive, shall be ruled on no later than thirty (30) calendar days before the date of the hearing.

(d) Extensions on the deadlines provided herein are only to be granted in extraordinary circumstances and with the agreement of both parties. In any event, the granting of an extension shall not extend beyond a one hundred forty (140) calendar day time period for the Board to issue its decision. Any objections to any extension shall be noted in the Order granting or denying the extension.

(e) Neither party shall be entitled to file a petition for reconsideration under T.C.A. § 4-5- 317.

(5) The Board hearing shall serve as the final administrative step in the appeals procedure for Preferred Service Employees. An order is considered final upon signature by the presiding Board member. Decisions of the Board are subject to judicial review in accordance with the Uniform Administrative Procedures Act, T.C.A. Title 4, Chapter 5.

(6) If the employee is successful in obtaining reinstatement to a position from which the employee has been terminated, the employee shall be reinstated to a position in the county in which he or she was employed at the time of termination. The Commissioner may grant exceptions on a case-by-case basis.

(7) In any case in which a successful employee has been awarded reinstatement, back pay, or att orney's fees, the agency involved shall have a period of thirty (30) calendar days from the date of the order within which to provide reinstatement, back pay and/or attorney's fees. If awarded, attorney’s fees must be paid in accordance with Rule 1120-11-.05.

History

• Authority: T.C.A. §§ 4-5-301, et seq., 8-30-104, 8-30-105, 8-30-318, and 8-30-407.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Amendment filed May 6, 1996; effective July 20, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-11-.05 ATTORNEY FEES

The Board of Appeals may, at its discretion, award reasonable fees and costs upon successful appeal to an employee's attorney in accordance with the following terms and conditions.

(1) Attorney's fees awarded by the Board shall be awarded at the same rates established by Guidelines for the Defense of Individual Employees issued by the State of Tennessee Office of the Attorney General and Reporter.

(2) All awards of costs shall be limited to reasonable costs actually incurred. Awards of costs for travel shall be subject to the provisions of the state’s comprehensive travel regulations in effect at the time the claim is made.

(3) If the Board awards attorney fees, the prevailing attorney shall submit an affidavit detailing the hours of preparation, in hours and tenths of hours, the nature of services performed during such preparation, the hours of hearing time, and a complete itemized statement of costs claimed. Claims shall be submitted via email to DOHR.Step3Appeals@tn.gov, or to the following address:

Board of Appeals c/o Tennessee Department of Human Resources Seventeenth Floor, William R. Snodgrass Tennessee Tower 312 Rosa L. Parks Boulevard Nashville, TN 37243 (4) The unsuccessful party may dispute attorney’s fees and costs to the Tennessee Department of Human Resources. If the parties are unable to resolve any dispute regarding attorney’s fees and costs, the parties may file a motion to the Administrative Procedures Division.

(5) In no event shall a claim be paid which is not received by the Board of Appeals within thirty (30) calendar days of the effective date of the final order.

(6) A designee for the Board shall review all such claims for compliance with these rules, the applicable guidelines, and the Board’s decision. The designee is authorized to approve payment of such claims for any amount up to and including the amount claimed. Upon approval, the designee shall inform the party in writing and the party shall have thirty (30) calendar days in order to pay such attorney’s fees/costs.

History

• Authority: T.C.A §§ 8-30-104, 8-30-105, and 8-30-318.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-11-.06 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-318.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 25, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Amendment filed May 6, 1996; effective July 20, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-11-.07 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-318.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 29, 1994. Amendment filed October 25, 1995; effective February 28, 1996. Amendment filed May 6, 1996; effective July 20, 1996. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-11-.08 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-318.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 25, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012.

Tenn. Comp. R. & Regs. 1120-11-.09 REPEALED

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-318.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011. Repeal filed July 5, 2012; effective October 3, 2012.

Chapter 1120-12 Computation of Time

Tenn. Comp. R. & Regs. 1120-12-.01 COMPUTATION OF TIME

Unless specified otherwise, in computing any period of time prescribed or allowed by Rule 1120, the date of the act or event after which the designated period of time begins to run is not to be included. The last day of the period so computed shall be included, unless it is a Saturday, a Sunday, or a legal holiday as defined in T.C.A. § 15-1-101, or, when the act to be done is the filing of a paper, a day on which the office where the paper to be filed is closed or on which weather or other conditions have made the office inaccessible, in which event the period runs until the end of the next day which is not one of the aforementioned days. When the period of time prescribed or allowed is less than eleven (11) days, intermediate Saturdays, Sundays, and legal holidays shall be excluded in the computation, unless specifically stated otherwise within Rule 1120 or the Act.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-30-407.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017.

Tenn. Comp. R. & Regs. 1120-12-.02 REPEALED

History

• Authority: T.C.A. §§ 8-30-202, 8-30-203, and 8-30-204.
• Administrative History: (For the history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal filed December 14, 2010; effective May 31, 2011.

Chapter 1120-13 Access to Public Records

Tenn. Comp. R. & Regs. 1120-13-.01 RECORDS OPEN FOR INSPECTION

(1) Pursuant to the Tennessee Public Records Act, the public records of the Department shall, at all times during business hours, be open for inspection by any citizen of this state unless otherwise provided by law.

(2) To verify citizens of this state, persons requesting information may be asked to provide the following:

(a) An active government issued photo identification that includes a person’s address to verify citizenship or residency; or (b) A student ID from a Tennessee school, college, or university as an alternate form of identification.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed December 14, 2010; effective May 31, 2010. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-13-.02 REQUESTING PUBLIC RECORDS

(1) The Director of the Records Management Division is the agency’s designated public requests coordinator.

(2) Public record requests shall be made to the Department’s Records Management Division in order to ensure public record requests are routed to the appropriate records custodian and fulfilled in a timely manner.

(3) Requests for inspection may be made orally or in writing. Requests for inspection only are not required to be in writing. Requests for copies shall be made in writing.

(4) The Department may request a mailing or email address from the requestor for providing any written communication required under the TPRA.

(5) All requests shall include a Public Records Request form as provided in Department of Human Resources Policy 12-042. If submitting via mail or other media, then the request must include a Public Records Request form (Policy 12-042) and be mailed to the Department’s Public Records Request Coordinator, Department of Human Resources, 312 Rosa L. Parks Blvd., 17th Floor, Nashville, TN 37243, by e-mail at DOHR.RecMgmt@tn.gov, or by fax at (615) 401-7685.

(6) All media requests submitted in accordance with the Tennessee Public Records Act should submit their media request by filling out a Public Records Request form as provided in Department of Human Resources Policy 12-042. If submitting via mail or other media, then the request must include a Public Records Request form as described in Policy 12-042 and be mailed to the Department’s Public Records Request Coordinator, Department of Human Resources, 17th Fl oor Tennessee Tower, 312 Rosa L. Parks Blvd., Nashville, TN 37243, by email at DOHR.RecMgmt@tn.gov, or by fax at (615) 401-7685.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Amendment filed August 25, 1994; effective December 25, 1994. Repeal and new rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-13-.03 RESPONDING TO PUBLIC RECORDS REQUESTS

(1) The Department shall have seven (7) business days from receipt of request to respond and/or provide records.

(2) If not practicable to promptly provide requested records because additional time is necessary to determine whether the requested records exist; to gain access to records; to determine whether the records are subject to public record; to redact records; or for other similar reasons, the Department shall notify, within seven (7) business days, the requestor and provide an estimated date that public records will be available.

History

• Authority: T. C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: Original rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019.

Tenn. Comp. R. & Regs. 1120-13-.04 CONFIDENTIALITY OF PUBLIC RECORDS

(1) Portions of the personnel record of employees and information submitted by applicants shall be treated as confidential and not open for public inspection.

(2) Confidential information includes: social security numbers, home addresses, home and cellular telephone numbers, personal/non-government email addresses, bank account information, performance reviews, and driver’s license information except where driving or operating a vehicle is part of the employee’s job description, job duties, or incidental to the performance of their job. The same information applies to an employee’s immediate family members or household members.

(3) The following procedures are to be used to ensure adequate measures are taken to protect confidential information:

(a) Agency human resource employees, law enforcement agencies, courts, and certain other governmental employees may, when performing their official job functions, review these files without restrictions. The right to unrestricted access also applies to the person seeking to review his or her own personnel file or application. Proper identification of these individuals must be determined prior to allowing access to the personnel record.

(b) Employees and/or applicants may allow other individuals to access their personnel files by completing a Signature Authorization form, which may be obtained from the Department.

(c) A valid Tennessee subpoena may permit information to be reviewed or copied with redaction.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: Original rule filed December 14, 2010; effective May 31, 2011. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed May 17, 2019; effective August 15, 2019.

Tenn. Comp. R. & Regs. 1120-13-.05 REDACTION OF RECORDS

(1) If a record contains confidential information or information that is not open for public inspection, the Department shall prepare a redacted copy prior to providing access.

(a) Whenever a redacted record is provided, the Department should provide the requestor with the basis for redaction.

(b) If questions arise concerning redaction, the Department should coordinate with the Office of General Counsel or other appropriate parties regarding review and redaction of records.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: Original rules filed May 17, 2019; effective August 15, 2019.

Tenn. Comp. R. & Regs. 1120-13-.06 COPIES OF RECORDS

(1) Copies will be available for pickup at the Department or, upon the requestor’s payment for postage, copies will be delivered to the requestor’s address by the United States Postal Service.

(2) Depending on the size of the record, the Department may be able to send it via secure email.

(3) A requestor will not be allowed to make copies of records with personal equipment, unless the requestor is an employee inspecting his or her own personnel file.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: Original rules filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-13-.07 PRODUCTION COSTS

The Department shall charge the requesting party a reasonable charge for production costs, including labor, duplication and delivery. Charges will be based on the most current Schedule of Reasonable Charges issued by the Office of Open Records Counsel within the Comptroller’s Office. Fees and charges for copies of public records should not be used to hinder access to public records. For more detailed information, please review Department of Human Resources Policy 12-042.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: Original rules filed May 17, 2019; effective August 15, 2019. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-13-.08 PAYMENT OF PRODUCTION COSTS

The Department shall provide requestor(s) with an itemized estimate of the charges prior to producing copies of records. The Department shall require the requesting party to provide full payment of the production costs before copies of the requested records are delivered or otherwise made available. Payment is to be made by cash or check payable to the Department of Human Resources.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: Original rules filed May 17, 2019; effective August 15, 2019.

Tenn. Comp. R. & Regs. 1120-13-.09 WAIVER OF PRODUCTION COSTS

(1) No duplication costs will be charged for requests less than 34 pages if fees and labor costs are less than $5.00.

(2) When the requesting party is a federal, state or local government agency, the Department shall provide the requested copies of public records without charge. A request made by a federal, state, or local government agency on behalf of a citizen under the Tennessee Public Records Act shall be treated as a request by a citizen and charged accordingly.

(3) There shall be no charge for inspection of public records. A charge will only be assessed if copies are requested. An appointment may be required to ensure the efficiency of requests.

(4) The Commissioner may reduce any part of the fees calculated under these rules upon a determination that such reduction is in the best interest of the public.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 10-7-501, et seq.
• Administrative History: Original rules filed May 17, 2019; effective August 15, 2019.

Tenn. Comp. R. & Regs. 1120-13-.10 PERSONNEL FILES

State employees shall be entitled to, during business hours, access to their personnel files. An employee may request copies of any material contained in their personnel file upon payment of the cost for such reproduction. Employees may use their own personal equipment to make copies of their personnel files without charge. An appointment may be required to view personnel files.

History

• Authority: T.C.A. §§ 8-30-104, 8-30-105, and 8-50-108.
• Administrative History: Original rules filed May 17, 2019; effective August 15, 2019.

Chapter 1120-14 Tennessee Employee Mediation Program

Tenn. Comp. R. & Regs. 1120-14-.01 STATEMENT OF POLICY

(1) It is the policy of the State of Tennessee to encourage the use of mediation as a valuable tool for all state employees to resolve workplace issues. Mediation is a process whereby the parties themselves, with the assistance of a third party neutral, seek to develop and agree upon solutions to issues in the workplace. The primary purpose of the Tennessee Employee Mediation Program (“the program”) is to provide a responsive, informal, confidential, and effective means of resolving human resource issues as an alternative to administrative proceedings.

(2) Mediation is designed to supplement and not to limit or replace the appeal procedures detailed in the Act. Participation in mediation will not toll the filing deadlines for appeal as described in these rules. Mediation may not be used to circumvent state or departmental policies.

(3) The Commissioner is responsible for providing and maintaining the basic standards and guidelines for implementation and administration of this program.

History

• Authority: T.C.A. §§ 4-3-1703, 8-30-104, and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-14-.02 COVERAGE

(1) Access to Mediation. Access to mediation services under this rule is available to most employees currently in state service as a voluntary means of resolving workplace issues.

Access to mediation services under this rule shall not be available to those employees excepted under the terms of T.C.A. § 8-30-102(b) or former employees who have otherwise separated from state service prior to the request for mediation.

(2) Definition of Workplace Issues. For purposes of this rule, “workplace issues” may include, but is not limited to, the following:

(a) Disciplinary action taken against an employee involving suspensions, and involuntary demotions (if the request is made within fourteen (14) calendar days of the disciplinary action, or at any point during the disciplinary appeal process, if applicable);

(b) Workplace harassment and discrimination as defined by the Department;

(c) Violations of the Abusive Conduct in the Workplace Policy as defined by the Department;

(d) Performance and/or conduct issues, unless excepted under the terms of 1120-14- .02(3); and (e) Other workplace issues involving a relational, communication, or values conflict in state government employment.

(3) No Grounds for Complaint. Nothing contained in this rule shall be construed to create or provide any substantive or procedural right or interest in state government employment, and the denial of access to mediation services shall not constitute any grounds for complaint or appeal.

(4) Voluntary Participation. Participation in mediation shall be voluntary and conducted only by agreement of both parties. Employees who participate in or opt out of mediation shall do so without interference, coercion, reprisal, discrimination, retaliation, or harassment.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-14-.03 PROCESS AND PROCEDURE

(1) To commence the mediation process, an employee or the Agency shall file a request to the Department on a form prescribed by the Commissioner. Please note that the request for mediation is not confidential. Upon receipt of the request for mediation, the Department will notify the employee’s Appointing Authority or his/her designee and the employee whose consent and presence will be necessary for the mediation. If consent to mediate is obtained by the individual(s) or Agency involved, and the Department otherwise considers the request appropriate for mediation under the guidelines set forth above, the Department shall refer the matter to an approved mediator. If consent is not obtained or the Department considers the matter not appropriate for mediation, the requesting employee or Agency will be so notified.

This approval process shall be completed within seven (7) days of receipt of the Request for Mediation.

(2) The Appointing Authority, or designee, shall attend the mediation to reach an agreement and implement any final mediation agreement, or be available to authorize the terms of the agreement.

(3) Upon convening the mediation, the parties shall execute an agreement to mediate, which form shall be approved by the Commissioner and shall become part of the mediation file.

Either party or the mediator may voluntarily withdraw from the mediation at any time or at any stage in the process.

(4) Each party may have a representative present during the mediation. Any representative present at the mediation shall be required to sign the agreement to mediate and be bound by its terms. However, as mediation is not an adversarial proceeding, the role of any representative shall be limited to that of an advisor and observer, and not as an advocate on behalf of either party. The mediator shall maintain the authority to restrict the activities of any representative and shall have the discretion to terminate the mediation or limit the presence of observers. Furthermore, the presence of witnesses for either party is expressly prohibited.

(5) Audiotape, videotape, or other automated or electronic recordings of the mediation is expressly prohibited.

(6) Virtual mediation is available to parties seeking to participate in mediation. A virtual mediation platform is a voluntary process by which parties can settle their workplace disputes online without the need for in-person appearances. Virtual mediation requires each party to be present on video camera. All agreements are signed electronically in virtual mediation.

(7) To the extent permitted by law, the State will attempt to maintain the confidentiality of all documents related to the mediation, and all participants agree that any verbal communication made during or in connection with the mediation will be held in confidence and not disclosed or otherwise utilized in any other proceeding. The requirement of confidentiality does not extend when:

(a) A threat of bodily harm or injury is made;

(b) Communications express an intent to commit or conceal a crime;

(c) Communications reveal abuse of a child or elder abuse; or (d) Disclosure is otherwise required by law.

(8) Any mediated settlement agreement shall be approved by the parties’ Appointing Authority and any other parties as required by law. Copies of the mediation settlement agreement shall be provided to the involved parties. Original copies of the settlement agreement will be kept on file with the Agency. The mediation settlement agreement shall not become part of any involved party’s personnel file. Any mediated settlement agreement shall not be considered confidential pursuant to T.C.A. § 10-7-503. If the workplace issue involves an appeal filed pursuant to T.C.A. § 8-30-318, any mediated settlement agreement shall be forwarded to the Board of Appeals. Any mediated settlement agreement shall not be contrary to the laws, rules, regulations or policies of the State of Tennessee or federal law, or exceed the Appointing Authority’s legal authority.

(9) Neither a request for, nor participation in mediation shall preclude an Appointing Authority from taking independent disciplinary action as needed in dealing with an employee’s job performance or conduct.

(10) Participation in mediation shall be counted as a regular working day and therefore shall not require the use of accrued leave if the participating employee has obtained the prior approval of his/her supervisor or Appointing Authority. Any travel expenses incurred by participants shall be subject to the travel regulations established by the Department of Finance and Administration.

(11) Neither a request for, nor participation in mediation shall affect the time periods for filing complaints or appeals pursuant to T.C.A. § 8-30-318.

(12) By submitting a request for mediation and participating in the mediation process, participants agree not to subpoena the mediator or his/her records or notes pertaining to the mediation in any court or administrative proceedings, unless the proceeding concerns alleged misconduct by the mediator or enforcement of the mediated settlement agreement.

(13) While serving as a mediator, the mediator is not acting in a supervisory or managerial capacity for the State of Tennessee or his/her Appointing Authority.

(14) In order to remain neutral and unbiased, a mediator will not mediate issues involving their employing agencies. The Appointing Authority shall ensure that mediator(s) do not have a conflict of interest with employees involved in the mediation.

(15) Any party that participates in mediation shall do so without interference, coercion, reprisal, discrimination, retaliation, or harassment. If a party feels he or she has been retaliated against for requesting mediation, the party may file a complaint with the Appointing Authority or follow the procedures for filing a complaint with their Agency.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: (For history prior to January 2, 1988, see pages 1-2 of the Introduction at the beginning of the chapters.) Repeal and new rule filed November 18, 1987; effective January 2, 1988. Repeal and new rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.

Tenn. Comp. R. & Regs. 1120-14-.04 TRAINING AND CERTIFICATION

(1) The Department shall maintain a list of state affiliated mediators approved to conduct mediations under this program.

(2) All mediators shall be neutral third parties who have been trained and approved as mediators. An individual desiring to be listed on the panel of approved mediators shall have satisfactorily completed mediation training which has been approved by the Alternative Dispute Resolution (“ADR”) Commission of the Tennessee Supreme Court, or otherwise satisfy the requirements for listing as a mediator pursuant to the rules of the ADR Commission; and further receive the approval and recommendation for listing on the panel of mediators from the individual’s Appointing Authority. Final approval for listing or removal from the panel shall be in the Commissioner’s discretion.

History

• Authority: T.C.A. §§ 8-30-104 and 8-30-105.
• Administrative History: Original rule filed July 5, 2012; effective October 3, 2012. Amendments filed February 7, 2017; effective May 8, 2017. Amendments filed January 18, 2023; effective April 18, 2023.